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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 The client’s right to know
22 Sep 17 | Read More »
Last week, we reported on the Phoshera judgment by the FSB Appeal Board where it concurred with the view of the FAIS Ombud that the rejection of a claim was warranted on the basis that the vehicle did not comply with the required terms and conditions of the prescribed roadworthiness ...
Icon Too many eggs in one basket?
22 Sep 17 | Read More »
“Catch-22 is any paradoxical, circular reasoning that catches its victim in its illogic and serves those who have made the law. ” One of the options in the Merriam-Webster dictionary reads: “A situation presenting two equally undesirable alternatives ...
Icon FAIS Ombud Actions Queried
20 Sep 17 | Read More »
Two issues in the recent Phoshera appeal again saw the Appeal Board ask questions about the FAIS Ombud’s decisions. “This appeal is filled with procedural anomalies. First, there is the question of condonation for the late filing of the application for leave ...
Icon Exemption for FAIS Compliance Officers
15 Sep 17 | Read More »
FAIS Notice 119, published on 13 September 2017, contains details of changes to the minimum prescribed intervals of visits and reports by compliance officers as contained in Section 4(4) of the Notice on Compliance Officers. These changes are as a result of feedback from ...
Icon Appeal Board upholds FAIS Ombud’s Decision
15 Sep 17 | Read More »
In June we reported on three new cases to be heard by the FSB Appeal Board. One of these concerned a complaint that was dismissed by the Ombud but the client, an advocate, appealed to the Board against the Ombud’s finding. Background The claim was rejected because ...
Icon POPI Information Officer Obligations
15 Sep 17 | Read More »
The Protection of Personal Information Act adds yet another obligation on businesses in the financial services sector. Draft regulations, published on 8 September 2017, set out what will be required. Section 4 outlines the duties and responsibilities of information officers ...
Icon Lapsing of a FAIS Licence
14 Sep 17 | Read More »
FAIS Newsletter 24 contains interesting information on matters concerning FSB licences. Regarding the lapsing of a licence, Section 11 of the FAIS Act states that: (1) A licence lapses – a) where the licensee, being a natural ...
Icon Retirement Funds Default Regulations
13 Sep 17 | Read More »
The latest ASISA Dispatches comments as follows: The final regulations were issued by the Minister of Finance on 25 August 2017. The effective date is 1 September 2017 with 18 months being afforded for existing default arrangements to comply. Unfortunately, the regulations ...
Icon Do you offer financial advice or coaching?
13 Sep 17 | Read More »
By Patrick Cairns Every financial adviser should be familiar with the statistics: Only 5% or so of South Africans will retire comfortably. In total, South African consumers owe R1. There are 20 million active credit users in the country and around 60% of those are impaired ...
Icon FIC Amendment Act Implementation Update
08 Sep 17 | Read More »
The Financial Intelligence Centre (FIC) Act has been amended with the first set of provisions coming into effect on 13 June 2017. These provisions do not have any effect on accountable institutions. The next set of provisions will come into operation on 2 October 2017 and ...
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From The Glossary »


First Surplus Treaty:

The name given to an ordinary surplus treaty, which means that the surplus must be allotted to the treaty first and in priority to any other surplus reinsurance treaty. Sometimes a second surplus treaty, and a third surplus treaty are in place and these would receive a share of the surplus only after the first surplus treaty had received the full amount to which it was entitled.
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