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Financial Intake Form
"I need a Financial Intake Form that complies with UK regulations for my boutique investment advisory firm, focusing on high-net-worth individuals and including specific sections for international tax reporting and cryptocurrency assets."
1. Personal Information: Basic client details including name, contact information, date of birth, nationality, and identification documents
2. Financial Status: Details of income, assets, liabilities, source of funds, and current financial position
3. Investment Objectives: Client's financial goals, investment timeframe, and risk tolerance assessment
4. Regulatory Declarations: AML compliance declarations, politically exposed person status, and other regulatory requirements
5. Privacy Notice: GDPR-compliant data protection declarations and information handling policies
1. Tax Status: Tax residency information, tax identification numbers, and FATCA/CRS declarations - used for investment products or international clients
2. Professional Background: Employment history, business interests, and professional qualifications - relevant for high-value services or complex financial products
3. Related Parties: Information about connected persons, beneficial owners, or affiliated entities - required for corporate clients or joint accounts
1. Identity Verification Checklist: Comprehensive list of acceptable documents for identity verification and proof of address
2. Risk Assessment Matrix: Standardized framework for evaluating client risk profile and investment suitability
3. Service Fee Schedule: Detailed breakdown of all applicable fees, charges, and commission structures
4. Terms and Conditions: Standard terms governing the financial relationship and service provisions
Authors
Applicable Laws
Approved Bank
Authorized Person
Business Day
Client
Client Information
Confidential Information
Data Protection Laws
Financial Institution
Financial Products
Financial Services
FCA
FSMA
Investment Objectives
KYC
Money Laundering Regulations
Personal Data
PRA
Professional Client
Regulated Activities
Regulatory Authority
Retail Client
Risk Profile
Services
Source of Funds
Source of Wealth
Terms and Conditions
Transaction
UK GDPR
Contact Details
Employment Status
Financial Status
Income Details
Asset Declaration
Liabilities Declaration
Investment Experience
Risk Tolerance
Investment Objectives
Source of Funds
Source of Wealth
Tax Status
Politically Exposed Person Declaration
Anti-Money Laundering Declaration
Data Protection
Privacy Notice
Information Sharing
Confidentiality
Consent
Declaration of Accuracy
Updating Information
Third Party Authorization
Electronic Communications
Document Requirements
Certification Requirements
Terms and Conditions Reference
Marketing Preferences
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