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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 Healthcare Broker Fee Increase
17 Nov 17 | Read More »
Regulation 28(2), published in terms of the Medical Schemes Act, now effectively reads as follows: "Subject to sub-regulation (3), the maximum amount payable to a broker by a medical scheme in respect of the introduction of a member to a medical scheme by that broker ...
Icon SaXum Liquidation Update
17 Nov 17 | Read More »
The short-term insurance industry, through the South African Insurance Association (SAIA), has established a limited voluntary fund (SAIA Fund) to try and alleviate the prejudice suffered by those policyholders with motor accident claims affected most negatively by the ...
Icon Insurer Obligations on accessing Consumer Credit Reports
17 Nov 17 | Read More »
by Gerrit Viviers In future, insurers will have to submit credit information in order to continue accessing consumer credit reports from credit bureaux. On 3 November 2017, the National Credit Regulator (NCR) published its final guideline for the submission of credit ...
Icon Pension Funds - Prohibition of Inducement and Acceptance of Gratification
15 Nov 17 | Read More »
The Registrar of Pension Funds published, for comment, a draft Directive to determine conditions in respect of inducements and acceptance of gratification to ensure compliance with and to prevent contraventions of the objectives of a board as determined in terms of section ...
Icon Long Term Act Regulations: Draft Determination on Equivalence of Reward
15 Nov 17 | Read More »
Perceived disparities between remuneration for tied agents and independent advisers have been a bone of contention for ages. The Registrar also expressed concerns about the possibility of using remuneration, other than commission, to create “…opportunities ...
Icon Proposed Amendments to General Code of Conduct
10 Nov 17 | Read More »
The Registrar published proposed amendments to the General Code of Conduct for Authorised Financial Services Providers and Representatives, 2003 and proposed amendments to the Specific Code of Conduct for Authorised Financial Services Providers and Representatives conducting ...
Icon Fais - Complaints Management Proposals
08 Nov 17 | Read More »
The proposals for amendments to the General Code of Conduct (GCoC), published in November 2017, expand substantially on the Regulator’s expectations in terms of how complaints are handled. Exactly three years ago we published a three-part series on the outcome of ...
Icon Fais - Proposed Amendments to General Code of Conduct
08 Nov 17 | Read More »
The Registrar published proposed amendments to the General Code of Conduct for Authorised Financial Services Providers and Representatives, 2003 and proposed amendments to the Specific Code of Conduct for Authorised Financial Services Providers and Representatives conducting ...
Icon TCF guidelines for Retirement Funds
08 Nov 17 | Read More »
Pam Saxby for Legalbrief Policy Watch writes: “Comment is sought by 30 November on four draft notices affecting retirement fund internal complaints management. Underpinned by the ‘treating customers fairly (TCF)’ framework for supervising the business ...
Icon Case studies from the Short-term Ombud
03 Nov 17 | Read More »
The October edition of the OSTI Briefcase contains some interesting insights on two complaints, in particular. Promissary warranty The issue for determination in this matter was whether the insurer was entitled to reject a claim for the loss of a tennis bracelet, worth ...
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