Financial Intake Form

Financial Intake Form Template for Canada

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Key Requirements PROMPT example:

"I need a Financial Intake Form for my wealth management firm's new digital onboarding platform launching in March 2025, specifically designed for high-net-worth individual clients with investment portfolios over $1M, including enhanced due diligence sections and digital signature capability."

Document background

The Financial Intake Form is a crucial document used by Canadian financial institutions during the client onboarding process. It serves as the foundation for establishing client relationships and ensuring compliance with Canadian financial regulations, including PIPEDA, AML requirements, and securities regulations. The form collects essential information about clients' personal details, financial situation, investment knowledge, and risk tolerance. It is designed to meet the stringent requirements of Canadian financial regulators while providing financial institutions with the necessary information to provide appropriate financial services and products. The document includes provisions for both individual and corporate clients, incorporating necessary privacy notices and consent sections as required by Canadian law.

Suggested Sections

1. Personal Information: Basic client details including full legal name, date of birth, SIN, contact information, and citizenship status

2. Employment Information: Current employment status, employer details, occupation, and source of income

3. Financial Profile: Current financial situation including income, assets, liabilities, and net worth

4. Investment Knowledge: Client's experience and knowledge of various investment products and markets

5. Investment Objectives: Client's investment goals, time horizon, and expected returns

6. Risk Tolerance Assessment: Evaluation of client's capacity and willingness to take investment risks

7. Tax Information: Tax residency status and relevant tax declarations

8. Privacy Notice and Consent: Declarations regarding the collection, use, and disclosure of personal information

9. Client Acknowledgment: Client's confirmation of accuracy and understanding of the provided information

Optional Sections

1. Joint Account Information: Additional section for joint account holders, including their personal and financial information

2. Business Account Details: For business clients, including corporate structure, ownership, and business financial information

3. Third-Party Determination: Information about any third parties who have financial interest or trading authority

4. Foreign Tax Reporting: Additional tax information for clients subject to foreign tax laws (e.g., FATCA, CRS)

5. Politically Exposed Person Declaration: Required for clients who are or are related to politically exposed persons

6. Digital Communication Preferences: Optional section for clients to specify their preferences for electronic communications

Suggested Schedules

1. Schedule A - Risk Disclosure Statement: Detailed explanation of investment risks and product-specific risk factors

2. Schedule B - Fee Schedule: Comprehensive breakdown of applicable fees and charges

3. Schedule C - Privacy Policy: Detailed privacy policy and information handling procedures

4. Appendix 1 - Supporting Documentation Checklist: List of required documents for identity verification and account opening

5. Appendix 2 - Investment Suitability Guidelines: Guidelines used to determine investment suitability based on client profile

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

Wealth Management

Investment Services

Financial Planning

Insurance

Securities Trading

Asset Management

Corporate Banking

Private Banking

Financial Technology

Relevant Teams

Compliance

Legal

Operations

Client Services

Risk Management

Wealth Management

Private Banking

Onboarding

Know Your Client (KYC)

Account Administration

Investment Advisory

Data Privacy

Relevant Roles

Financial Advisor

Compliance Officer

Risk Manager

Wealth Management Consultant

Account Manager

Investment Advisor

Client Relations Manager

KYC Specialist

Operations Manager

Legal Counsel

Privacy Officer

Branch Manager

Onboarding Specialist

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Authors

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