Digital onboarding solutions for leading financial institutions

FormIQ Solutions for Capital Markets

Digitize Your Investor Onboarding & Compliance Workflows

Investor onboarding in capital markets is still too dependent on static PDFs, wet signatures, and tedious manual review processes. FormIQ delivers investor onboarding automation by providing customizable digital forms that allow investment dealers, fund managers, and compliance teams to streamline onboarding workflows for collecting, validating, and processing investor account documentation.

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Common Challenges in Capital Markets

Manual Data Collection

To automate business processes, we need to address the repetitive entry across investor forms, KYC, and compliance documents. By utilizing customizable digital forms, we can streamline onboarding workflows and enhance efficiency.

Signature Coordination

Manual Data Collection

Chasing multiple stakeholders for signatures—investors, advisors, and compliance officers—can be streamlined by leveraging FormIQ's digital workflows with multi-level approvals and electronic signatures.

High Rejection Rates

Manual Data Collection

Security & Compliance Concerns

Missing fields, incorrect investor types, and outdated documents can lead to delays and rework, but by using digital workflows with smart forms, you can prevent errors and omissions from onboarding packages.

Security & Compliance Concerns

Storing and transferring sensitive investor information via email and static files creates regulatory risk. FormIQ eliminates the risks and reduces the chances of related compliance issues.

Renewals Are a Headache

Security & Compliance Concerns

Renewals Are a Headache

Annual renewals or material change requests necessitate entirely new form packs and the re-entry of redundant data. Utilizing customizable digital forms can automate business processes for account management.

The FormIQ Solution

Investor KYC software, investor suitability checks, investor AML

FormIQ fully digitizes investor onboarding workflows while preserving compliance with investment dealer requirements. FormIQ's investor onboarding automation reduces the time to open accounts, eliminates applicant deficiencies, and saves significant administration resources.

Smart Form Workflows

Collect investor data through dynamic, intelligent forms—retail, institutional, joint, trust accounts, and other entity accounts

PDF Auto-Population

Capture data once and automatically fill it into official account opening documents

Multi-Party Signatures

Route signature requests to the investor and required internal signatories, including compliance

Built-In Rules Engine

Validate eligibility, document completeness, and investor classification in real time

Enterprise-Grade Security

Data encrypted at rest and in transit, with access control, audit logs, and cloud-native resilience

Frequently Asked Questions

How does FormIQ help broker-dealers and asset managers?

By digitizing investor onboarding, subscription agreements, and compliance documentation.

Can FormIQ automate KYC and AML checks?

Yes, through integrated data validation and optional third-party KYC/AML services.

Does FormIQ support joint or trust accounts?

Yes, workflows can be customized for joint, trust, and corporate investors.

Can FormIQ integrate with investor portals or CRMs?

Yes — integrations with Salesforce, DealCloud, and similar systems are supported.

How does FormIQ handle regulatory disclosures?

It automatically delivers the correct disclosure documents based on investor profile and jurisdiction.

Can investors sign digitally?

Yes, multi-party e-signature workflows are built in.

How are suitability updates managed?

FormIQ automates investor profile updates and reminders based on time or transaction triggers.

Can compliance officers review submissions in real time?

Yes, compliance teams get dashboards with approval routing and audit tracking.

Does FormIQ store data securely?

Yes, in encrypted, SOC 2-aligned cloud infrastructure.

Can investors upload identification documents

Yes, securely via drag-and-drop with AI-driven verification.

Is there an API for integration with transfer agents?

Yes, FormIQ provides a REST API for data synchronization.

How does FormIQ handle cross-border investors?

It can apply local suitability rules automatically based on residency or investor type.

FormIQ Solutions for Capital Markets

Digitize Your Investor Onboarding & Compliance Workflows

Get Started Today

Common Challenges in Capital Markets

Manual Data Collection

Manual Data Collection

Manual Data Collection

Signature Coordination

Manual Data Collection

Manual Data Collection

High Rejection Rates

Manual Data Collection

Security & Compliance Concerns

Security & Compliance Concerns

Security & Compliance Concerns

Security & Compliance Concerns

Renewals Are a Headache

Security & Compliance Concerns

Renewals Are a Headache

The FormIQ Solution

Smart Form Workflows

PDF Auto-Population

Multi-Party Signatures

Built-In Rules Engine

Enterprise-Grade Security

Built for Your Compliance Team

Approval Workflows Per Account Type

Automated Reminders for Incomplete or Expiring Accounts

Integrated Audit Trails for Every Submission

Integrated Audit Trails for Every Submission

Automated Reminders for Incomplete or Expiring Accounts

Integrated Audit Trails for Every Submission

Automated Reminders for Incomplete or Expiring Accounts

Automated Reminders for Incomplete or Expiring Accounts

Automated Reminders for Incomplete or Expiring Accounts

The Result?

Reduce time-to-open for new investor accounts by 70%

Eliminate NIGO (Not-In-Good-Order) rejections

Ensure a consistent, compliant experience for all stakeholders

Who Uses FormIQ in Capital Markets?

Frequently Asked Questions

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