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Investor Compliance & Onboarding Commands ​

FundAdmin AI provides six Investor Compliance & Onboarding commands that handle the full lifecycle of admitting a new investor into a fund. This category covers investor type classification, FATCA/CRS and tax form determination, suitability verification, AML/CFT screening, KYC document tracking, and the complete end-to-end subscription pipeline.

These commands are designed for fund administrators managing investor onboarding, compliance teams responsible for AML and sanctions obligations, and GP back-office teams processing subscription documents.

/fund investor-classify ​

Description: Auto-classifies an investor into one of 10 standard investor type categories based on provided documentation or questionnaire responses, then generates a tailored document requirements checklist for that investor type. Eliminates manual classification errors and ensures the right documents are requested upfront.

Usage ​

bash
/fund investor-classify <file>

Inputs ​

ParameterTypeRequiredDescription
fileFile pathYesInvestor questionnaire, subscription booklet, or onboarding form (PDF, DOCX, or TXT)

Output ​

Generates INVESTOR-CLASSIFY-[investor]-[date].md containing:

  • Investor Type Classification -- one of 10 categories: US Individual, US Entity (Non-Exempt), US Entity (Exempt), Non-US Individual, Non-US Entity, Pension Plan / ERISA, Government Entity, Endowment / Foundation, Insurance Company, or Fund-of-Funds
  • Classification Rationale -- key facts from the document supporting the classification, alternative classification considered and ruled out
  • Document Requirements Checklist -- full checklist of required onboarding documents tailored to the investor type (subscription agreement, KYC/AML package, tax forms, ERISA representations, beneficial ownership certification, etc.)
  • Regulatory Framework Applicability -- which regimes apply: FATCA, CRS, ERISA, AIFMD, CIMA, Cayman AML, etc.
  • Investor Flags -- any flags requiring elevated diligence (PEP exposure, sanctions jurisdiction, complex ownership, ERISA plan asset risk)
  • Recommended Next Steps -- ordered sequence of onboarding actions with responsible party (investor, fund admin, legal counsel)

Example ​

bash
/fund investor-classify investor-questionnaire-smith-family-office.pdf
bash
/fund investor-classify subscription-booklet-nordic-pension.pdf

/fund fatca-crs-classify ​

Description: Determines FATCA Chapter 3 and Chapter 4 withholding classifications and CRS tax residency status, identifies the correct IRS tax form (W-8BEN, W-8BEN-E, W-8ECI, W-8EXP, W-8IMY, or W-9), and analyzes applicable treaty benefits. Produces a complete FATCA/CRS classification memo suitable for the fund's compliance file.

Usage ​

bash
/fund fatca-crs-classify <file>

Inputs ​

ParameterTypeRequiredDescription
fileFile pathYesInvestor entity documents, tax forms, or onboarding questionnaire (PDF, DOCX, or TXT)

Output ​

Generates FATCA-CRS-[investor]-[date].md containing:

  • FATCA Chapter 4 Classification -- Participating FFI, Registered Deemed-Compliant FFI, Non-Participating FFI, Exempt Beneficial Owner, NFFE (Active or Passive), or US Person
  • FATCA Chapter 3 Classification -- withholding status, exemption code, and applicable withholding rate
  • CRS Classification -- Reporting FI, Non-Reporting FI, Active NFE, Passive NFE, or Individual; CRS reportable jurisdictions identified
  • Required Tax Form -- W-8BEN (non-US individual), W-8BEN-E (non-US entity), W-8ECI (effectively connected income), W-8EXP (exempt organizations), W-8IMY (intermediaries), or W-9 (US persons), with form completion guidance
  • Treaty Benefits Analysis -- applicable US tax treaty, reduced withholding rates by income type, limitation on benefits clause analysis, treaty disclosure requirements
  • GIIN Requirement -- whether a Global Intermediary Identification Number is required and current GIIN status if provided
  • Self-Certification Requirements -- CRS self-certification obligations, form type, and renewal triggers
  • Compliance Flags -- expired forms, missing certifications, FATCA withholdable payment exposure, recalcitrant account risk
  • Recommended Actions -- specific form completion steps, registration requirements, and filing deadlines

Example ​

bash
/fund fatca-crs-classify cayman-feeder-fund-documents.pdf
bash
/fund fatca-crs-classify luxembourg-pension-fund-onboarding.pdf

/fund suitability-check ​

Description: Verifies whether an investor meets the applicable eligibility thresholds for a private fund: Qualified Purchaser ($5M+ investments), Accredited Investor ($1M net worth or $200K/$300K income), and Qualified Client (for performance fee eligibility). Reviews supporting documentation and produces a suitability determination with evidence citations.

