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I want to know more about Moonstone’s:*
(Required)
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: *
(Required)
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:
(Required)
No
Yes
Please indicate how we can assist you:
(Required)
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 *
(Required)
FSP Number (if available)
(Required)
Name of Contact Person *
(Required)
Email Address *
(Required)
Contact Number *
(Required)
Business Address *
(Required)
Business City / Town *
(Required)
Business Province
(Required)
Business 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:
How did you hear about us?
(Required)
To help us understand how clients find us and improve our services, please let us know where or how you first heard about our Moonstone Compliance?
Web search for Compliance Services / Website
Referral from a current Moonstone Compliance client
Referral from a colleague
Referral from a Moonstone Compliance partner
Referral from another Moonstone company
Referral from a Regulator or Industry Body
Industry Events / Networking Events
Our Events / Webinars
Outbound Sales intervention
Marketing Intervention, such as our Social Media posts
Other
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