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INTERNAL USE ONLYBRANCH OFFICEGROUP CODE REP CODEKingswood Capital Partners, LLC Member FINRA, SIPC, MSB All rights reservedINSTITUTIONAL CUSTOMER ONBOARDING 1.CLIENT INFORMATION (*)INSTRUCTIONS:
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How to fill out institutional customer onboarding

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How to fill out institutional customer onboarding

01
Gather all necessary information and documentation required for the onboarding process.
02
Create an account on the institution's onboarding platform or system.
03
Fill out the required forms with accurate and up-to-date information.
04
Submit the completed forms along with any supporting documents for verification.
05
Wait for the institution to review and approve your onboarding request.
06
Once approved, set up any necessary accounts or relationships with the institution.

Who needs institutional customer onboarding?

01
Any organization or business looking to establish a relationship with an institution for financial services.
02
Institutions looking to comply with regulatory requirements for customer onboarding.
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Institutional customer onboarding is the process of establishing a relationship with institutional clients by gathering necessary information, verifying their identity, and documenting compliance with regulatory requirements before providing them access to services.
Financial institutions, service providers, and businesses that offer services to institutional clients such as banks, investment firms, and asset managers are typically required to file institutional customer onboarding.
To fill out institutional customer onboarding, businesses must collect and provide detailed information about the institutional client, including their legal structure, ownership details, business purpose, and source of funds, often through standardized forms or platforms.
The purpose of institutional customer onboarding is to ensure that the financial institution or service provider complies with legal and regulatory requirements, assess the risk of the client, and establish a clear understanding of the client's needs and objectives.
Institutional customer onboarding must report information such as the client's legal name, registration details, ownership structure, beneficial ownership, business activities, and compliance with anti-money laundering (AML) regulations.
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