Account opening is simplified with InvestGlass tools. We offer two options :
Forms can be pre-filled by relationship managers and completed by clients via a web link or into the EBanking portal. Forms can be hosted on your website too.
PDF can be load from the Global Vault and can also be shared via a web link or into the EBanking portal. Prospect can download those PDFs and print them on paper.
You will find here a suggestion of documents usually used by bankers, wealth-asset managers, or brokers. Please contact us if you need help to build those forms or customize the template.
ONBOARDING DOCUMENTS
⬜Investment Management Agreement - General Terms & Conditions
⬜Investment Management Agreement - Account Opening
⬜Fee Schedule
⬜Client Questionnaire & Declaration
⬜Accredited Investor Opt-in Confirmation (MIFID, FIDLEG LSFIN)
⬜OECD Common Reporting Standard (For individual)
⬜W-8BEN/W-8BEN-E or W9 and OR FATCA
For all documents below compliance officer is able to perform the following actions: Pending Approval, Accepted, Rejected, Changes Requested. The above list is not exhaustive. Your Company may request additional supporting documents if required.
KYC DOCUMENTS FOR INDIVIDUALS
⬜Certified Passport / ID Card
⬜Certified Proof of address (e.g. Utility bills, Tax bills dated within 3 months)
⬜Supporting documents for Accredited Investor Status (E.g. Latest tax returns, bank statements dated within 3 months)
⬜Supporting documents for the source of wealth and source of funds
KYC DOCUMENTS FOR TRUSTS & FOUNDATIONS
⬜Certified Trust Deed/Foundations By-Laws (or Trust Declaration from Regulated Financial Institution)
⬜Certified Identification of Donor, Settlor, Protector, and Effective Controller
⬜Certified Identification of Beneficial Owners
⬜Certified Identification of Trustees/Foundation Council
⬜Certified Identification of Authorised Signatories
⬜The most recent audited balance-sheet of the trust or certified true and fair balance sheet
⬜Supporting documents for Accredited Investor Status (E.g. Latest tax returns, bank statements dated within 3 months)
⬜Supporting documents for the source of wealth and source of funds
KYC DOCUMENTS FOR CORPORATE ENTITIES
⬜Certification of Incorporation
⬜Certified Business Registration Cert/Cert of Incumbency/Cert of Good Standing
⬜Certified Memorandum & Articles of Association / partnership agreement / other constitutional documents (as applicable)
⬜Certified Identification of Directors
⬜Certified Identification of Shareholders
⬜Certified Identification of Authorized Signatories
⬜The most recent audited balance sheet of the corporation or certified true and fair balance sheet
⬜Supporting documents for Accredited Investor Status (E.g. Latest tax returns, bank statements dated within 3 months)
⬜Supporting documents for the source of wealth and source of funds
KYC DOCUMENTS FOR SOURCE OF WEALTH
Documents required to identify Source of Wealth and Funds:
⬜Employment Income
Original Sighted/Certified True Copies of latest salary payslip
Original Sighted/Certified True Copies of confirmation from the employer of current employment
Original Sighted/Certified True Copies of Bank Statement (Showing monthly crediting of salary)
⬜Self-Employment
Original Sighted/Certified True Copies of latest audited Financial Statement
Original Sighted/Certified True Copies of Share Certificate
Publicly-Available Registers of Ownership
⬜ Savings/Deposit ⬜Property Sale ⬜Shares or Other ⬜Inheritance ⬜Gift
⬜Company Sale
Original Sighted/Certified True Copies of a copy of the contract
Original Sighted/Certified True Copies of bank statement on the receipt of company sales
⬜Company Profits/Dividends
Original Sighted/Certified True Copies of a copy of the latest audited financial statement
Original Sighted/Certified True Copies of board resolution on approval of dividends
Original Sighted/Certified True Copies of bank statement on the receipt of dividends