Entity classification support
Organise facts, prior classifications and adviser-approved status.
REGULATORY & COMPLIANCE
Controlled FATCA / CRS operations from classification to reporting.
Control entity and investor classifications, due-diligence data, reporting populations, validations, exceptions and filing-support outputs in one traceable workflow.
Overview
FATCA and CRS operations connect entity classification, investor due diligence, reportable-population determination, data validation, filing-support outputs, corrections and evidence retention. Kelton supports the operating layer across this lifecycle, helping approved classifications and investor records remain connected to annual reporting rather than rebuilt at year-end. Formal tax and legal interpretation and filing accountability remain with the client and appropriately appointed advisers or providers.
Our capabilities
Investor due-diligence operations
Validate self-certifications and controlling-person data.
Reportable-population workflow
Apply approved jurisdiction and reporting logic to the validated investor population.
Data preparation
Assemble identifiers, balances/values and required payments/income.
Validation
Run completeness, format, consistency and schema checks.
Filing-support output
Prepare controlled XML/data packs for authorised filer/provider where agreed.
Correction workflow
Track rejects, corrections and final evidence.
Service coverage
Core records
- Entity constitutional/classification information
- GIIN / tax identifiers where applicable
- Investor self-certifications
- KYC / beneficial-owner data
- Tax residency / TIN data
- Account balance/value and reportable payment data
- Prior filings / portal feedback
- Jurisdiction rules and adviser instructions
Operating activities
| Step | Activity | What happens |
|---|---|---|
| 1 | Determine scope | Identify entities and obligations based on authorised interpretation. |
| 2 | Validate classifications | Maintain entity/investor tax-status evidence. |
| 3 | Build reporting population | Identify reportable accounts/persons under approved rules. |
| 4 | Assemble data | Map identifiers, values and reportable amounts. |
| 5 | Validate | Run business-rule and XML/schema checks. |
| 6 | Review / hand off | Produce approval checklist and filing-support package. |
| 7 | Correct & archive | Process portal feedback/corrections and retain final evidence. |
Reporting and oversight
- Entity classification register
- Self-certification exception report
- Reportable-population file
- Validated FATCA/CRS reporting dataset
- XML or filing-support files where agreed
- Review checklist
- Submission/correction evidence archive
What clients gain
Stronger classification control
Keep approved entity and investor classifications linked to the facts and records supporting them.
More complete investor evidence
Apply authorised jurisdiction and reporting logic to validated investor and account information.
A reliable reporting population
Identify missing tax residency, TIN, controlling-person and reporting fields before file preparation.
Filing-ready outputs
Maintain validated data, correction history and evidence for the authorised filer or appointed provider.
Governance and integration
FATCA / CRS is delivered through defined responsibilities, controlled records and documented review. Material exceptions, judgements and approvals remain visible and attributable throughout the operating process.
- Authorised classification basis documented.
- Cross-check tax data against KYC/entity records.
- Mandatory-field, country-code and format validation.
- No silent override of missing TIN/residency/controlling-person data.
- Versioned rules by jurisdiction/reporting year.
- Formal filing/tax responsibility clearly assigned.
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
Is FATCA/CRS just an annual XML filing?
No. XML is the end of a longer process involving classification, due diligence, reportable-population logic, data quality, review and evidence.
Can a service provider perform the work?
The OECD standard recognises that jurisdictions may allow service providers to perform due-diligence/reporting work, while the Reporting Financial Institution remains responsible under applicable law.
Can Kelton decide my tax classification?
We support facts, evidence and workflow; formal tax/legal interpretation remains with the client and appointed advisers.
What happens when a file is rejected?
Use a controlled correction lifecycle: identify error, fix source data/rule, regenerate, revalidate, resubmit through the authorised filer and retain evidence.
Discuss FATCA / CRS
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.