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Tax Solutions: Electronic Subscription Documents

Automating the collection of subscription documents for quicker onboarding

There has been a heightened focus in recent years on regulatory compliance obligations for financial institutions. Managing investor onboarding and ongoing due diligence compliance monitoring is critically sensitive and administratively overwhelming. This increasing regulatory burden has also affected the investor’s experience, with a real impact on client-facing relationships.

Our Electronic Subscription Documents (eSubDocs) solution enables funds and administrators to securely manage the onboarding process, electronically obtain subscription materials and incorporate investor data. It integrates into existing platforms and processes to centralize disparate data sources, reduce redundant requests and improve overall data quality and controls.


Enhance Investor’s User Experience
eSubDocs provides a better client onboarding experience and reduces the possibility of data discrepancies that trigger due diligence concerns and duplicate documentation requests. Our platform streamlines the investor experience and allows them easy access to their data across investments. It also enables investors to manage subscription documents for multiple investments in a central location, and leverage previously provided information and documentation for new investments within the fund. Built-in tailored logic ensures investors only provide information relevant to their investor type (individual, entity, trust, etc) and their residences. The platform provides investor teams with a collaborative work space for completing subscription documents, eliminating the need for managing a paper document between multiple contributing persons. eSubDocs also gives investors flexible permissioning tools, so that they may grant others only the access they need to the platform.

Systems Integration Operations
eSubDocs creates a coordinated data framework, allowing for one set of investor data to be used across all onboarding and ongoing compliance monitoring processes including AML and KYC, tax, CRS and FATCA. The application is integrated with our E-W8 application by providing data for pre-population of Part I of the tax Forms W-8™ series. This reduces potential data discrepancies between tax forms, the subscription document and other information in a fund’s books and records. The application automatically creates CRS Self-Certifications that may be validated by our CRS Due Diligence tool.

Manage Information
eSubDocs provides funds and fund administrators with a centralized tool for monitoring investor statuses and performing documentation reviews and investor sign-offs. It allows funds to countersign subscription agreements electronically and provides solid metrics on the onboarding process.

Streamline Documentation
The platform reduces the need for funds and fund administrators to collect and store duplicate investor documentation, and for investors to complete duplicative paper forms. This results in less monitoring across different document sets and greatly increases the overall quality and consistency of the information.

For Investors
Create a single user account to manage multiple investment opportunities in one central platform.

The platform enables you to:
  • Provide static data via an online interview
  • Sign subscription documents electronically
  • Upload supporting documentation in real time
  • Permission other individuals to review or edit and upload required information
  • Reuse information and documentation from previously completed subscriptions for new investment opportunities

For Funds and Fund Administrators
Manage your documentation and due diligence obligations for investor onboarding and ongoing compliance for AML/KYC, tax, FATCA (both onshore and offshore) and CRS obligations.

The platform enables you to:
  • Enter paper subscription documents from investors
  • Provide fund, legal and compliance staff with access to investor subscription documents for review and sign-off
  • Countersign subscription agreements singly or in bulk
  • Run investor status and administrative reports

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