Self-Comply gets smarter: tailored compliance for your small business

Small financial services providers (FSPs) and sole proprietors face unique challenges in navigating their compliance requirements. Moonstone Compliance’s enhanced Self-Comply Service is specifically designed to offer tailored guidance to ensure that your business thrives while staying compliant.

We sent out a survey to our Self-Comply clients last year. Following their valuable feedback, we’ve upgraded the Self-Comply Service to deliver even greater support.

Who is the service for?

The Self-Comply solution is designed to provide compliance guidance and support to smaller FSPs and sole proprietors, who are not required to have a compliance officer in terms of the Financial Advisory and Intermediary Services Act (FAIS). You do not necessarily have to be an accountable institution in terms of the Financial Intelligence Centre Act (FICA).

Key elements of the service offering

A dedicated compliance consultant will be at your service to assist you with managing and monitoring your compliance obligations. The dedicated compliance consultant are committed to providing personalised support, ensuring you have a trusted partner to guide you through your compliance obligations.

With the updated service, Self-Comply clients will have the following at their disposal:

• Compliance plan sessions: Collaborate with dedicated compliance consultants to assess your current compliance status and receive actionable, tailored recommendations.
• Customised compliance plan: Receive a compliance roadmap designed specifically for the needs of small FSPs or sole proprietors.
• Ongoing file monitoring: Stay audit-ready with regular file reviews to ensure compliance at all times.
• Instant access to key documents: Retrieve essential compliance documentation quickly and easily.
• Legislation at your fingertips: Be empowered by staying up to date with the latest regulatory changes and FAIS and/or FICA compliance requirements.
• Insightful monthly newsletters: Receive curated industry updates on FICA and FAIS developments, as well as expert tips and best practices delivered to your inbox.
• Timely deadline alerts: Never miss critical deadlines, such as CPD submissions, with proactive reminders.
• Staff training on FICA (where applicable): Empower your team with FICA training to assist them to meet regulatory standards with confidence.

Why choose Self-Comply?

Whether your goal is to achieve full compliance with FAIS and/or FICA or to proactively manage compliance risks, the Self-Comply Service is tailored to help your business succeed. With the service’s enhanced features, you’ll save time, reduce stress, and focus on what matters most – growing your business.

Service offerings available and costs

Moonstone has streamlined its offerings to focus on what our clients need most. Choose from two comprehensive packages:

1. FAIS and FICA offering: Full support covering both FAIS and FICA compliance requirements. Price: R1 200 (excl. VAT)
2. FAIS-only Offering: Targeted support for FAIS compliance requirements. Price: R1 000 (excl. VAT)

Note: A FICA-only offering is not available for small or simple accountable institutions at this time.

Get started today

Are you ready to simplify your compliance journey? Contact us at admin.selfcomply@moonstonecompliance.co.za to learn more about the Self-Comply Service or to discuss which offering best suits your needs.