DocumentSubmission
https://[domain]/ws/eca/update
-
Submit missing forms OR supporting Documents Required for Approval (ie. Proof of Address, Proof of Identity, Selfie Verification, etc.) that are required for approval if Trulioo Verification is NoMatch.
Who is this applicable for?
- All customer types.
Processing Time
- Takes 1-2 business day to be processed and reviewed by our compliance team.
Validations
-
Acceptable formats: .jpeg, .jpg, .pdf, .png
-
Max upload size: 10MB
Request Parameters
|
Name |
Type |
Usage based on form_no |
Description |
|---|---|---|---|
|
reference_account_id |
String |
All |
IBKR account ID of the advisor/broker client account documents are being submitted for. |
|
file_name |
String |
All |
File name of the PDF document submitted to IBKR. File_name included within the XML request must match the file_name of the PDF file that is included within the archive.
|
|
sha1_checksum |
String |
All |
SHA-1 is crypto algorithm that is used to verify that a file has been unaltered. This is done by producing a checksum before the file has been transmitted, and then again once it reaches its destination. |
|
form_no |
String |
All |
Use /getPendingTasks to view a list of forms that are required for approval. |
|
exec_ts |
YYYYMMDDHHMMSS |
All |
Timestamp of the execution of the agreement by the customer (i.e. time the client signed the agreement). |
|
exec_login_ts |
YYYYMMDDHHMMSS |
All |
Login timestamp for the session (when the client logged in and acknowledged the agreement. |
|
SignedBy |
String |
All |
SignedBy must match the submitted: first name middle initial (if applicable) last name suffix (if applicable) *Data is case and space sensitive.
|
|
proof_of_identity_type |
All Entities Except for IB-CAN Driver License Passport Alien ID Card National ID Card IB-CAN only Bank Statement Evidence of Ownership of Property Credit Card Statement Utility Bill Brokerage Statement T4 Statement CRA Assessment
|
8001 8205 8053 8057 |
Description of document type.
|
|
proof_of_address_type |
Bank Statement Brokerage Statement Homeowner Insurance Policy Bill Homeowner Insurance Policy Document Renter Insurance Policy bill Renter Insurance Policy Document Security System Bill Government Issued Letters Utility Bill Current Lease Evidence of Ownership of Property Driver License Other Document |
8002 |
Description of document type. |
|
valid_address |
true false |
8001 |
If valid_address="true", the document will be used to satisfy Proof of Identity and Proof of Address. Refer to Validations for details. |
|
document_type |
Check Company Ownership Divorce Settlement Employer Confirmation Entitlement to Payments Letter Ownership Pay Slip Proof of Sale Proof of Winnings Severance Tax Return Will Bank Statement Brokerage Statement Current Lease |
8541 8542 8543 8544 8545 8546 8547 8548 8549 |
Acceptable documents will vary based on the form_no. Refer to Validations for details. |
|
external_individual_id |
String |
8002 8001 8205 8053 8057
|
Identifier at the external entity for the individual executing the agreement. Must be an individual listed on the application. Ignored for INDIVIDUAL applications as agreements must be executed by the Account Holder. Required for JOINT accounts created via ECA for POI/POA submission. For the JOINT holder created via ECA, external id of the account holder needs to be provided for which POI/POA is being submitted. |
|
expiration_date |
YYYY-MM-DD |
Drivers License OR Passport |
Provide expiration date of the ID document. |
XSD
<xsd:complexType name="DocumentSubmission">
<xsd:attribute name="reference_account_id" type="xsd:string" use="required">
<xsd:sequence>
<xsd:element name="Document" type="Document" maxOccurs="unbounded" />
<xsd:attribute name="form_no" type="xsd:"YYYYMMDDHHMMSS" use="required">
<xsd:attribute name="exec_ts" type=" xsd:"YYYYMMDDHHMMSS" use="required">
<xsd:attribute name="SignedBy" type="xsd:string" use="required">
