Compliance certification

Financial Services Providers, such as Kevin Mills Financial Services CC is required to appoint a compliance officer. The role of a compliance officer is to assist the management of the Financial Service Provider to establish and maintain compliance procedures within their business operations.  

Kevin Mills Financial Services CC has appointed Masthead (Pty) Ltd, an independent specialist provider of regulatory compliance risk management services and solutions to the financial services sector. Masthead (Pty) is authorized by the Financial Sector Conduct Authority as a compliance practice; Registration number: CO 6737.

Over the past year, Kevin Mills Financial Services CC has had regular on-site visits from our compliance officer. The purpose of these visits is:

  • To ensure that Kevin Mills Financial Services CC complies with all aspects of the Financial Advisory and Intermediary Services Act no 37 of 2002 and subordinate legislation.
  • To ensure that Kevin Mills Financial Services CC complies with all aspects of the Financial Intelligence Centre Act no. 38 of 2001.
  • To ensure that Kevin Mills Financial Services CC complies with all other relevant legislation.
  • To submit compliance reports to the Registrar of the Financials Sector Conduct Authority.
  • To provide Kevin Mills Financial Services CC with written reports indicating the progress achieved in compliance management and make any relevant recommendations to Kevin Mills Financial Services CC

Masthead (Pty) Ltd has issued a certification that Kevin Mills Financial Services CC has consistently maintained procedures as prescribed by the Financial Advisory and Intermediary Services Act no 37 of 2002. Masthead (Pty) Ltd has also issued their seal of compliance.

By issuing this seal, investors can be certain that Kevin Mills Financial Services CC has been evaluated on the regulatory requirements set out by the Financial Sector Conduct Authority and has achieved an excellent standard of compliance. It signifies that everyone who interacts with Kevin Mills Financial Services CC can be assured that it is a professionally managed business. It also demonstrates that Kevin Mills Financial Services CC are complying with legislation and taking their roles and responsibilities seriously.

We are extremely proud of this achievement! We will strive to maintain and improve all aspects of our compliance framework. 

Trust takes years to build, seconds to break and forever to repair!