Can this disclosure be signed electronically?

Yes. Electronic signatures are legally recognized under the federal ESIGN Act (15 U.S.C. ch. 96) and most states under UETA. Confirm the transaction is not an exception (for example, certain testamentary documents) and obtain any consumer-facing ESIGN disclosures required by law.

Is a notarization required?

Not generally required for standard investment disclosures. If the disclosure is paired with a power of attorney, deed, or other document that requires notarization, follow state notary rules or use Remote Online Notarization where permitted.

What authentication is recommended for signers?

Use email plus SMS code or stronger multi-factor methods for high-value accounts. Stronger identity proofing reduces fraud risk and supports auditability for regulatory review.

How should we store signed disclosures?

Retain tamper-evident signed copies and audit logs in a secure archive supporting AES-256 encryption. Keep records per applicable retention rules such as IRS and HIPAA where relevant.

Is signNow compliant for sensitive data?

signNow supports HIPAA compliance with a required BAA and maintains SOC 2 Type II, ISO 27001, and AES-256 encryption; include a BAA when processing protected health information.

What if a client disputes a signed disclosure?

Produce the audit trail (timestamps, IP addresses, authentication method), the signed PDF, and delivery records. These items support the legal validity of electronic consent under ESIGN and UETA.

Electronic Signature
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BBH Investment Management Client Disclosure

BBH Investment Management Client Disclosure

This template is fully customizable. Edit the text, fill out the fields, and send it for signature. Give it a try!

What the BBH Investment Management Client Disclosure Is

The BBH Investment Management Client Disclosure is a written statement provided to clients that explains investment advisory terms, fees, conflicts of interest, custody arrangements, and material policies governing the client-advisor relationship. It consolidates required disclosures under federal securities guidance and industry best practices so clients understand risks, costs, and service boundaries before engaging management services. The disclosure typically accompanies account opening documents and periodic updates and is used by compliance, advisory, and client-facing teams to document consent and ensure regulatory transparency.

Why a Clear BBH Investment Management Client Disclosure Matters

A concise disclosure reduces legal risk, supports regulatory compliance, and improves client trust by making fees, conflicts, and service terms explicit and reproducible during onboarding and reviews.

Who Typically Prepares and Receives This Disclosure

Use the disclosure as a living document: update it when fees, custodial arrangements, or material conflicts change and retain evidence of client acknowledgment.

Advisory firms and portfolio managers who provide discretionary or non-discretionary investment services.
Compliance officers and legal teams verifying fee schedules and conflict policies.
Clients and account signatories who must consent to terms before funding accounts.

Who Signs and Who Can Authorize

Primary Signatory

An authorized client representative or individual account holder with legal capacity must sign the disclosure. For corporate or trust accounts, an officer or trustee with authority should sign and provide evidence of signing authority.

Firm Representative

A designated advisory representative or compliance officer signs on behalf of the firm to attest to accuracy and to confirm that required disclosures have been delivered to the client.

Core Sections to Include in a Professional Disclosure

A complete BBH Investment Management Client Disclosure typically enumerates service scope, fees and compensation, conflicts of interest, custody and brokerage arrangements, privacy and data handling, and dispute resolution procedures.

Service Scope

Describe advisory services, investment strategies, discretion limits, and any model or sub-advisory relationships in clear terms.

Fees and Compensation

List management fees, performance fees, fee billing schedule, reimbursement policies, and whether fees are negotiable or tiered.

Conflicts of Interest

Disclose material conflicts, related-party transactions, and policies for mitigation, referral arrangements, or revenue sharing.

Custody and Brokerage

State where client assets are held, trade execution arrangements, soft-dollar or directed brokerage practices, and custody safeguards.

Privacy and Data Handling

Summarize personal data collected, retention, sharing practices, and applicable safeguards under privacy or health laws if relevant.

Dispute Resolution

Identify governing law, arbitration clauses (if any), and procedures for complaints and regulatory contact information.

Step-by-Step: Completing the Client Disclosure

Follow these steps to fill, sign, and store the BBH Investment Management Client Disclosure consistently and compliantly.

01

Prepare Document: Populate firm name, contact, and standard disclosures.
02

Complete Client Fields: Enter legal name, account type, and effective date.
03

Review Fees: Confirm fee percentages, payment timing, and any performance fees.
04

Sign and Record: Obtain signatures and save audit-ready copies.

Typical Digital Workflow Settings for eSubmission

Configure the online workflow to collect required data, apply conditional fields, and route for review before final signature.

Field	Configuration
Authentication	Email link or SMS code; use stronger auth for high-value accounts
Conditional Fields	Show conflict disclosures only for affected products or parties
Audit Trail	Enable IP, timestamp, and action logs for every signer
Retention Policy	Automate export to secure archive after signing

How Digital Delivery and Acknowledgment Typically Flow

A repeatable electronic process helps ensure every client receives identical disclosures, that consent is recorded, and that the firm retains verifiable evidence of delivery.