<xsd:attribute name="external_individual_id" type="xsd:string" use="optional">
<xsd:attribute name="proof_of_identity_type" type="xsd:string" use="required if form_no=8001, 8053, 8205, 8057">
<xsd:attribute name="valid_address" type="xsd:string" use="optional if form_no=8001">
<xsd:attribute name="proof_of_address_type" type="xsd:string" use="required if form_no=8002">
<xsd:attribute name="document_type" type="document_type" use="required">
<xsd:attribute name="expiration_date" type="YYYY-MM-DD" use="required IF proof_of_identity_type is Passport OR Drivers License">
</xsd:sequence>
<xsd:sequence>
<xsd:element name="AttachedFile" type="AttachedFileType" maxOccurs="unbounded" />
<xsd:attribute name="file_name" type="xsd:string" use="required">
<xsd:attribute name="sha1_checksum" type="xsd:string" use="required">
<xsd:attribute name="file_length" type="xsd:string" use="required">
</xsd:sequence>Sample
<?xml version="1.0" encoding="US-ASCII" standalone="yes"?>
<AcctMgmtRequests xmlns="http://www.interactivebrokers.com/schemas/IBCust_import">
<DocumentSubmission reference_account_id="U0000009">
<Document form_no="3007" exec_ts="20140620165825" exec_login_ts="20140620195825">
<SignedBy>Test Tester</SignedBy>
<AttachedFile file_name="3007.pdf" file_length="10896" sha1_checksum="d3da913817130c7" />
</Document>
</DocumentSubmission>
</AcctMgmtRequests><?xml version="1.0" encoding="US-ASCII" standalone="yes"?>
<AcctMgmtRequests xmlns="http://www.interactivebrokers.com/schemas/IBCust_import">
<DocumentSubmission reference_account_id="U1234456">
<Document form_no="8001" exec_ts="20170316115456" exec_login_ts="20170316115456" proof_of_identity_type="Passport" expiration_date="2028-08-30">
<SignedBy>John Smith</SignedBy>
<AttachedFile file_name="Form8001.pdf" file_length="87192" sha1_checksum="C5316C9314598E30208E8EB5773828FB2F7CC7CE" />
</Document>
</AcctMgmtRequests>
<?xml version="1.0" encoding="US-ASCII" standalone="yes"?>
<AcctMgmtRequests xmlns="http://www.interactivebrokers.com/schemas/IBCust_import">
<DocumentSubmission reference_account_id="U1234567">
<Document form_no="8541" exec_ts="20170316115456" exec_login_ts="20170316115456" document_type="Divorce Settlement">
<SignedBy>John Smith</SignedBy>
<AttachedFile file_name="Form8541.pdf" file_length="42840" sha1_checksum="0b4d2d3e6524b09da5e839af2c52e83024af8209" />
</Document>
</DocumentSubmission>
</AcctMgmtRequests>
<?xml version="1.0" encoding="US-ASCII" standalone="yes"?>
<AcctMgmtRequests xmlns="http://www.interactivebrokers.com/schemas/IBCust_import">
<DocumentSubmission reference_account_id="U1234456">
<Document form_no="8001" exec_ts="20170316115456" exec_login_ts="20170316115456" proof_of_identity_type="Passport">
<SignedBy>John Smith</SignedBy>
<AttachedFile file_name="Form8001.pdf" file_length="87192" sha1_checksum="C5316C9314598E30208E8EB5773828FB2F7CC7CE" />
</Document>
<Document form_no="8002" exec_ts="20170316115456" exec_login_ts="20170316115456" proof_of_address_type="Driver License">
<SignedBy>John Smith</SignedBy>
<AttachedFile file_name="Form8002.pdf" file_length="87192" sha1_checksum="C5316C9314598E30208E8EB5773828FB2F7CC7CE" />
</Document>
</DocumentSubmission>
</AcctMgmtRequests>
<?xml version="1.0" encoding="US-ASCII" standalone="yes"?>
<AcctMgmtRequests xmlns="http://www.interactivebrokers.com/schemas/IBCust_import">
<DocumentSubmission reference_account_id="U1234456">
<Document form_no="8001" exec_ts="20170316115456" valid_address="true" exec_login_ts="20170316115456" proof_of_identity_type="Passport" expiration_date="2028-08-30">
<SignedBy>John Smith</SignedBy>
<AttachedFile file_name="Form8001.pdf" file_length="87192" sha1_checksum="C5316C9314598E30208E8EB5773828FB2F7CC7CE" />
</Document>
</AcctMgmtRequests>
<?xml version="1.0" encoding="US-ASCII" standalone="yes"?>
<AcctMgmtRequests xmlns="http://www.interactivebrokers.com/schemas/IBCust_import">
