Required Fields - Individual
| Field | Fully-Disclosed | FA | ND-OWD | ND-NonQI | ND-QI with Trading | ND-QI No Trading |
|---|---|---|---|---|---|---|
| Email* | Y | Y | Y | N | N | Y- email address of broker OR client is accepted. |
| Name (first, last)* | Y | Y | Y | Y | Y | Y |
| DOB | Y | Y | Y | Y | Y | N |
| CountryOfBirth | Y | Y | Y | Y | Y | N |
| NumDependents | Y | Y | N | N | N | N |
| MaritalStatus | Y | Y | N | N | N | N |
| Identification (ID Document, Citizenship) | Y | Y | Y | Y | Y | N |
| MailingAddress | Y | Y | Y | Y | Y | N |
| Residence (Country*, State, City, Street, Postal Code) | Y | Y | Y | Y | Y | Y- country only. |
| Phone (Mobile Phone Number) | Y | Y | N | N | N | N |
| EmploymentType | Y | Y | Y | N | N | N |
| EmploymentDetails (If EMPLOYED or SELFEMPLOYED) Occupation, Company, Nature of Business, employer address) | Y | Y | Y | N | N | N |
| TaxResidencies (Country and TIN)* | Y | Y | Y | Y | N | N |
| Tax Form (W8Ben/ W9) | Y | Y | Y | Y | N | N |
| WithholdingStatement | N | N | N | N | Y | Y |
| FinancialInformation (Net Worth, Liquid Net Worth, Income) | Y | Y | Y | N | N | N |
| SourcesOfWealth | Y | Y | Y | N | N | N |
| InvestmentExperience (Years Trading, Trades Per Year, Knowledge Level) | Y | Y | N | N | N | N |
| RegulatoryInformation (Regulatory Control and Affiliation) | Y | Y | Y | N | N | N |
| Accounts (Base Currency, Margin)* | Y | Y | Y | Y | Y | Y |
| TradingPermissions | Y | Y | Y | Y | Y | Y |
| InvestmentObjectives | Y | Y | N | N | N | N |
| AdvisorWrapFees (Fee configuration) | N | Y | N | N | N | N |
| Documents- Sign IB Agreements / Disclosures | Y | Y | N | N | N | N |
| Documents- Proof of Address and Proof of ID | Y (If Trulioo Verification is NoMatch) | Y (If Trulioo Verification is NoMatch) | Y (If Trulioo Verification is NoMatch) | Y (If Trulioo Verification is NoMatch) | Y (If Trulioo Verification is NoMatch) | N |
| Sample Application | Fully-Disclosed | Advisor | Individual- NonUS (OWD) | Non-Disclosed NonQI | Individual- Saudi Arabia (ND-QI with Trading) | Individual- Saudi Arabia (ND-QI No Trading) |
*Required for Hybrid DAM Account Opening.
