Complete investor due diligence before signing; present the approved agreement, services and fee disclosure from the source system.
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| Control point | Applicable design |
|---|---|
| Actors | Investor and account-opening team |
| Trigger | Complete investor review before finalizing the agreement |
| Source system | Brokerage system |
| Documents | Account-opening agreement and trading terms |
| Approval control | Complete investor review before finalizing the agreement |
| Identity and authority | Match the participants, representation authority and document scope before requesting authorization. |
| Signing route | API or Agent connects an agreed VNeID/RS-HUB or Trusted SIC route; fallback requires an approved deployment policy. |
| Business exceptions | Investor information changes; agreement expiry; duplicate profile |
| Downstream system | Brokerage system / DMS |
Complete investor due diligence before signing; present the approved agreement, services and fee disclosure from the source system.
Investor; due diligence team; account operations review the document and representation authority before authorizing signing.
Correlate the signing request with account-opening agreement and service enrollment and its approved version; retain the transaction reference.
The approved provider creates the signature using the applicable certificate and authorization; do not change routes without approval.
The account record links agreement, disclosures and signing result; trading access is a separate business step.
Investor information changes; agreement expiry; duplicate profile.
The Brokerage system owner decides whether to amend, cancel or request a new signature. Reconcile delayed callbacks against the original transaction before creating a replacement.
This is a reference implementation workflow. The organization determines business policy, legal requirements and acceptance conditions.