Upload Disclosure: Firm uploads the template to the signing system.
Place Fields: Insert name, date, and signature fields.
Send to Client: System sends email or link for client review.
Capture Audit Trail: Record signer actions, IP, and timestamps.

Technical and Integration Considerations

Integration with systems like Salesforce, NetSuite, or Google Workspace reduces manual steps and supports consistent recordkeeping across platforms.

Integrations: CRM, custody, and document storage
Formats: PDF, DOCX, Excel supported
Authentication: Email, SMS, or advanced methods

Security and Compliance Essentials for Disclosure Handling

Encryption: TLS 1.2/1.3 in transit; AES-256 at rest

Audit Trail: Tamper-evident logs with timestamps

HIPAA BAA: Available when required

21 CFR Part 11: Support for FDA-regulated workflows

Certifications: SOC 2 Type II and ISO 27001

Accessibility: WCAG 2.0 Level AA compliance

Common Preparation Pitfalls to Avoid

Inconsistent fee language that creates ambiguity in billing terms.
Mismatched client names or signer authority that delay account activation.
Missing custody or brokerage details that complicate asset transfers.
Failing to record client consent or retain a reproducible copy.

Risks and Consequences of Inaccurate Disclosures

Regulatory Fines: Enforcement actions and monetary penalties

Client Litigation: Breach claims or misrepresentation suits

Contract Voidance: Disputed or unenforceable terms

Reputational Harm: Loss of trust and referrals

Operational Delays: Account freezes and remediation steps

Tax Impacts: Incorrect reporting and backup withholding

Timing: When to Provide and Update the Disclosure

Timely delivery and periodic updates are essential. Provide the disclosure at onboarding and whenever material terms change; document client receipt and consent.

Onboarding Delivery:

Provide before account funding or first trade

Material Changes:

Issue updated disclosure when fees or conflicts change

Annual Review:

Confirm terms annually or as required by policy

Tax Reporting:

Coordinate updates with W-9 or tax-info requests

Record Retention:

Retain signed disclosures per policy and law

Key Milestones in Disclosure Processing

A sequenced view helps teams track required actions from draft to archive, ensuring no step is overlooked during client onboarding and reviews.

01

Draft and Review

Legal and compliance approve standardized language

02

Client Delivery

Send disclosure before account funding

03

Acknowledgment

Capture signature and audit evidence

04

Real-World Examples of Disclosure Use

These customer examples show practical ways firms use standardized disclosures to streamline onboarding and compliance.

Optica Ventures (COO)

Optica standardized disclosures across funds to reduce onboarding time by centralizing language and approvals.

The project cut review cycles.
By using a single template with conditional fields they decreased vendor review time and improved client clarity during account opening.

Martin Properties (Founder)

Martin Properties executed disclosures and related contracts online for property investors.

Mobile signing was critical on site.
The firm processed and executed investor forms with secure signatures and archival, enabling remote closings without sacrificing compliance.

eSignature Pricing and Feature Snapshot for Disclosure Workflows

Comparison of representative vendor starting prices and selected feature availability to assist platform evaluation for disclosure signing and recordkeeping.

	signNow	DocuSign	Adobe Sign	PandaDoc	HelloSign
Starting Price	$8/user/mo	$15/user/mo	$14/user/mo	$19/user/mo	$15/user/mo
Free Trial	7-day free trial	Varies	Varies	Varies	Varies
Bulk Send	Yes	Yes	Yes	Yes	Yes
Audit Trail	Yes	Yes	Yes	Yes	Yes
HIPAA Compliant	Yes	Yes	Yes	No	No
Envelope Cap	No cap	100 envelopes/user/year	Varies	Varies	Varies

Frequently Asked Questions About the Disclosure and eSigning

Answers to common operational and legal questions about completing, signing, and storing a BBH Investment Management Client Disclosure.

Need help? Contact support

Can this disclosure be signed electronically?
Yes. Electronic signatures are legally recognized under the federal ESIGN Act (15 U.S.C. ch. 96) and most states under UETA. Confirm the transaction is not an exception (for example, certain testamentary documents) and obtain any consumer-facing ESIGN disclosures required by law.
Is a notarization required?
Not generally required for standard investment disclosures. If the disclosure is paired with a power of attorney, deed, or other document that requires notarization, follow state notary rules or use Remote Online Notarization where permitted.
What authentication is recommended for signers?
Use email plus SMS code or stronger multi-factor methods for high-value accounts. Stronger identity proofing reduces fraud risk and supports auditability for regulatory review.
How should we store signed disclosures?
Retain tamper-evident signed copies and audit logs in a secure archive supporting AES-256 encryption. Keep records per applicable retention rules such as IRS and HIPAA where relevant.
Is signNow compliant for sensitive data?
signNow supports HIPAA compliance with a required BAA and maintains SOC 2 Type II, ISO 27001, and AES-256 encryption; include a BAA when processing protected health information.
What if a client disputes a signed disclosure?
Produce the audit trail (timestamps, IP addresses, authentication method), the signed PDF, and delivery records. These items support the legal validity of electronic consent under ESIGN and UETA.

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