Usage ​

bash
/fund suitability-check <file>

Inputs ​

ParameterTypeRequiredDescription
fileFile pathYesSuitability questionnaire, financial statements, subscription agreement, or investor certification (PDF, DOCX, or TXT)

Output ​

Generates SUITABILITY-CHECK-[investor]-[date].md containing:

  • Qualified Purchaser Determination -- pass/fail with threshold analysis ($5M in investments for individuals, $25M for entities), investment assets reviewed, lookthrough analysis for entities, family investment companies treatment
  • Accredited Investor Determination -- pass/fail with basis (net worth test, income test, professional certifications, entity tests), documentation reviewed, spousal/joint net worth treatment
  • Qualified Client Determination -- pass/fail for performance fee eligibility ($2.2M AUM test or $1.1M net worth test under current adjusted thresholds)
  • Knowledgeable Employee Status -- if applicable, whether the investor qualifies as a knowledgeable employee of the fund's investment adviser
  • Documentation Assessment -- adequacy of supporting evidence provided, documents accepted vs. documents still required, certification vs. verification standard applied
  • Regulatory Basis -- Investment Company Act Section 3(c)(1) vs. 3(c)(7) analysis, Investment Advisers Act Section 205(e) for QC determination, applicable state blue sky requirements
  • Deficiency Log -- any gaps in documentation with specific items required to complete the determination
  • Recommended Actions -- steps to cure deficiencies, re-verification triggers (annual recertification, change in circumstances), and escrow/closing conditions

Example ​

bash
/fund suitability-check investor-certification-blackwood-family-trust.pdf

/fund aml-screen ​

Description: Conducts AML/CFT screening on one or more investors, covering PEP (Politically Exposed Person) classification, sanctions list checks across OFAC, EU, and UN databases, source of funds analysis, and overall AML risk rating. Produces a screening report with a Low/Medium/High/Prohibited risk determination and supporting evidence.

Usage ​

bash
/fund aml-screen <file>

Inputs ​

ParameterTypeRequiredDescription
fileFile pathYesInvestor identification documents, beneficial ownership certification, or onboarding questionnaire (PDF, DOCX, or TXT)

Output ​

Generates AML-SCREEN-[investor]-[date].md containing:

  • Overall AML Risk Rating -- Low / Medium / High / Prohibited with summary rationale
  • PEP Classification -- direct PEP (current or former government official), RCA (relative or close associate), no PEP status; PEP tier (Tier 1: heads of state, Tier 2: senior officials, Tier 3: other public functions); EDD requirements triggered
  • Sanctions Screening -- OFAC SDN and sectoral sanctions list check, EU Consolidated Sanctions List, UN Security Council Consolidated List, HMT (UK) and SECO (Switzerland) where applicable; match/no-match/possible-match determination with name variant analysis
  • Adverse Media Check -- summary of adverse news categories reviewed: financial crime, corruption, regulatory enforcement, criminal proceedings
  • Source of Funds Analysis -- review of stated source of funds and wealth, documentation adequacy, credibility assessment, red flags identified
  • Beneficial Ownership -- UBO identification (25% or 10% threshold as applicable), ownership chain mapping, complex structure flags, nominee arrangements
  • Geographic Risk Factors -- FATF high-risk and non-cooperative jurisdiction exposure, correspondent banking risk, offshore center usage
  • Triggering Risk Factors -- cash-intensive business, complex structure without business rationale, inconsistent financial profile, high-risk industry sector
  • EDD Requirements -- whether Enhanced Due Diligence is required and specific additional steps needed
  • Recommended Actions -- accept/escalate/decline recommendation, ongoing monitoring requirements, periodic refresh schedule

Example ​

bash
/fund aml-screen beneficial-ownership-form-northgate-partners.pdf
bash
/fund aml-screen kyc-package-al-rashid-family-office.pdf

/fund kyc-tracker ​

Description: Manages KYC document status across multiple investors simultaneously. Tracks document completeness percentage, flags expiring documents (passports, utility bills, AML certifications), and generates a consolidated KYC status dashboard with action items for the fund administration team.

