Regulatory Library

Code of Conduct for Authorised Financial Services Providers and their Representatives, Involved in Forex Investment Business, 2004

Codes of Conduct - 13 March 2004

Determination of procedure for approval of key individuals, BN 122 of 2003

FSCA Notices - 24 October 2003

Rules on Proceedings of the Office of the Ombud for FSPs

Legislation - 8 August 2003

Financial Advisory and Intermediary Services Regulations, 2003

FAIS Act and Regulation - 13 June 2003

Determination of requirements for reappointment of debarred representatives, BN 82 of 2003

FSCA Notices - 1 May 2003

Determination of Criteria and Guidelines for the Approval of Compliance Officers, BN 84 of 2003

FSCA Notices - 25 March 2003

Regulations In Terms of the Financial Intelligence Centre Act 38 of 2001

FIC - 15 December 2002

Financial Advisory and Intermediary Services 37 of 2002

FAIS Act and Regulation - 15 November 2002

Financial Intelligence Centre Act 38 of 2001

FIC - 3 December 2001


A national supplier of risk management services to independent financial advisors and other licensed financial service providers (FSPs). Established in 2004, we help our clients overcome their risk management challenges so they can grow and thrive in an increasingly regulated industry. Providing professional guidance and practical support, our team of specialists is passionately committed to delivering tangible solutions.

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