AFSL C2 Proof Template – Scheme Operating Capacity Statement

Description

This C2 Scheme Operating Capacity Statement template document includes a description of:

• the scheme(s) your business intends to operate, including the nature of scheme property, the target market (wholesale/retail) and the proposed number of investors;
• if applicable, any existing registered schemes that you operate;
• who will hold the legal title to the scheme property and how it will be kept separate from other property;
• your business’s Compliance Committee (if a Compliance Committee is in place, how it will fulfil its responsibilities; or if a Compliance Committee is not in place, how the Board of Directors will undertake this function);
• any scheme-specific accounting, computing and operating systems and how your business will monitor and maintain these systems;
• how you will identify and determine the status of investments held by your business and/or a custodian;
• how you will manage access to and security of client records;
• how you will value and price your business’ investments; and
• a description of how you will market your business’ products and/or services.

This template has been developed to meet the standards required in Section 601GA of the Corporations Act and outlined in ASIC Regulatory Guide 3.

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