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AFSL C3 Proof Template – Market Maker Statement



This C3 Market Maker Statement proof template includes all details relevant to your business in terms of; make a market related activities, transaction details, and your business’ internal controls.

This proof includes:

  • a description of each of the ‘make a market’ related activities you intend to provide under your AFS licence;
  • details of the typical purpose(s) for which clients will use your services and/or products (e.g. hedging, speculating);
  • details of who will be informing these clients about the risks associated with using your services and/or products; and
  • details of the responsible manager(s) who will supervise these activities and the estimated proportion of their time these activities will take.

This template states the details of the types of risk inherently associated with your ‘make a market’ activities, including operational, market volatility, liquidity and counterparty risks and a description of how you assess, monitor and mitigate these risks.

This template has been developed to meet the standards required in Sections 766D/981B of the Corporations Act and outlined in ASIC Regulatory Guide 3 and 146.

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