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Moonstone Compliance (Pty) Ltd

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Tel: +27 21 883 8000
Fax: +27 21 883 8005
25 Quantum Street
P O Box 12662
Die Boord
Eastern Cape, Free State, Gauteng, KwaZulu-Natal, Mpumalanga, North-West, Northern Cape, Northern Province, Western Cape.

Since the company’s inception in 2002, Moonstone Compliance has set a high standard for the delivery of compliance and licensing services to the financial services industry. More than a decade of experience has seen the company position itself as an industry leader, well-known for delivering professional compliance and licensing solutions to its clients.

The company’s respected standing may be attributed to its unique composition of qualified compliance officers and support staff with diverse legal and financial advisory backgrounds. This knowledge asset, coupled with the company’s innovative approach to integrating the latest compliance practices into its services, will continue to see compliant and satisfied clients.    

What do we offer?

Compliance Services:

  • We specialise in providing FAIS & FICA compliance solutions to Category I, II, IIA, III and IV Financial Services Providers and other businesses in the financial services industry. This includes assistance with the compilation and implementation of a FAIS/FICA Compliance Risk Management Plan, supporting documentation and procedures.
  • With our national footprint, we are able to visit branches and representatives in remote areas and report on an individual, business unit or national level.

Licensing Services:

  • Licence applications for Category I, Category II, Cat IIA and Category IV.
  • Profile changes and updates on the FSB registry, including changes to personnel, business and contact details, and financial products.

Please visit our website for more information.

Company Press Releases »

Icon FSB Appeal Board and powers of the Registrar to debar
26 May 17 | Read More »
The decision in the Hlumbane case by the Appeal Board of the FSB provides very interesting information about the Board’s powers in terms of decisions made by the Registrar of Financial Services Providers, particularly its discretionary powers. The appeal stems from ...
Icon What keeps the LT Ombudsman awake at night? Part 2
24 May 17 | Read More »
Following on from Part 1. From the Long-term Ombud’s 2016 annual report: The Assessors and Adjudicators in the Long-term Ombud’s office were canvassed about the issues that currently fall into this category. Last week we discussed “Bad Bargains” ...
Icon FSB guidance for Hedge Funds on advertising, marketing and information disclosure
19 May 17 | Read More »
The Financial Services Board published guidelines on requirements for advertising, marketing and information disclosure applicable to Hedge Funds. Following the declaration of hedge funds as collective investment schemes, all hedge funds are required to comply with the ...
Icon FAIS Regulatory Exam Fraud
19 May 17 | Read More »
We encounter a variety of attempts by a limited number of candidates to cheat the system. As evidenced by the example in a recent Appeal Board case, crime really does not pay. The transgressor appealed against a three-year debarment. The Appeal Board found that the person ...
Icon The FSB Appeal Board
19 May 17 | Read More »
Twenty-four determinations were issued by the FAIS Ombud in the 2015/2016 financial year, half of which concerned short-term insurance products. Settlements, where respondents “pleaded guilty” amounted to a staggering 1 150. So far, the 2016/2017 statistics ...
Icon National Health Insurance Update
18 May 17 | Read More »
A report in Business Day quotes Health Minister Aaron Motsoaledi as saying that he will present a revised version of the National Health Insurance (NHI) white paper to a cabinet subcommittee on Tuesday, 16 May. “A key aspect that will be scrutinised is the future ...
Icon What keeps the Long Term Ombudsman awake at night? Part 1
17 May 17 | Read More »
From the Long-term Ombud’s 2016 annual report: The Assessors and Adjudicators in the Long-term Ombud’s office were canvassed about the issues that currently fall into this category. Bad bargains These include products that do not provide value for money ...
Icon Insurance Bill to get transformation emphasis
17 May 17 | Read More »
Legalbrief Today reports: The Treasury has agreed to changes to the Insurance Bill in a bid to accelerate the transformation of the industry. A Business Day report says this follows criticisms made during hearings on the Bill. Black business said it would reinforce barriers ...
Icon FAIS and Future Product Training
04 May 17 | Read More »
The latest proposed amendments regarding intermediary proficiency stem from a review of the competency framework, and aims to build on the existing requirements by establishing an effective and proportionate regulatory framework to ensure that financial services providers: ...
Icon A fallacy called FAIS Credits
28 Apr 17 | Read More »
FAIS Newsletter 22 from the FSB, published in December 2016, contains a very important section to assist the industry in understanding the “Credit” requirements. The following paragraph is printed in bold and highlighted: There are no “FAIS credits” ...
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