Financial Intake Form

Financial Intake Form for the United Kingdom

Financial Intake Form Template for England and Wales

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"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."

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What is a Financial Intake Form?

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.

What sections should be included in a Financial Intake Form?

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

What sections are optional to include in a Financial Intake Form?

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

What schedules should be included in a Financial Intake Form?

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) @ ��Ƶ | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

alex.den.21@genieai.co

Relevant legal definitions

Clauses

Relevant Industries

Banking
Corporate Finance
Infrastructure
Real Estate

Relevant Teams

Treasury
Finance
Legal
Credit

Relevant Roles

Chief Financial Officer
Treasury Manager
Loan Officer
Relationship Manager

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What is a Financial Intake Form?

What sections should be included in a Financial Intake Form?

What sections are optional to include in a Financial Intake Form?

What schedules should be included in a Financial Intake Form?

Authors

Alex Denne

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