Document Samples

SMSF Derivatives Risk Statement
Pursuant to SIS Regulation 13.15A, if a charge is given over an asset of a SMSF in relation to a derivatives contract, and the charge is given in order to comply with the rules of an approved body (such as with 'covered calls') then the SMSF must have in place a derivatives risk statement that sets out:

(i) policies for the use of derivatives that include an analysis of the risks associated with the use of derivatives within the investment strategy of the fund; and

(ii) restrictions and controls on the use of derivatives that take into consideration the expertise of staff; and

(iii) compliance processes to ensure that the controls are effective (for example, reporting procedures, internal and external audits and staff management procedures);


Sounds a bit daunting, doesn't it !


Luckily The SMSF Review has a sample Word document template you can download and tailor to your own situation.


Note there is a small download cost of $22.


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Derivatives Risk Statement - $22

Ongoing minor updates are FREE


Please note that this document (or substantial amounts of it) may NOT be sold or reproduced either commercially or non-commercially in any way without the express written permission of The SMSF Review. 




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