New Account Opening
Laserfiche The New Account Opening process starts with an advisor filling out a form with client information and uploading supporting documents. The application goes through an internal review procedure, a suitability review and NIGO/IGO review before being submitted to the clearing firm. Key design features include an action history and a client repository directly embedded into the form for easy process review and tracking. This process template also features an example of a required policy review step to ensure consistent compliance communication.
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The New Account Opening process starts with an advisor filling out a form with client information and uploading supporting documents. The application goes through an internal review procedure, a suitability review and NIGO/IGO review before being submitted to the clearing firm. Key design features include an action history and a client repository directly embedded into the form for easy process review and tracking. This process template also features an example of a required policy review step to ensure consistent compliance communication.
Description
The New Account Opening process starts with an advisor filling out a form with client information and uploading supporting documents. The application goes through an internal review procedure, a suitability review and NIGO/IGO review before being submitted to the clearing firm. Key design features include an action history and a client repository directly embedded into the form for easy process review and tracking. This process template also features an example of a required policy review step to ensure consistent compliance communication.
Participants
Back Office: Completes the suitability and NIGO/IGO check
Account Representative: Submits client information and client documents
Laserfiche Repository
Client documents are saved under the path: \Business Process Library\New Account Opening\Clients\[/dataset/Last_Name], [/dataset/First_Name].
Industries
Platforms
Template Content
Forms1
Repository1
Workflow1
Laserfiche is the leading global provider of intelligent content management and business process automation. The Laserfiche® platform enables organizations in more than 80 countries to transform into digital businesses. Customers in every industry—including government, education, financial services and manufacturing—use Laserfiche® to boost productivity, scale their business and deliver digital-first customer experiences.
Industries
Platforms
Template Content
Forms1
Repository1
Workflow1
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