AFSL C5 Proof Template – Foreign Exchange Operating Statement

Description

This C5 Foreign Exchange (FX) Operating Statement proof template includes all details relevant to your business in terms of FX; activities, transaction details, and internal controls.

This proof also includes:

• a description of FX products your business’ proposed financial services will relate to (e.g. FX spots, forwards, swaps, futures);
• details of the types of client your business services and/or products will be targeted to, how you will identify its target market, and how you will promote its services and/or products;
• details of the typical purpose(s) for which your clients will use its services and/or products (e.g. hedging, speculating etc.);
• details of who will be informing these clients about the risks associated with buying and selling FX products; and
• details of 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.

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