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AFSL C4 Proof Template – Derivatives Statement



This C4 Derivatives Statement proof template includes all details relevant to your business in terms of; derivatives products, related activities, details and your business’ internal controls. This proof includes details of the types of derivatives your business’ proposed financial services will relate to, that is:

  • whether the products will be exchange traded (ET) and/or over the counter (OTC) derivatives;
  • the nature of the products; and
  • what the underlying asset or index will be.

This proof also includes details of:

  • the types of client your business services and/or products will be targeted to, how you identify its target market, and how you will promote its services and/or products;
  • the typical purpose(s) for which clients will use your business’ services and/or products (e.g. hedging, speculating etc.);
  • who will be informing these clients about the risks associated with buying and selling derivatives; and
  • which responsible manager(s) will supervise these activities and the estimated proportion of their time these activities will take.

This template has been developed to meet the standards required in Section 981B of the Corporations Act and outlined in ASIC Regulatory Guide 3.

You may select from the dropdown bar the B3 Proof template which is most suitable for your business. We have tailored the B3 Proof template for the following business types:

  • Generic; and
  • Unregistered MIS.


All Sophie Grace Template Documents are available for instant download.

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