Financial & Risk Solutions

Masthead FAIS compliant 2018

Masthead FAIS compliant

We have been awarded the Masthead FAIS seal of compliance 2018. So what does that mean for you?

This seal provides consumers with peace of mind, knowing that the accredited independent financial advisor (IFA) that’s us, has been evaluated on the regulatory requirements set out by the FSCA, and has achieved an excellent standard of compliance.

To put this accolade into perspective here are some of the criteria that are required to be awarded this prestigious seal.

  • Category I licences – all 3 Compliance audits must have been completed, a minimum score of 85% must have been achieved for each audit.
  • Category II licences – all 10 visits must have been completed, a minimum score of 85% must have been achieved for each audit.
  • Remedial actions attended to throughout the period
  • No irregularity report issued against the FSP
  • Complete compliance w.r.t. to the advice process
    • Info gathering  – must be evident in every client file that was sampled
    • Needs analysis  – must be evident in every client file that was sampled
    • Record of Advice – must be evident in every client file that was sampled

At Prosperisense Financial & Risk Solutions, we pride ourselves on offering our clients specialised and unique financial solutions and investment plans that do not only meet their needs but also exceeds their expectation.

To learn more about our world-class services and investment opportunities, please feel free to contact us today. We have professional brokers standing by to assist you!

For more information:

admin@prosperisense.co.za | 010 900 3282 / 011 462 6591 | Whatsapp (078) 252-3840.

We would be privileged to be a part of your financial journey of growth, wealth and prosperity @prosperisense

TCs: Prosperisense Financial and Risk Solutions is an authorised Financial Services Provider FSP number: 44525
Disclaimer: This is for information purposes only and should not be construed as advice.

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