Financial Intake Form

Financial Intake Form Template for Australia

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Key Requirements PROMPT example:

"I need a comprehensive Financial Intake Form for my wealth management firm in Sydney that complies with Australian regulations and includes specific sections for high-net-worth individuals and trust accounts."

Document background

The Financial Intake Form is a critical document used in the Australian financial services industry for client onboarding and regulatory compliance. It is designed to collect comprehensive information about new clients while satisfying requirements under various Australian regulations, including the AML/CTF Act, Privacy Act, and financial services legislation. The form is typically used when establishing new client relationships or updating existing client information, and includes sections for personal identification, financial status, tax information, and intended service usage. It serves multiple purposes: ensuring regulatory compliance, assessing client suitability for products and services, and maintaining accurate client records. The document is structured to accommodate both individual and business clients, with flexible sections that can be adapted based on the specific financial services being sought.

Suggested Sections

1. Personal Information: Collection of basic personal details including full name, date of birth, residential address, contact information, and identification documents

2. Employment Details: Current employment status, employer information, occupation, length of employment, and income details

3. Financial Information: Income sources, expenses, assets, liabilities, and current banking relationships

4. Tax Information: Tax file number (if applicable), tax residency status, and foreign tax obligations

5. Purpose of Account/Service: Intended use of the financial services or products being applied for

6. Declaration and Consent: Client acknowledgments, privacy consent, and declaration of information accuracy

Optional Sections

1. Business Information: For business customers - includes business structure, ABN/ACN, business financial details, and trading history

2. Investment Profile: For investment products - includes risk tolerance, investment experience, and investment objectives

3. Foreign Account Details: For international clients or those with foreign accounts - includes overseas account information and foreign tax identification

4. Third Party Authority: When third-party access is required - includes authorized representative details and scope of authority

Suggested Schedules

1. Identification Requirements Checklist: List of acceptable identification documents and verification requirements as per AML/CTF regulations

2. Fee Schedule: Detailed breakdown of applicable fees and charges for the financial services being applied for

3. Product Disclosure Statement: Required for specific financial products - contains detailed information about the product features, benefits, and risks

4. Privacy Policy: Detailed information about how personal information will be collected, used, stored, and disclosed

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 and Financial Services

Wealth Management

Investment Services

Insurance

Financial Technology

Credit and Lending

Professional Services

Relevant Teams

Compliance

Customer Service

Operations

Risk Management

Legal

Client Onboarding

Account Management

Front Office

Credit Assessment

Know Your Customer

Relevant Roles

Compliance Officer

Financial Advisor

Account Manager

Risk Assessment Officer

Customer Service Representative

Branch Manager

Operations Manager

KYC Specialist

Client Relationship Manager

Legal Counsel

Credit Assessment Officer

Onboarding Specialist

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Authors

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