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CTI Tax Solutions: Electronic Subscription Documents

Automate the collection of subscription documents and manage data integrations for purposes of fulfilling onboarding and compliance monitoring obligations.

A heightened focus in recent years on regulatory compliance obligations within the financial industry has significantly increased the burden on funds and fund administrators with respect to managing investor onboarding and ongoing due diligence compliance monitoring. This increase in regulatory burden has also affected the investor’s experience, with a real impact on client-facing relationships.

Electronic Subscription Documents (eSubDocs) enables your fund administrators to obtain subscription materials electronically, centralize them and integrate a “golden source” of investor data for fulfilling multiple compliance obligations, including tax, CRS, FATCA, IGAs, and AML/KYC. eSubDocs provides both investors and funds with a collaborative work space in which to complete and manage the subscription process, thus reducing data discrepancies and duplicate requests around regulatory due diligence. Our administrative console allows funds to monitor investor progress, review investor materials, and bulk counter-sign subscription agreements at close.

eSubDocs provides a better client on-boarding experience and reduces the possibility of data discrepancies that trigger due diligence concerns and duplicate documentation requests.

Customers

  • Fund administrators
  • Hedge funds
  • Private equity firms

Features

Enhance Investor’s User Experience
eSubDocs allows investors to manage subscription documents for multiple investments in a central location, and to 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 (as an individual, entity, trust etc) and their corresponding jurisdiction. CTI Tax Solutions eSubDocs provides investor teams with a collaborative work space for completing subscription documents, eliminating the need for managing a paper document amongst multiple contributing persons.

Drive Systems Integration Opportunities
Creates a single “golden source” of investor data for use in onboarding and ongoing compliance monitoring obligations, including AML/KYC, tax, CRS, FATCA and IGAs. For example, the application is integrated with the Tax Solutions E-W8 application by providing data for pre-population of Part I of the tax Forms W-8 series, thereby reducing potential data discrepancies between tax certification and books and records information. Similarly, the application automatically creates CRS Self-Certifications that may be validated by CTI Tax Solutions’ CRS Due Diligence tool.

Manage Information
Provides funds and fund administrators with a centralized tool for monitoring investor statuses and performing documentation reviews and investor sign-offs. Allows funds to bulk countersign subscription agreements electronically.

Streamline Documentation
Reduces the potential for funds and fund administrators to collect and store duplicate investor documentation, and reduces the amount of data and documentation that needs monitoring for ongoing changes in circumstance.

For Investors
eSubDocs allows investors to create a single user account to manage multiple investment opportunities in one central platform. The platform enables investors to:

  • Provide static data via an online interview
  • Sign subscription documents electronically
  • Upload supporting documentation in real time
  • Investors may reuse information and documentation from previously completed subscriptions for new investment opportunities

For Funds and Fund Administrators
eSubDocs helps funds manage their documentation and due diligence obligations for investor onboarding and on-going compliance, including for AML/KYC, tax, FATCA (both onshore and offshore) and IGA obligations. Using the CTI Tax Solutions eSubDocs administrative console, funds and fund administrators may perform a number of administrative tasks:

  • Inputting paper provided subscription documents
  • Providing counsel with access to investor subscription documents for review and sign-off
  • Counter-signing subscription agreements in bulk
  • Running investor status and administrative reports

Events

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IHS Markit Event 20 September 2018

Loan Market Conference

Join us for a conference for users of IHS Markit (...)

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IHS Markit Event 11 October 2018

Pricing and Valuation Conference

Join us for a gathering of thought leaders in fin (...)

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