<DocumentSubmission reference_account_id="U1234456">
<Document form_no="8001" exec_ts="20170316115456" external_individual_id="FirstHolder1"
exec_login_ts="20170316115456" proof_of_identity_type="Passport" expiration_date="2028-08-30">
<SignedBy>John Smith</SignedBy>
<SignedBy>Jane Smith</SignedBy>
<AttachedFile file_name="Form8001.pdf" file_length="42840" sha1_checksum="0b4d2d3e6524b09da5e839af2c52e83024af8209" />
</Document>
<Document form_no="8001" exec_ts="20170316115456" external_individual_id="SecondHolder2"
exec_login_ts="20170316115456" proof_of_identity_type="Driver License" expiration_date="2028-08-30">
<SignedBy>John Smith</SignedBy>
<SignedBy>Jane Smith</SignedBy>
<AttachedFile file_name="Form8001.png" file_length="137650" sha1_checksum="9b22511b6912191603068119cc8318c4810ac9d1" />
</Document>
</DocumentSubmission>
</AcctMgmtRequests>|
Name |
Type |
Description |
|---|---|---|
|
Execution_Date |
YYYY/MM/DD HH:MM:SS |
|
|
Process_File |
FirmName_YYYY-MM-DD_######.xml |
File name of the request file. |
|
Client |
FirmName |
Name of the Counterparty |
|
Client_Master_Acct |
String |
Master account number |
|
reference_account_id |
String |
Client Account Number |
|
DocumentSubmission |
String |
Status of the request |
Sample
<?xml version="1.0" encoding="UTF-8"?>
<Process>
<Execution ECA_XML_Schema_Version="15-Nov-2018">
<Execution_Date>2020/04/20 14:05:19</Execution_Date>
<Process_File>DocumentSubmission.xml</Process_File>
<Client>testerfa</Client>
<Client_Master_Acct>F1234567</Client_Master_Acct>
</Execution>
<DocumentSubmission ib_acct="U000009">
<Documents>
<Document Form_Number="1005" File_Name="Form1005.pdf" Status="Accepted" />
<Document Form_Number="2109" File_Name="Form2109.pdf" Status="Accepted" />
<Document Form_Number="2192" File_Name="Form2192.pdf" Status="Accepted" />
</DocumentSubmission>
</Process><?xml version="1.0" encoding="UTF-8"?>
<Process>
<Execution ECA_XML_Schema_Version="15-Nov-2018">
<Execution_Date>2020/04/20 14:05:19</Execution_Date>
<Process_File>dam7_wrong_length_checksum.xml</Process_File>
<Client>testerfa</Client>
<Client_Master_Acct>F1234567</Client_Master_Acct>
</Execution>
<DocumentSubmission ib_acct="U000009">
<Document Form_Number="2192" File_Name="Form2192.pdf" Status="File Form2192.pdf has a different SHA-1 check sum in the archived original [DB = D3AD12C24CA7][File = AF9BABAF1A28C791E6]" />
</Process><?xml version="1.0" encoding="UTF-8"?>
<Process>
<Execution ECA_XML_Schema_Version="15-Nov-2018">
<Execution_Date>2021/04/19 08:58:09</Execution_Date>
<Process_File>dam1430.xml</Process_File>
<Client>SKBroker</Client>
<Client_Master_Acct>I1111111</Client_Master_Acct>
</Execution>
<DocumentSubmission ib_acct="U4444444">Invalid Document Type for Form 8541. Acceptable Types are [Bank Statement, Pay Slip, Employer Confirmation, Divorce Settlement, Company Ownership]</DocumentSubmission>
</Process>
<?xml version="1.0" encoding="UTF-8"?>
<Process>
<Execution ECA_XML_Schema_Version="15-Nov-2018">
<Execution_Date>2020/04/20 13:58:00</Execution_Date>
<Process_File>dam7_invalid_poa.xml</Process_File>
<Client>USAdvisor</Client>
<Client_Master_Acct>F1234567</Client_Master_Acct>
</Execution>
<General_Failure>Unable to process documents::Proof of Identity Type is either missing or is incorrect.</General_Failure>
<?xml version="1.0" encoding="UTF-8"?>
<Process>
<Execution ECA_XML_Schema_Version="15-Nov-2018">
<Execution_Date>2020/04/20 14:02:05</Execution_Date>
<Process_File>dam7_missing_pdf.xml</Process_File>
<Client>USAdvisor</Client>
<Client_Master_Acct>F1234567</Client_Master_Acct>
</Execution>
<DocumentSubmission ib_acct="U00009">
<Documents>
<Document Form_Number="8001" File_Name="Form800as1.pdf" Status="I/O error file processing Form800as1.pdf"></Document>
<Document Form_Number="8002" File_Name="Form80024.pdf" Status="I/O error file processing Form80024.pdf"></Document>
</Documents>
</DocumentSubmission>
</Process>