Usage ​

bash
/fund kyc-tracker <file> [file2 ...file-n]

Inputs ​

ParameterTypeRequiredDescription
fileFile pathYesKYC document package, investor register, or prior KYC tracking report (PDF, DOCX, TXT, or Markdown)
file2 ... file-nFile pathsNoAdditional investor KYC packages or supporting documents to include in the tracking sweep

Output ​

Generates KYC-TRACKER-[fund]-[date].md containing:

  • KYC Dashboard Summary -- total investors tracked, overall completion rate, investors at 100% / 75-99% / below 75%, count of expiring documents within 30/60/90 days
  • Per-Investor KYC Status -- for each investor: completeness percentage, documents received, documents outstanding, expiry dates for time-sensitive items, last refresh date, next refresh due date
  • Document Expiry Alerts -- passports expiring within 90 days, utility bills older than 3 months, AML certifications due for annual refresh, certificate of good standing renewals, authorised signatory confirmations
  • Refresh Cycle Schedule -- standard refresh intervals by investor type and risk rating (High-risk: 1 year, Medium: 2 years, Low: 3 years), upcoming refresh queue sorted by due date
  • Outstanding Document Log -- complete list of missing documents by investor with document type, original request date, number of follow-ups sent, escalation status
  • Compliance Exposure Summary -- investors with critical gaps blocking capital deployment, investors requiring EDD uplift, investors with sanctions screening pending re-run
  • Recommended Actions -- prioritized follow-up list with responsible parties, suggested automated reminder schedule, items requiring legal counsel or senior compliance officer review

Example ​

bash
/fund kyc-tracker kyc-register-fund-iii-q1-2025.pdf
bash
/fund kyc-tracker investor-a-kyc.pdf investor-b-kyc.pdf investor-c-kyc.pdf

/fund subscription-process ​

Description: Runs the complete end-to-end investor subscription pipeline in a single command. Chains all compliance steps sequentially — investor classification, suitability verification, FATCA/CRS determination, AML screening, KYC document review, and subscription document review — then produces a consolidated onboarding package with an acceptance recommendation.

Usage ​

bash
/fund subscription-process <file> [file2 ...file-n]

Inputs ​

ParameterTypeRequiredDescription
fileFile pathYesPrimary subscription document, onboarding questionnaire, or investor package (PDF, DOCX, or TXT)
file2 ... file-nFile pathsNoSupporting documents: KYC package, tax forms, financial statements, beneficial ownership certification

Output ​

Generates SUBSCRIPTION-PROCESS-[investor]-[date].md containing:

  • Pipeline Summary -- all 6 stages with pass/fail/pending status and overall acceptance recommendation (Accept / Accept with Conditions / Escalate / Reject)
  • Stage 1 — Investor Classification -- type determination and document requirements checklist
  • Stage 2 — Suitability Verification -- Qualified Purchaser, Accredited Investor, and Qualified Client determinations with documentation assessment
  • Stage 3 — FATCA/CRS Classification -- Chapter 3/4 status, required tax forms, treaty benefits, GIIN status
  • Stage 4 — AML Screening -- PEP classification, sanctions check results, source of funds assessment, risk rating
  • Stage 5 — KYC Review -- document completeness, identity verification, beneficial ownership confirmation, outstanding items
  • Stage 6 — Subscription Document Review -- representations and warranties, investment amount, closing mechanics, transfer restrictions, consent requirements
  • Acceptance Recommendation -- clear Accept / Accept with Conditions / Escalate to Senior Compliance / Reject determination with supporting rationale
  • Conditions Log -- any conditions that must be satisfied before or promptly after closing
  • Deficiency Tracker -- all outstanding items across all stages with priority (blocking vs. non-blocking), owner, and target resolution date
  • Compliance File Checklist -- complete list of documents to retain in the investor's compliance file, organized by regulatory framework
  • Recommended Actions -- next steps for fund admin, legal counsel, and compliance officer with suggested sequencing

Example ​

bash
/fund subscription-process subscription-booklet-horizon-capital.pdf kyc-package-horizon-capital.pdf
bash
/fund subscription-process investor-onboarding-pack-meridian-trust.pdf

This tool does not provide financial, legal, or tax advice.

FundAdmin AI — 59 Commands, 14 Categories, 5 Agents, Professional Reports