What is the purpose of the Investor Portal KYC Module?

This additional module allows users to optionally share any investor's active KYC information directly onto the investor portal. Investor's with activated portals can review the key details of their most recently activated KYC. This includes personal information, the financial worksheet, and additional information including responses to KYC questions and any notes added by their advisor. Investors having direct access to this information via the investor portal can facilitate prompt addressing of any required changes to current KYC information.

Once the Investor Portal KYC module has been enabled, back office users will have admin-level control of KYC display preferences within the Investor Portal Settings tab of the Admin module. Users can set the Display KYC on Investor Portal option to Yes to enable sharing of KYC information on the investor portal.

If set to No, KYC information will not be shared for any investor, regardless of the selection of the display preferences within the investor's profile.

For added flexibility to select which investors you would like to share KYC information with, an additional investor-level toggle has also been created to control the desired display preferences. Within the Edit Profile window of an investor's profile, users must toggle the Display KYC Information on Investor Portal to Yes to enable sharing of Active KYC information on the portal. Admin level control must also be set to Yes for this information to be displayed.

Note: Only KYC's which have been activated will be displayed on the investor portal. If an active KYC has expired, the KYC information will remain on the investor portal until it has been replaced by a newly activated KYC. KYC's in a draft or pending activation status are NOT displayed on the investor portal.

Once both the admin level control and investor level display preferences have been set to Yes the current, Active KYC will be shared on the portal. An additional KYC tab will be displayed on the investor's main dashboard.

Note: All KYC information on the investor portal is display/review purposes only and cannot be edited by the investor.

Once the KYC tab has been clicked, investors will be directed to the Profile tab of the KYC. This tab includes the investor's personal information such as address details, contact information, identity verification, and employment information. The date the KYC was activated by the advisor will also be displayed beneath the KYC Profile header:

If the investor has any Related Party information on their KYC, the related party's personal and employment information will also be displayed:

The Financial tab displays the Financial Worksheet for the investor - including the Assets and Liabilities of both financial and non-financial assets, the financial summary, and income fields as well. Any notes that have been added to the financial worksheet by an advisor/dealing representative are also displayed on the bottom of this page:

Lastly, the Additional Information tab includes expandable drop-downs with each of the different categories of KYC questions:

Once a header has been expanded, the investor can view their responses to each of the KYC questions that were entered into Exempt Edge, in addition to any notes that may have been added by the advisor:

For more related KYC guides please visit any one of the below links: