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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.

Moonstone Compliance and Risk Management

Since the company’s inception in 2002, Moonstone Compliance has established and maintained an exceptionally high standard for the delivery of professional compliance and licensing services to the financial services industry. More than a decade of experience has solidified the company’s position as an industry leader, well-known for delivering professional compliance 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 ensure that our clients are both compliant and satisfied.

What do we offer?

We specialise in regulatory compliance and licensing solutions for the financial services and credit industries.

Compliance Services:

Our focus includes regulatory guidance, compliance monitoring, analytical reporting and keeping you informed.

  • 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 compliance risk management plans, policies and other supporting documentation and procedures.
  • Our National Credit Act compliance service consists of two components namely a practice assessment in which we perform a compliance gap and risk analysis and an ongoing service which ensures that the compliance requirements are implemented and monitored.
  • 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.
  • We also offer compliance solutions for smaller FSPs, Credit Providers and Micro Lenders.

Licensing and Registration Services:

We assist FSPs with the following registrations:

  • FSCA Licence applications for Category I, Category II, Cat IIA and Category IV FSPs. Having assisted clients since 2004 with applying for FSP licences, we are well equipped to deal with these applications comprehensively and efficiently.
  • Profile changes and updates on the FSCA registry, including changes to personnel, business and contact details, and financial products.
  • Facilitating your registration with the National Credit Regulator and providing comprehensive guidance on the requirements and completion of the application forms.

Advisory Services:

Amongst the things that set us apart from other compliance practices is our ability to offer advisory services in addition to our core services. We have assisted many clients with bespoke consultation services, legal opinions, special projects and providing assistance to their internal compliance structures.

Software Solutions:

The Fit & Proper Tracker system is an integrated solution geared towards managing the full Fit & Proper competency life-cycle of Key Individuals, Representatives and Sole Proprietors. The Tracker allows you to assess on-boarding criteria, track competency profiles and manage your staff members’ CPD training requirements. The functionality offered by the Tracker system presents an effective solution for FSPs seeking to improve their workforce management and overall business performance.

Please visit our website for more information. 

Company Press Releases »

Icon Importance of RE Qualifying Criteria
31 Aug 18 | Read More »
In response to a recent enquiry from a candidate, it is important to highlight the absolute necessity to ensure that you take into account the qualifying criteria when preparing for the regulatory exams. Firstly, we want to emphasise that studying the Preparation Guide ...
Icon Financial Services Industry – no need to overcomplicate things
31 Aug 18 | Read More »
The Financial Advisory and Intermediary Services (FAIS) Act, the General Code of Conduct, the Financial Intelligence Centre Act (FICA), Treating Customers Fairly (TCF), the Protection of Personal Information Act (POPI), the Retail Distribution Review (RDR) and Fit and Proper ...
Icon SAcsi - Treating Customers Fairly increases Customer Satisfaction
24 Aug 18 | Read More »
The SAcsi benchmark once again revealed that short-term insurers’ biggest challenges and complaints were related to their pricing, response times and claims processes. Short-term insurers were also measured against the Treating Customer Fairly (TCF) outcomes. TCF ...
Icon FAIS Ombud determination puts emphasis on financial advice 101
24 Aug 18 | Read More »
On the 15th of August 2018, Naresh Tulsie, the Ombud for Financial Services Providers, ruled in favour of a complainant and ordered the respondent to pay the complainant a combined amount of R310 000. This follows an original recommendation made in terms of section 27 ...
Icon INSETA withdraws RE study material
22 Aug 18 | Read More »
A notice on the INSETA website reads: “After receiving several complaints from stakeholders regarding the inaccuracy of the RE (FAIS) materials (sic), a decision has been made to withdraw the materials from the Inseta website. ” Students are advised to download ...
Icon Fais Fit and Proper: Exemption of Certain Representatives from COB Training Requirements
10 Aug 18 | Read More »
In terms of section 29 of the Determination of Fit and Proper Requirements for Financial Services Providers, 2017 ("Determination"), representatives must, prior to rendering any financial services, complete class of business training (CoB) relevant to the financial ...
Icon Fais Fit and Proper: Exemption of services under supervision - Differences between 2008 Exemption and the Draft Exemption (part 2)
10 Aug 18 | Read More »
The FSCA’s discussion on the substance of the Draft Exemption is structured to highlight the significant differences between the 2008 Exemption and the Draft Exemption rather than to address each and every difference or new requirement. In our previous article we ...
Icon Fais Fit and Proper: Exemption of services under supervision
08 Aug 18 | Read More »
Differences between 2008 Exemption and the Draft Exemption The FSCA released the “Consultation Paper: Exemption on services under supervision” last week and mentioned that it is necessary to replace the 2008 Exemption with the Draft Exemption (the replacement) ...
Icon Draft Tax Laws Amendments Bills
25 Jul 18 | Read More »
National Treasury published a media release titled “Publication of the 2018 Draft Taxation Laws Amendment Bill and 2018 Draft Tax Administration Laws Amendment Bill for public comment” on 16 July. The draft Taxation Laws Amendment Bill, 2018 (TLAB) and ...
Icon Do you know your products?
20 Jul 18 | Read More »
According to the Fit and Proper Requirements timeline schedule a representative under supervision as at 1 April 2018 or appointed during April 2018 must have completed Product Specific Training by 31 July 2018. To better understand this requirement let’s ...
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