This C9 MDA Operator Capacity Statement template document can be easily customised to your business. This template includes wording to outline:
- a pro forma or standard agreement used to cover the MDA services your business provides;
- details of the financial products that will comprise the MDA service your business provides;
- details of the trading discretions offered by the MDA operator to the client;
- a description of the manner in which clients will be making contributions;
- a description of your processes for ensuring that client assets are managed as a discrete portfolio, including the custody arrangements in relation to portfolio assets;
- details of the scope of the investment program offered to retail clients, including how appropriateness is determined and review procedures; and
- a description of how you will enable clients to monitor the performance of, and trading in, their portfolio.
This template has been developed to meet the standards required in ASIC Regulatory Guide 3.
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