Financial Intake Form Template for England and Wales

Create a bespoke document in minutes,  or upload and review your own.

4.6 / 5
4.8 / 5

Let's create your Financial Intake Form

Thank you! Your submission has been received!
Oops! Something went wrong while submitting the form.

Get your first 2 documents free

Your data doesn't train Genie's AI

You keep IP ownership of your information

Key Requirements PROMPT example:

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."

Document background
The Financial Intake Form is a crucial document used across the financial services sector in England and Wales to initiate client relationships and ensure regulatory compliance. It collects comprehensive information about clients' financial circumstances, objectives, and risk tolerance while adhering to UK financial regulations, including FCA requirements, anti-money laundering laws, and data protection regulations. The form serves as both a due diligence tool and a basis for providing appropriate financial advice or services.
Suggested Sections

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

Optional Sections

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

Suggested Schedules

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

Alex Denne

Head of Growth (Open Source Law) @ Genie AI | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

Clauses
Relevant Industries
Relevant Teams
Relevant Roles
Industries

UK GDPR and Data Protection Act 2018: Core data protection legislation governing how personal and financial information must be collected, processed, stored and protected

Financial Services and Markets Act 2000: Primary legislation governing financial services regulation in the UK, including requirements for financial institutions and service providers

Money Laundering Regulations 2017: Regulations requiring proper due diligence, risk assessment and verification of clients' identity and source of funds

Consumer Rights Act 2015: Legislation protecting consumer rights and ensuring fair treatment in financial services

Equality Act 2010: Legislation ensuring non-discriminatory practices in financial services and equal access to services

Electronic Communications Act 2000: Legislation governing electronic communications and digital signatures for financial documents

FCA Handbook Requirements: Detailed regulatory requirements from the Financial Conduct Authority covering conduct, client assets, and financial promotions

CASS Rules: Client Assets Sourcebook rules governing how firms should handle and protect client money and assets

MiFID II Requirements: European legislation implemented in UK law governing financial instruments and improving protections for investors

Privacy and Electronic Communications Regulations: Specific rules governing electronic communications, marketing, and data privacy in financial services

Teams

Employer, Employee, Start Date, Job Title, Department, Location, Probationary Period, Notice Period, Salary, Overtime, Vacation Pay, Statutory Holidays, Benefits, Bonus, Expenses, Working Hours, Rest Breaks,  Leaves of Absence, Confidentiality, Intellectual Property, Non-Solicitation, Non-Competition, Code of Conduct, Termination,  Severance Pay, Governing Law, Entire Agreemen

Find the exact document you need

Therapy Intake Form

find out more

Spray Tan Intake Form

find out more

Real Estate Lead Intake Form

find out more

Real Estate Client Intake Form

find out more

Program Intake Form

find out more

Potential Client Intake Form

find out more

Phone Intake Form

find out more

New Client Intake Form Law Firm

find out more

New Client Intake Form

find out more

Marketing Client Intake Form

find out more

Intake Referral Form

find out more

Initial Intake Form

find out more

Client Intake Assessment Form

find out more

Client Assessment Form Counselling

find out more

Cavitation Intake Form

find out more

Business Client Intake Form

find out more

Aromatherapy Client Intake Form

find out more

Nonprofit Client Intake Form

A standardized form used by nonprofits in England and Wales to collect client information and service requirements while maintaining compliance with UK data protection laws.

find out more

Consignment Intake Form

A legal document used in England and Wales to record receipt of goods for consignment sale, serving as both receipt and contract.

find out more

Nonprofit Intake Form

A standardized form used by UK nonprofits to collect and process initial service user information, compliant with England and Wales charity law.

find out more

Financial Coaching Intake Form

A regulatory-compliant intake form for financial coaching services in England and Wales.

find out more

Event Planning Intake Form

A standardized form used in England and Wales to collect crucial event planning information from clients, ensuring compliance with UK regulations.

find out more

Catering Intake Form

A standardized form for collecting catering service requirements under English and Welsh law.

find out more

Case Intake Form

A standardized form used in England and Wales legal practice for collecting new client and case information, ensuring regulatory compliance.

find out more

Referral Intake Form

A standardized document used in England and Wales for recording and processing service referrals while ensuring compliance with UK regulations.

find out more

Inventory Intake Form

A legal document used in England and Wales to record property condition and contents for tenancy management purposes.

find out more

Wellness Intake Form

A legal document used in England and Wales for collecting client health and personal information before providing wellness services.

find out more

Vehicle Intake Form

A legal document used in England and Wales to record vehicle condition and details upon entry to a service facility.

find out more

Marriage Counseling Intake Form

A regulated intake document used in England and Wales for collecting essential information from couples seeking marriage counseling services.

find out more

Financial Intake Form

A regulatory-compliant document used in England and Wales to gather client financial information and establish financial service relationships.

find out more

Consulting Intake Form

A standardized form used in England and Wales to collect initial client information and project requirements for consulting engagements.

find out more

Case Management Intake Form

A standardized form used in England and Wales legal practice for collecting new client information and initializing case management processes.

find out more

Order Intake Form

A standardized form under English and Welsh law for capturing and processing customer orders, ensuring legal compliance and clear documentation of transaction details.

find out more

Bookkeeping Client Intake Form

A standardized form used in England and Wales to collect new client information for bookkeeping services, ensuring compliance with UK regulations.

find out more

Salon Client Intake Form

A legally compliant form used in England and Wales for collecting essential client information and consents for salon services.

find out more

Creative Intake Form

A standardized form used in England and Wales for gathering client requirements and project specifications for creative services.

find out more

Lead Intake Form

A legally compliant form for collecting potential customer information under English and Welsh law.

find out more

Employment Intake Form

A standardized document used in England and Wales for collecting essential information from new employees during onboarding, ensuring legal compliance.

find out more

Vendor Intake Form

A standardized form under English and Welsh law for collecting essential vendor information during the supplier onboarding process.

find out more

Clinical Intake Form

A standardized medical documentation tool used in England and Wales for collecting essential patient information and consent at initial healthcare contact.

find out more

Procurement Intake Form

A standardized form used in England and Wales to initiate and document procurement requests, ensuring regulatory compliance and procurement best practices.

find out more

Download our whitepaper on the future of AI in Legal

By providing your email address you are consenting to our Privacy Notice.
Thank you for downloading our whitepaper. This should arrive in your inbox shortly. In the meantime, why not jump straight to a section that interests you here: https://www.genieai.co/our-research
Oops! Something went wrong while submitting the form.

Genie’s Security Promise

Genie is the safest place to draft. Here’s how we prioritise your privacy and security.

Your documents are private:

We do not train on your data; Genie’s AI improves independently

All data stored on Genie is private to your organisation

Your documents are protected:

Your documents are protected by ultra-secure 256-bit encryption

Our bank-grade security infrastructure undergoes regular external audits

We are ISO27001 certified, so your data is secure

Organizational security

You retain IP ownership of your documents

You have full control over your data and who gets to see it

Innovation in privacy:

Genie partnered with the Computational Privacy Department at Imperial College London

Together, we ran a £1 million research project on privacy and anonymity in legal contracts

Want to know more?

Visit our Trust Centre for more details and real-time security updates.