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Home
About Us
What We Do
Our Team
Moonstone Group
Disclaimer
Our Services
Financial
Services
Comprehensive Compliance
Protector
Consultancy
Licensing
National
Credit Act
Registration services
Compliance services
Advisory
SOFTWARE
SOLUTIONS
Fit & Proper Manager
Events
Blog/Media
Contact Us
Enquiry Form
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Compliance and Licensing Service Enquiry
Compliance and Licensing Service Enquiry
I want to know more about Moonstone’s:*
*
Comprehensive Service (Suitable for all FSP types)
Protector Service (Suitable for FSPs that are not required to link a Compliance Officer)
Consultation Service (Range of services including legal opinions and once-off compliance audits)
Licensing Services (FAIS Licence applications and profile changes)
My current FSP licence status: *
*
I already have a FSP license
I have applied for a FSP licence and do not require any further assistance in this regard
I am contemplating applying for a new FSP licence and want Moonstone Compliance and Risk Management to assist me with the application
I am not a FSP and will not be applying for a FSP licence
Please indicate whether you require assistance with Profile Changes:
*
No
Yes
Please indicate how we can assist you:
*
Adding / removing an individual (Directors, Shareholders, Key individuals, Representatives, Compliance Officers, Auditors, etc.)
Adding / removing a Category (Category I, II, IIA, III and/or IV)
Adding / removing financial products
Conversion of a Close Corporation to a Company, etc.
Other profile changes (Change of FSP information, Direct Marketer description, Adding a Clearing Firm, Amending a Mandate, etc.)
Name of Business *
*
FSP Number (if available)
*
Name of Contact Person *
*
Email Address *
*
Contact Number *
*
Business Address *
*
Business Address City / Town *
*
Business Address Province
*
Business Address Country
Please indicate the FSP’s current (or anticipated) licence category:
Category I
Category II
Category IIA
Category III
Category IV
Please indicate the FSP’s current (or anticipated) industry / business focus:
Independent Financial Services Providers (For example: Financial Planners, Brokerages, Call Centres and Motor Dealerships)
Insurance (For example: Long and Short-term Insurers, Underwriting Managers, Cell Captives and Administrators)
Investment Management (For example: Asset Managers, Private Equity Funds, Forex providers, CIS Funds and LISPs)
Financial Markets (For example: Stockbrokers, Derivative Issuers and JSE members)
Retirement Funds (For example: Pension Funds, Section 13B Pension Fund Administrators and QROPS)
Health (For example: Medical Schemes and Health Administrators)
Funeral (For example: Parlours and Administrators)
Foreign Company or FSP
How many individuals providing financial services are (or are anticipated to be) employed by your business?
How many business premises / offices (where financial services are rendered) do you have?
Who is your current / previous Compliance Officer / Compliance Practice, if applicable?
If applicable, what are the reasons for changing your current Compliance Officer / Compliance Practice?
Message / Comments:
Unique ID
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First Name
*
Last Name
*
Email Address
*
Landline Number
Cellphone Number
FSP Number / Company Name
x