Compliance Portal

  1. Login to Compliance Portal
  2. Click on the KYC tab from the main menu and select KYC Client Acceptance
  3. Hover over Pending Investor record and double click the Checklist tab.
  4.  Hover over Pending Investor record and double click to view Investor KYC application
  5. Download the Proof of Identification and Proof of Residence
  6. If there are AML Matches, download the report.
  7. Click on the other steps to view the Investors other KYC information including the Documents tab.
  8. Check off all the boxes on the Checklist to organize the steps that have been verified.
  9. Once satisfied, Click on the Approve tab and choose a Trader and Accept the client, 
  10. The selected Trader can now view the Investor from the Trader Portal under Investor List
  11. If the Investor does not pass the KYC process, you can contact them for additional information to satisfy the requirements.
  12. If you are not comfortable with the risk of the client, simply click on the Decline tab.