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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 Professional Principal Executive Officer Qualification
17 Jan 18 | Read More »
Registration is now open for candidates who want to enrol for the first intake on 26 February 2018. The Professional Principal Executive Officer Qualification is a much-needed stimulus for the professionalisation of the role of the Principal Officer which has historically ...
Icon Fais: New Fit and Proper Regulations and the Regulatory Exams
17 Jan 18 | Read More »
The long anticipated amended “Determination of Fit and Proper Requirements for Financial Services Providers, 2017” was finally printed in December last year. The following requirements are applicable in terms of the regulatory examinations: The competence ...
Icon Fais: Regulatory Impact of Product Training under new Fit and Proper
17 Jan 18 | Read More »
The Financial Services Board subcontracted the beleaguered KPMG to do an impact assessment on the proposed amendments related to the Fit and Proper requirements, as published in the Draft fit and proper requirements (2016). In particular, the study focused on the proposed ...
Icon Registrar issues guidance note on reappointment of debarred reps
12 Jan 18 | Read More »
A newly published document by the Registrar attempts to address some of the practical problems experienced in the past “16. The frequency of representative complaints reported to the Registrar's office, and the intensity of debate around the issue of debarments ...
Icon Fais: New Fit and Proper Regulations and the Regulatory Exams
12 Jan 18 | Read More »
The long anticipated amended “Determination of Fit and Proper Requirements for Financial Services Providers, 2017” was finally printed in December last year. Do not be fooled by the fact that the determination, sans the annexures, only consists of 40 pages. ...
Icon FSB Appeal Board Halves Debarment Period in Baloyi Case
12 Jan 18 | Read More »
A recent case before the FSB Appeal Board saw the period of debarment halved which is an interesting deviation from previous views held by the Board on its powers to interfere in decisions by the Registrar. In May last year we published an article in which we discussed ...
Icon Update on insurance industry legislative changes in 2018
10 Jan 18 | Read More »
The Insurance Conduct Workshops held in Pretoria and Cape Town in December 2017 were very informative and provided a good update of the current and future regulatory landscape. Those unable to attend are advised to study the presentations published on the FSB website. Below ...
Icon Final Insurance Conduct Regulations and Policyholder Protection Rules
10 Jan 18 | Read More »
We have become used to the publication of important regulatory changes on and after 15 December each year, but 2017 set a new “record” which will be hard to beat. We will be sharing this information in small dosages so as not to scare you out of the industry ...
Icon FICA Update – December 2017
15 Dec 17 | Read More »
FAIS Newsletter 25 from the FSB is dedicated to the Financial Intelligence Centre Act and, more specifically, to substantial changes which came into effect in June and October. The amendments are designed to bring South Africa’s Anti-Money Laundering and Countering ...
Icon Fais Regulatory Examinations Pass Mark
13 Dec 17 | Read More »
A candidate recently wrote to protest against what she considers to be the very high pass mark for the regulatory exams compared to others in the industry, and suggested it be lowered to 50%. The FSB responded as follows: Firstly, it is important to understand the purpose ...
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From The Glossary »


Cash Portfolio:

A portfolio that includes cash investments (see definition of "Cash Investments"). Returns are similar to those from cash in the bank.
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