Regulatory · Governance

Compliance
and governance.

OSO Wealth Management (Pty) Ltd is committed to maintaining the highest standards of regulatory compliance, governance, and ethical conduct in the provision of financial services.

01 · Regulatory status

Authorised under FAIS.

OSO Wealth Management is a Juristic Representative of OSO Capital (Pty) Ltd, an authorised Financial Services Provider (FSP No. 52016), licensed under the Financial Advisory and Intermediary Services Act, 2002 (“FAIS”).

All financial services are rendered under the licence of OSO Capital (Pty) Ltd. This information is provided for general guidance only and does not constitute financial advice.

02 · Key Individual

Designated regulatory authority.

03 · Compliance & regulatory oversight

Internal rigour, independent review.

OSO Wealth Management operates within a robust compliance framework designed to ensure adherence to FAIS, as well as broader regulatory and governance requirements.

Compliance is monitored through both internal oversight and independent external review, ensuring objectivity and alignment with best practice.

Masthead is a leading South African compliance services provider specialising in financial services regulation, offering independent monitoring, regulatory guidance, and risk management support to Financial Services Providers.

04 · Our commitment

The framework, in practice.

Our compliance framework is designed to:

  • 01 Ensure full adherence to the FAIS Act and General Code of Conduct.
  • 02 Promote transparency in all client interactions.
  • 03 Identify, manage, and disclose conflicts of interest.
  • 04 Protect client information in accordance with applicable data protection laws.
  • 05 Deliver financial services with integrity, skill, and due care.
05 · Related policies

Governance documentation.

Further information on our governance and regulatory approach is available in the following documents.