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Moonstone’s Compliance Solution

There are a wide variety of compliance service providers in the financial services industry, which makes it difficult to compare apples with apples.

We list below the services offered by Moonstone, and a link to an enquiry page, should you wish Moonstone to assess your needs. You can enquire about the Comprehensive or Protector services, as well as our Compliance Consultation facility.

A Compliance Officer will contact you to arrange a meeting and to explain the service of your choice in more detail. Pricing for the Comprehensive and Consultation services will vary, depending on the level of service required, the size and geographic spread of your business and the type of monitoring required.

The Moonstone Comprehensive Service offers the following benefits:

  • The linking of a Compliance Officer to your licence
  • The compiling of a FAIS & FICA Compliance Risk Management Plan
  • Access to examples of compliance documents and policy templates
  • Regular compliance monitoring and quarterly feedback reports
  • The completion of your annual compliance report(s) to be submitted to the Regulator
  • Online FICA awareness training for all personnel
  • Free subscription to all Moonstone’s electronic newsletters
  • Assistance with securing professional indemnity cover at preferential rates

To receive a “no-obligation” quotation for the Comprehensive Service, kindly complete the Compliance Service Enquiry form at: https://www.moonstone.co.za/compliance-service-enquiry/

Call us on 021 883 8000 if you need assistance.

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