Integral Asset Management have proudly contracted with Masthead for compliance services. Masthead are appointed as an external complaince officer of Integral Asset Management and conduct monthly audits on our FSP.
Masthead provide the following services:
– Conducts regular onsite assessments and file sampling
– Produces reports and recommends remedial actions where necessary
– Regularly reviews the customised risk management plan
– Completes the FSCA compliance reports and submits them to the FSCA
– Attends and assists during an FSCA onsite visit
– Guides and supports with FAIS related customer complaints
– Ensures the business is kept up-to-date through regular compliance updates and newsletters
– Hosts compliance webinars and seminars which provide access to hands-on compliance assistance
– Integral Asset Management is a full discretionary category II FSP registered with the Financial Sector Conduct Authority (FSP 46545).
– We take your security seriously. Integral has made significant investment into filing systems and an IT infrastructure that is robust and protects the investors documents and respects their privacy. This system provides full audit trails for all activities on the client’ files.
– All investments are held in the nominee company of the investment firm that you contract with and independent custodians where possible. Retirement funds are subject to their own regulatory protection.
– In establishing our business, we have invested in the best possible IT infrastructure given our business requirements. We believe good technology and appropriate systems can enable our business to stay ahead of the industry. Data back-ups are stored securely offsite and password protected to ensure any cloud-based information stays closely protected.
– Integral Asset Management is registered with the Financial Services Board as a Category II FSP, and we are subject to monthly compliance audits by an independent compliance firm, Masthead.
All conflicts of interest are clearly disclosed in our Conflict of Interest register. Steps to mitigate these conflicts are also contained therein. (Available upon request).
– We have a Complaints Policy which is also available on request, detailing the simplest way for any aggrieved client to obtain efficient redress.
– Integral investment portfolios actively consider individual client risk when they are constructed and managed. We define risk as the permanent loss of capital, and we utilise a number of strategies including diversification, active exposure management, and a broad range of research sources and models to mitigate portfolio risk.
– Full Disclosure is an imperative part of our business as we believe it is essential to maintain a strong relationship with our clients.
– We would rather lose a client at engagement stage than after we have onboarded them – if the fit is not a comfortable one it is better to terminate before the relationship begins.
