Secondary

Licence Application Assistance

We are experiencing a noticeable increase in enquiries from the industry for assistance with licence applications.

The documentation and supplementary information required by the FSB in order to assess such applications have become increasingly complex over the years. Experience necessitated such changes, as the Regulator has to ensure that only suitable new entrants are allowed into the industry.

Needless to say – for the once-off applicant it can be a scary prospect.

Moonstone has been handling licence applications since 2004 and has highly experienced staff to assist applicants with this daunting task.

Services provided by our Licensing department include:

  • Licence applications for Category I, Category II, Category IIA (Hedge Funds) and Category IV
  • Profile changes/updates on the FSB registry.

Our process starts with a needs assessment to ensure we know exactly what is required in order to best serve your needs.

Moonstone charges a fee for these secretarial services, which is in addition to the prescribed fees payable to the FSB.

For more information, visit our website, or contact Abigail on 021 883 8000, via email to Abigail@moonstoneinfo.com.

FAIS Notice 36 of 2014 exempted FSPs and representatives from the following requirement in the FAIS Act:
“A person may not render financial services or contract in respect of financial services other than in the name of the financial services provider of which such a person is a representative.”

The final date to comply with this requirement is 30 June 2015. If a new licence is required, we suggest you contact us urgently.

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