Compliance Team

About

The Compliance Team at Masthead ensures that independent financial advisors and other licensed financial service providers comply with regulatory requirements, such as the Financial Advisory and Intermediary Services Act (FAIS), Treating Customers Fairly (TCF) framework, and Retail Distribution Review (RDR). They conduct audits, provide guidance, and run workshops to help businesses align their processes with industry regulations, thereby mitigating risks and enhancing operational efficiency.


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