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.