Forms for wealth management

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