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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 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” ...
Icon Illegal Incentives for selling insurance and financial services
28 Apr 17 | Read More »
Despite regular reminders, payments to advisers outside of what is legally permissible continue to make the news. This topic was covered in some detail in FAIS Newsletter 23, published in March 2017. Although the article refers specifically to motor dealerships, it contains ...
Icon Robo Advice in a nutshell
05 Apr 17 | Read More »
In South Africa, automation of financial advice is still relatively scarce, but very likely to surge in the next few years. In the USA, it already plays an important role in the investment space, which led to the authorities spreading its regulatory net to include such ...
Icon Too Few Good Men?
05 Apr 17 | Read More »
The fate that befell former Finance Minister Pravin Gordhan and his deputy, Mcebisi Jonas, last Friday confounded most rational thinkers. The terse manner in which Gordhan was first recalled from the investor summit abroad, and then the sacking of both officials, left everyone ...
Icon Lack of TCF seen as aggravating factor by FSB Enforcement Committee
03 Apr 17 | Read More »
The latest settlement agreement, between the Registrar and New National Assurance Company Limited, contains an interesting new slant to what we have become used to. The Registrar was of the opinion that the respondent contravened Rule 7. 4(a) of the Short-term Policyholder ...
Icon Regulatory update on Short-term Insurance
03 Apr 17 | Read More »
The FSB FAIS Conference last month provided the latest thinking on a number of important aspects related to the short-term industry. Binders and outsourcing Leanne Jackson pointed out that a significant risk of conflict exists where a Registered Financial Adviser (RFA) ...
Icon Call for Caution on Regulatory Interventions
03 Apr 17 | Read More »
Last week we published an extract from the ASISA Dispatches to give readers a perspective on the multitude of legislative changes currently underway in the financial services environment. On Tuesday, the Financial Intermediaries Association of Southern Africa (FIA) issued ...
Icon Legislative avalanche warning for FSPs
29 Mar 17 | Read More »
If you have just returned from a visit to Mars, you may want to take cognisance of some of the legislative changes that are currently taking place. It is a daunting task just trying to keep up with what it entails, never mind what will be required in terms of implementation ...
Icon Breathing space for Medical Insurers
22 Mar 17 | Read More »
Demarcation Regulations, published on 23 December 2016, determined that certain insurance policies that have elements of a business of a medical scheme shall be 'health policies', and 'accident and health policies' respectively. The 'health policies', ...
Icon Fais Compliance - Compassion not an alternative to Compliance
22 Mar 17 | Read More »
The latest ruling by the Appeal Board reaffirms the fact that there really is no alternative, harsh as it may sound. The appellant appealed against the withdrawal of his licence by the Registrar. This decision was based on no less than ten instances of non-compliance with ...
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