*   We have appointed Moonstone as our compliance officer. *   Completed a comprehensive practise assessment. *   Adopted the right business format to be most helpful in terms of future licensing implications. *   An in-house compliance officer has been appointed to oversee all compliance responsibilities. *   We have acquired appropriate licensing from the FSB. *   All our employees have received proper and extensive training on the FAIS and FICA Acts. *   Procedures as prescribed by the FAIS and FICA are carried out. *   Operating procedures such as forms for disclosures, advice processes, client interactions, new business, existing      business, replacements and documents have been designed and implemented. *   Client complaint procedures are implemented as per FAIS directions. *   Data is stored on hard copy and electronically while kept off-site. *   Control measures are put in place to fast track deviations and non-conformance. *   Risk management protocols have been designed and executed. *   Professional indemnity per representative has been secured.         Compliance Officer Glopin’s compliance officer is Moonstone Compliance (Pty) Ltd. and is represented by MS. Charmaine Terblance, of Moonstone. Moonstone Compliance can be contacted at: 5 Innovation centre Meson Street Techno Park Stellenbosh 7600 Tel: 021-880 0688 Glopin has secured Professional Indemnity of R1 000 000 per employee and subcontractor. We are further licensed by the Financial Service Board and our License Number is 12641.