Documents & Agreements
Instructions
Advisors and Brokers routinely go through audits that require the retrieval of documents used to open sub accounts. Most requests are for CIP documents (proof of address), and disclosures presented to the client at the time of application (i.e. margin agreement).
We offer a bulk download feature which lets eligible Advisors and Brokers retrieve these documents more efficiently.
Note: Clients permissioned for Bulk Download can still download individual documents using the Agenda menu.
Eligibility
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Master Account must have been enabled with custom configuration.
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Master account user must be a Security Officer.
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Master account user must have Two Factor Authentication Enabled.
What can the Master account user access?
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Account application for the master.
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Account application for sub accounts.
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CIP documents submitted at the time of application for the master account.
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CIP documents submitted at the time of application for sub accounts.
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Agreements and disclosures completed at the time of application for the master account.
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Agreements and disclosures completed at the time of application for sub accounts.
To enable this feature, follow the steps below.
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Once enabled, a 2FA Security Officer will need to log into Portal.
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Click Administration & Tools.
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Click Documents & Agreements.
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Select the account(s) in question.
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Select the document(s) to download as .zip
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A .zip file containing all the documents for all the clients selected will generate.
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Click Download in the top right corner to download the bulk documents to your computer.