To manage an Investors status first navigate to the investor you are looking for. You can find the investor either from the search feature, cap table or investor list, and click on their name to access the Investor details page.
The investor status indicators are located under the blue box containing the Investor id (HIN/SRN). These boxes include wholesale client/sophisticated investor, tax status, identity, PEP, Source of wealth and AML risk. Each has a coloured bar representing their current status. These colours can range between grey, red, orange and green. Green indicates a positive status that has been verified. Orange or red are warning indicators where a verification has failed. Grey indicates that no verification attempt has been made.
To manage a particular status refer to its section below:
Sophisticated Investor:
To update the Sophisticated investor status go to the investor details tab, and press “Edit”. Below the address details there is a “Verification” section. Here you will find a “Select this individual's sophisticated investor status” drop down and you can set the sophisticated investor status for that investor. For more information see Setting Sophisticated Investor Status.
Tax Status:
To update the investors tax status, click the “Tax Status” title and this will swap the investor detail tab below to their tax information. Here you can press the “Update Tax Details” button on the right side, which will bring you to a form where you can enter the investor tax information. Depending on the amount of information you add, this will change the tax status displayed. For more information about what is needed to reach a specific tax status see Tax Statuses.
Identity, PEP, Source Of Wealth:
To update one of these statuses go to the investor details tab, and press “Edit”. Below the address details there is a “Verification” section. Here you will find a series of drop downs and you can set the identity, PEP or source of wealth statuses for that investor.
If the investor's Identity or PEP still needs to be verified this can be done using GreenID or manually. See Investor Verification for more information.
AML risk:
To verify an investor's AML/CTF see the Identity, PEP, Source of Wealth section above. Once complete you can set the AML risk status by clicking the “AML Risk” status or by navigating to the last tab for investor details labeled “AML Risk Rating”. Here you can press “Add new Risk Rating” and complete the form it displays. After completing this it will have set the investors AML risk Rating.