Financial Services – Moonstone Compliance

Financial Services Compliance & Licensing

Your Regulatory Specialists

We specialise in financial services regulatory compliance and licensing solutions for all categories of financial services providers (FSPs) and businesses in the financial services industry. As part of the Moonstone Group, we leverage a robust platform and infrastructure to deliver comprehensive, future-focused support.

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Why Choose Moonstone for Financial Services Compliance?

Experienced & Informed Compliance Officers:
Our FSCA-approved team, with over 20 years of practical experience, provides expert guidance and top-quality services.
Nationwide Reach: Our compliance officers and multi-disciplined consultants, with diverse financial services, legal, and financial planning backgrounds, operate across South Africa, ensuring seamless support for decentralized operations.
Uncompromised & Independent: Moonstone Compliance delivers advice and solutions that are objective, impartial, and fully aligned with our clients’ best interests.
Innovative Compliance Methodologies: We employ cutting-edge technology, processes, and solutions to deliver unparalleled compliance support.
Trusted by Over 1 500 FSPs: Representing more than 12 000 advisers nationwide, we are the outsourced compliance practice of choice.

Our Services

Comprehensive Compliance

As your appointed Compliance Officer, we provide:

Independent monitoring, reporting, and risk management.
Support in navigating complex legislation.
Liaison with the regulator on your behalf.
Tailored compliance assessments and internal framework support.

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Self-Comply

An online compliance solution for FSPs who do not require a dedicated Compliance Officer. This service empowers you to meet your regulatory obligations and responsibilities independently.

A Moonstone compliance consultant will assist you with managing and monitoring your compliance obligations.
You will receive access to compliance documents and templates, deadline reminders, regular updates and actionable insights.
FAIS and FICA modules are available.

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Licensing

We offer expert licensing services, including:

New licence applications for Category I, II, IIA, and IV FSPs.
Profile changes and updates on the FSCA registry.

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Consultancy

Bespoke consultation services tailored to your needs, including:

Compliance opinions and special projects.
Support for internal compliance structures.

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Why Do You Need a Compliance Service Provider?

Compliance ensures adherence to laws, regulations, contractual obligations, and internal policies. Our independent compliance function:

Identifies, assesses, and advises on compliance risks.
Monitors and reports on risks specific to your business.
Provides regular industry and legislative updates.
Delivers a suite of supporting documents and procedures.

Our Commitment

At Moonstone Compliance, we are driven by a culture of excellence, core values, and ethical principles. Our pursuit of quality service ensures compliant, satisfied clients, solidifying our reputation as the leading outsourced compliance practice.

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Financial Services Insights

Key compliance issues in 2024

Billy Seyffert, the chief operating office of Moonstone Compliance, breaks down the key regulatory and compliance developments of 2024 and what’s on the horizon for 2025. Whether you’re a financial adviser, insurer, or an accountable institution under the Financial Intelligence Centre Act (FICA), this discussion offers valuable insights into the changes shaping the compliance landscape. […]

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Two-pot retirement system and investment strategies

The introduction of the two-pot retirement system has sparked debate about whether retirement funds’ investment strategies should adapt to this new framework. Andrew Davison, the head of Institutional Business at Old Mutual Multi-Managers, discusses how the new system provides space for investment strategies to improve members’ outcomes at retirement.

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Two-Pot Retirement System

The two-pot retirement system will affect members of all types of retirement funds: • Pension funds, provident funds, pension preservation funds, provident preservation funds, and retirement annuity (RA) funds. • Private sector funds and public sector funds. • Defined-benefit funds and defined-contribution funds. • Umbrella funds and stand-alone funds. Links to our brochures: Which funds […]

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Bridging the gap – where security meets compliance

DataGr8 advocates a security-first approach, empowering businesses by enhancing operations while ensuring robust protection against threats. While compliance standards provide essential benchmarks, mere tick-box exercises are insufficient. Aligning security measures with compliance requirements is crucial for comprehensive protection. From security to compliance: DataGr8’s approach begins by bolstering an individual or business’s security defences through their […]

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Vulnerability management – DataGr8 on patrol

In the realm of cybersecurity, the significance of reactive measures, like Managed Detection and Response (MDR), cannot be overstated. However, equally crucial is the progression towards proactive security strategies. While reactive methods tackle incidents post-occurrence, proactive cybersecurity introduces an additional layer of defence. Vulnerability management serves as the linchpin in this progression. Shining a light […]

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From your cellphone to your laptop – Lock up and go

DataGr8’s cybersecurity strategy, rooted in the NIST framework, emphasises security. Their Managed Detection and Response (MDR) service utilizes AI technology for comprehensive security coverage across all devices. With global teams available 24/7, DataGr8 swiftly responds to security incidents, remotely addressing breaches on behalf of clients. They not only resolve issues but also aid in recovery, […]

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The cloud and how to protect against stormy weather

A third-party backup provider is crucial for cloud data storage because it adds an extra layer of security and control. Relying solely on cloud providers to safeguard an organisation’s data may leave it vulnerable to various risks. With a third-party backup solution, the business maintains ownership and control of its data backups independently, ensuring quick […]

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Business email compromise – the wolf in sheep’s clothing

Securing email has become an indispensable aspect of modern cybersecurity strategy. As a primary communication channel, email is vulnerable to cyber threats such as phishing and malware. The concept of securing email revolves around ensuring the authenticity, integrity, and confidentiality of email communications. Robust security measures help organisations to protect sensitive data, prevent breaches, and […]

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Cyber security awareness training – it starts with people

Cybersecurity is more than just technology – it’s about the convergence of people, business processes, and technologies. In this interconnected landscape, people are the vital link that can either strengthen or weaken a company’s defences. That’s why cybersecurity training is crucial – to empower individuals to become the first line of defence, creating a robust […]

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The five pillars to surviving cybersecurity

Joint Standard 1 of 2023: Information Technology Governance and Risk Management and the draft Joint Standard: Cybersecurity and Cyber Resilience Requirements, published by the FSCA and the Prudential Authority, set the bar for cybersecurity practices, aiming to protect data, systems, and reputation. These standards align closely with the NIST cybersecurity framework, which includes five key […]

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Greylisting: one year on

It has been a year since the Financial Action Task Force (FATF) grey-listed South Africa. At the time, many predictions were made about the impact that greylisting would have on the country. Moonstone speaks to Sangeeth Sewnath, deputy managing director of Ninety One, about the extent to which greylisting is affecting the economy, the capital […]

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MOONSTONE UPDATE: Key compliance themes of 2023

Watch Moonstone Update for an overview of some of the stories covered in the past week’s Investment Indicators and Moonstone Monitor. Episode 44 for 2023: YEAR-END SPECIAL Mark Bechard talks to Billy Seyffert, Moonstone Compliance’s chief operating officer, about some of the important compliance-related issues that arose in 2023 and what businesses should be doing […]

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Greylisting: what’s at stake for South Africa

Moonstone is proud to announce the release of “Greylisting”, which reveals the shocking reasons South Africa has been found seriously wanting when it comes to money laundering and terrorism financing. You’ll find out how grey-listing could impact every South African if the country does not implement the measures necessary to get off the list. “Greylisting” […]

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