CDD data collection
Collect required identity, ownership, relationship and supporting information.
INVESTOR & TRANSFER AGENCY SERVICES
KYC / AML operations with visible exceptions and approval.
Organise identity, beneficial ownership, risk information, screening evidence and periodic-review obligations into one reviewable investor workflow.
Overview
KYC / AML operations support customer/investor identification and verification, beneficial-owner identification, understanding of the relationship, risk assessment, screening and ongoing due diligence. These are concrete operating tasks with documents, data, review dates and exceptions—not merely a generic compliance label.
The capability sits at the intersection of investor onboarding, transfer agency, compliance and FATCA/CRS. It is a distinct operating discipline with its own documents, decisions, exception queues and periodic-review obligations.
Our capabilities
Beneficial ownership
Build and evidence ownership/control structures.
Screening workflow
Coordinate approved sanctions, PEP and adverse-information checks.
Risk assessment support
Apply client-approved risk methodology and escalation criteria.
EDD workflow
Track additional evidence and specialist/compliance approvals where required.
Periodic review
Maintain review dates, trigger events, refreshed documents and evidence.
Exception management
Route potential matches, missing data and high-risk cases to authorised personnel.
Service coverage
Core records
- Subscription / KYC forms
- Identity and corporate documents
- Ownership charts / registers
- Screening results
- Client-approved risk methodology
- Source-of-funds / source-of-wealth evidence where required
- Prior KYC review history
Operating activities
| Step | Activity | What happens |
|---|---|---|
| 1 | Collect | Create a complete checklist by investor/entity type. |
| 2 | Identify | Map investor, controllers, authorised persons and beneficial owners. |
| 3 | Verify & screen | Run approved verification and screening procedures. |
| 4 | Risk assess | Apply risk factors and identify EDD requirements. |
| 5 | Escalate | Route high-risk, unclear or potential-match cases. |
| 6 | Approve & monitor | Record the authorised decision, review date and ongoing obligations. |
Reporting and oversight
- KYC status dashboard
- Investor / beneficial-owner profile
- Screening and match-resolution evidence
- Risk assessment and EDD checklist
- Periodic-review calendar
- Exception / approval log
What clients gain
Complete due-diligence record
Collect required identity, ownership, relationship and supporting information.
Transparent beneficial ownership
Build and evidence ownership/control structures.
Consistent screening
Coordinate approved sanctions, PEP and adverse-information checks.
Risk-based review
Apply client-approved risk methodology and escalation criteria.
Governance and integration
KYC / AML is delivered through defined responsibilities, controlled records and documented review. Material exceptions, judgements and approvals remain visible and attributable throughout the operating process.
- No automatic final clearance of ambiguous sanctions/PEP matches.
- Beneficial-owner completeness checks.
- Evidence of source/date for verification.
- Risk-based review frequency and trigger-event monitoring.
- Role-based permissions for sensitive investor information.
- Formal MLRO/compliance approval remains explicit.
Expertise and delivery
Experts behind the service.
Relevant professionals support service design, exception review and delivery governance where specialist judgement is required.
Meet our Experts & ProfessionalsTechnology that supports control.
Controlled data, workflow and review capabilities support consistent execution, transparent oversight and traceable evidence.
Explore Technology & ExpertiseConfigured around your operating model.
Services can be delivered through managed operations, technology enablement, co-sourced delivery or transition support.
See How We WorkFrequently asked questions
Can AI approve an investor?
No. AI can extract, compare, check completeness and triage; authorised people approve judgement-sensitive or high-risk cases.
What is the difference between KYC and onboarding?
KYC/AML is a due-diligence and control workstream inside the broader onboarding process.
Does KYC end at subscription?
No. Ongoing due diligence, screening changes, trigger events and periodic refresh continue through the relationship.
Discuss KYC / AML
Start with one workflow, one operating issue or one provider transition. We will map the current process, responsibility boundaries, required data and a practical first engagement.