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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 GTC Medical Aid Survey 2017
23 Jun 17 | Read More »
Results reveal that small medical aids also offer good value, and highlights that consumers may be unaware of their own medical aid plans and the benefits contained therein. Smaller medical schemes perform well by offering consumers value for money, but they have not been ...
Icon Council for Medical Schemes to address Undesirable Practices
23 Jun 17 | Read More »
The Council for Medical Schemes published Circular 39 of 2017, calling for industry input on its intention to declare certain practices irregular or undesirable. Regulation 8 of the Medical Schemes Act entitles medical schemes to select certain healthcare providers to provide ...
Icon Insurance Bill Update June 2017
23 Jun 17 | Read More »
The National Treasury presented its response to public comments received on the Insurance Bill, 2016, to Parliament’s Standing Committee on Finance in May. A copy of the Bill, as well as the presentation was published on Wednesday. Key Issues Addressed In Proposed ...
Icon FSP’s and reporting to the Financial Sector Charter Council
19 Jun 17 | Read More »
The Financial Sector Charter Council recently approached a number of people in the industry requesting that they register and submit their 2016 B-BBEE report. One reader actually submitted the form, together with his exemption certificate. The response read: “Your ...
Icon Insurance Brokers should review material terms with clients regularly
19 Jun 17 | Read More »
We recently discussed two determinations made by the Ombud for Financial Services Providers in which she found that the respondents were lacking in their duty to provide clients with a reasonable explanation of material terms of their contracts. Julian Lavagna of Moonstone ...
Icon Moonstone Compliance congratulates FIA Annual Award Winners
14 Jun 17 | Read More »
We would like to add our congratulations to the following providers who were voted tops in terms of product, relationship and service to the country’s financial advisors and insurance brokers. Short Term Insurer of the Year – Personal Lines: Santam Short Term ...
Icon Hindsight and Objectivity – Ombud rules on Discovery’s failure to inform client of entry date option
14 Jun 17 | Read More »
The recent Molate determination, in which Discovery Life was held liable for losses incurred after the death of a life assured, again raises the issue of objectivity with the benefit of hindsight. Background The complainant made an enquiry regarding life cover at one ...
Icon The Fais Ombud and too many cooks
12 Jun 17 | Read More »
The phrase “Friends, Romans, Countrymen, lend me your ears” was not uttered by Vincent van Gogh after the painful self-inflicted loss of his hearing appendage. A recent FAIS Ombud determination reminded me of this speech by Marc Anthony in Julius Caesar, another ...
Icon Compliance support for smaller FSPs
05 Jun 17 | Read More »
The Moonstone Protector Service (Protector) was specifically developed for FSPs that, although not legally obliged to appoint a Compliance Officer, realise the need for external support and expertise to ensure compliance with FAIS and FICA legislation. Protector offers ...
Icon FAIS Reality Check from a Client Perspective
05 Jun 17 | Read More »
In April I reached that age where the company rules determine that the time has come for me to follow Paul Simon’s advice: “Slow down, you move too fast, you’ve got to make the morning last…” Turning 65 was quite a mind changing event ...
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From The Glossary »


Offshore Equity Fund:

The Offshore Equity Fund is suitable for those investors seeking the potentially excellent capital growth associated with equity funds while wanting to benefit from adverse movements in the value of the rand against other currencies. The fund manager's aim is not only to achieve good performance in dollar terms, but also to benefit from a possible decrease in the value of the rand. It invests in blue-chip shares listed on stock exchanges in North ...
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