Service Query - FAIS & FSP | Moonstone Compliance and Risk Management

I want to know more about Moonstone’s:**
- Comprehensive Service (Suitable for all FSP types)
- Self-Comply (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

Compliance and Licensing Service Enquiry

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