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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 FPI Financial Planner of the Year
19 Jul 17 | Read More »
We would like to add our congratulations to the following top eight entrants who have successfully advanced to the second round of this year’s FPI Financial Planner of the Year Award. Craig Torr, CFP® - Crue Invest (Pty) Ltd in Pinelands Dirk Groeneveld, CFP® ...
Icon ConCourt Judgement on medical schemes savings accounts
19 Jul 17 | Read More »
Following numerous enquiries for clarity on the implications of the recent Constitutional Court judgment regarding the correct accounting treatment of medical schemes members' personal savings accounts (MSA), the Council for Medical Schemes (CMS) published an explanatory ...
Icon Twin Peaks making grim progress
19 Jul 17 | Read More »
In the early days of “The Pill” the UCT rag magazine, Sax Appeal, reported on a new book by the Pope titled: “The pill’s grim progress. ” No doubt, the same scepticism accompanies the Twin Peaks legislation in some quarters. On 13 July, the ...
Icon Key Individual cannot delegate accountability
17 Jul 17 | Read More »
In a recent Appeal Board case, the FSP appealed against the FSB’s decision to debar her for five years. One of the grounds she raised was that her secretary failed to inform her of a notification from the FSB informing her of the Registrar’s intent to suspend ...
Icon NHI promises equality of care
12 Jul 17 | Read More »
Implementing NHI will be an enormous task but promises equality of care for everyone Jill Larkan, Head: Healthcare Consulting at financial advisory firm GTC Whilst every South African will find it difficult to argue with the concept of National Health Insurance (NHI), ...
Icon FSB Appeal Board again rules against FAIS Ombud
12 Jul 17 | Read More »
In May 2016 we published an article titled Ombud holds insurer liable for Sharemax loss. Briefly: A Momentum representative (Marais) introduced the client to a broker (Storm) who had a Sharemax contract. The representative was not allowed to conduct business with the property ...
Icon Fais and the future of Level 2 REs and CPD – July 2017
07 Jul 17 | Read More »
A recent “Round Table” discussion by Ms Caroline da Silva, Deputy Registrar, FAIS of the FSB, provided a welcome update on the Regulator’s current thinking on a number of key issues, including: Regulatory exams Continuous Professional Development Training Level ...
Icon Are you ready for outcomes-based regulation?
07 Jul 17 | Read More »
By Juanita Moolman, Head: Legal and Business Assurance Hollard HAD business unit. It was refreshing for some, and possibly scary for others, to hear that, in future, an outcomes-based approach will be included in regulating the financial sector, instead of a purely rules-based ...
Icon NHI White Paper Published
05 Jul 17 | Read More »
Reports since the publication of this long awaited document certainly contain conflicting reports on what we can expect. Pam Saxby for Legalbrief Policy Watch notes that that references in the media to proposals ‘scrapping’ tax credits for medical scheme members ...
Icon FSB Appeal Board Clarifies Factual Causation
05 Jul 17 | Read More »
By Alan Holton The recent Appeal Board Determination in the matter of J&G Financial Service Assurance Brokers (Pty) Ltd and R L Prigge is an important Determination for a number of reasons. Mention has already been made in this publication of a number of the comments ...
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This is the movement of member/s into and out of a registered fund and requires a Section 14 certificate (which is an approval from the Financial Services Board).
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