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How to Submit a KYC Update

Learn how to complete and submit a KYC update

Submitting an Application

  1. Navigate to the client's CRM Contact Record.
  2. Go to the Servicing tab.
  3. Select Account Management → KYC Update.

Completing an Application

After the ticket has been submitted, all panels within the application must be completed in order to move it to the next stage.

Required panels are marked with a yellow Incomplete status tag and must be filled out in full. To complete a panel, open it, fill in all necessary fields, and click Save. Once saved, the panel will show a green Complete status.

Some panels are optional and should only be completed if they are relevant to the client’s situation.

Panels are grouped into two main categories:

  • Client Information – Personal, financial, and regulatory details for the individual, including spouse, address, employment, tax, and trusted contact information.
    Know Your Client Forms – Form submissions tied to each account type, outlining account ownership, investment profile, and compliance with regulatory requirements.

Client Information Panels

These panels capture personal, financial, and regulatory details tied to the client and are stored within their CRM Contact Record. This information forms the foundation of the client profile and is used across all accounts and services.

  • Client: Basic personal details including name, date of birth, contact information, and marital status.
  • Address: Residential and mailing address information used for communication and verification.
  • Employment: Current or past employment details, including employer, job title, and retirement status.
  • Financial: Overview of the client’s income sources, net worth, and asset distribution.
  • Investor: Investment knowledge, objectives, and risk tolerance used for portfolio suitability.
  • Tax: Citizenship, residency, and tax identification details for compliance and reporting.
  • Trusted Contact Person (TCP): An optional contact designated to support the client’s financial well-being.

Tracking KYC Update Tickets

Once submitted, all KYC Update tickets can be tracked from the KYC Update pipeline in the CRM.

Each ticket progresses through the pipeline stages as panels are completed and internal teams review the information. You can also track the ticket directly from the Tickets section of the client’s CRM Contact Record.