COMPLIANCE
DCJ Financial Services cc subscribes to Masthead Financial Service to facilitate all necessary procedures to ensure that DCJ Financial Services cc is fully compliant as per the regulatory requirements of the Financial Services Board.
This will include Compliance Monitoring and FICA Monitoring.
Masthead Financial Services also provides our practice with a unique integrated “risk management” solution which further assists DCJ Financial Services cc attain optimal functionality in key operation areas.
SUCCESSION PLANNING
In terms of legislation which governs our industry, financial planning operations are obliged to have in place a succession plan to cater for the eventuality of the death or incapacity of the principal member of the practice.
With this in mind, Mr Craig Ivins (Key Individual) integrated Mr Paul Mitchell into DCJ Financial Services so that in the event of Mr Craig Ivins passing away or becoming incapacitated, DCJ Financial Services cc will still be in a position to continue with full efficiencies of current practice.