Full reasoning chain
Every conclusion carries its reasoning and a citation to the source document, with agent actions and human overrides recorded in sequence.
Solution · Capital Markets Onboarding
Onboarding is an investigation. We run it like one.
A single mandate rarely means a single entity. One relationship can carry a fund manager, master and feeder funds, separately managed accounts, SPVs, limited partnerships, directors, signatories and beneficial owners — booked across several legal entities and jurisdictions. RiskPulse treats each request as a governed case, gathers the evidence, asks the client only for what remains, and presents an approval-ready file.
ScopeEvidenceApproval
The work
What the file
actually takes.
Onboarding delay is rarely one hard analytical question. It is a sequence of dependencies — determine what is required, find what already exists, request what is missing, wait for the client, review what arrives, screen and assess, route the exceptions, and assemble the record. Most of it is assembly rather than judgment.
01
Request
The request is classified at intake — entity type, domicile, products, booking entity, relationship manager and any upstream risk indicators.
02
Documentation
The required document set is derived from policy. Internal and approved sources are checked first, so the client is asked only for what remains — one coordinated request across every entity in the mandate.
03
Verification
Documents are classified and read, fields extracted and cross-checked, ownership resolved through intermediate entities to the UBO, and screening run under the configured policy.
04
Risk assessment
Each configured dimension is scored against your policy — ownership, sanctions and PEP exposure, jurisdiction, product, adverse media and more.
05
Approval
The completed file is assembled for the authorized reviewer with the evidence, conditions and a recommended disposition attached.
Where the agents run
Plan. Examine. Report.
Capital markets onboarding uses the same three coordinated agents as every other RiskPulse case type. What changes is the policy behind them — the plan template, the data and tools available, the risk dimensions scored, and the record that comes out.
Ask the client once, for what remains.
The client should not receive a static form that ignores what the institution already holds. RiskPulse checks internal and approved external sources first, then generates a residual RFI — only what is missing.
- Residual RFI — internal repositories and approved sources are checked before the client is asked for anything new
- One coordinated request — common, entity-, jurisdiction- and product-specific items assembled into a single outreach
- Dynamic questions — follow-ups generated from real evidence gaps, suppressed when existing data already resolves them
- Analyst control — requests can be removed, rewritten or reprioritised, and must be approved before anything is sent
RiskPulse · Onboarding case record
Policy for this case type
Configured,
not hardcoded.
Capital markets onboarding is too variable to encode as one static workflow, so RiskPulse treats it as a configuration of a stable platform. Everything below is a setting your institution defines.
- Domain & category
- The professional context — capital markets onboarding — and the client category (investment manager, hedge fund, private fund, SMA, SPV, LP and others) that selects the applicable policy and checklist.
- Product scope
- Products drive requirements independently — a rule such as if product = principal FX, execute the credit-risk requirements can enable or disable steps per requested product.
- Jurisdiction & booking entity
- Requirements can vary by both the client's jurisdiction and your booking entity, so one global mandate carries multiple jurisdiction-specific requirement sets under a single relationship-level case.
- Risk dimensions
- You define which dimensions are scored, their weighting, thresholds, composite bands, override rules, and the conditions that force enhanced review.
- Plan & report templates
- The Plan Agent works within your approved template; the Report Agent produces your required sections, house style and approval language, posted to your system of record.
- Review gates
- Human intervention is configured by case type and risk level — standard files can progress with limited review points, higher-risk clients can require review after planning, after enhanced due diligence, and before approval.
Controls
Defensible
after the fact.
The same governance and quality controls apply to this case type as to every other — because an examiner does not lower the standard for the harder files.
Quality control
Sampling built in
A sampling methodology sits behind this case type, so your quality team can assess a representative sample rather than reviewing at random.
Quality assurance
Independent assessment
A separate set of agents assesses case quality end to end against your methodology — a second opinion on the work.
See it on your own file
Bring a real case.
We’ll show you the workflow.
Pick a recently completed or representative capital markets file and see how RiskPulse scopes it, reuses what exists, resolves ownership and screening, runs the risk assessment, and produces the approval package against your own historical workflow.
Request Demo