Who must sign or approve entries on the list?

Typically a designated account owner or legal representative should approve entries; for entities, attach a board resolution or power of attorney if signing authority is not evident in public records.

Can the list be signed electronically?

Yes. Under the ESIGN Act and UETA, electronic signatures establish intent and can create legally binding entries when intent, consent, attribution, and retention are documented.

Is notarization required for all entries?

Not necessarily. Notarization depends on the transaction and state law. Some states require notarized acknowledgements for deeds or certain powers of attorney; check jurisdictional rules before assuming notarization is needed.

How should sensitive identification documents be stored?

Keep verification files in an access-controlled repository, encrypt data at rest and in transit, and limit access to authorized compliance or legal personnel to satisfy privacy obligations.

What if a listed contact changes or leaves the organization?

Update the list promptly, record the change timestamp and who authorized it, and retain prior versions for audit purposes per your retention schedule.

How do I prove a person had authority at the time of signing?

Maintain supporting evidence such as a corporate resolution, power of attorney, or board minutes alongside the signed list entry and capture signer identity and timestamp in the audit trail.

Electronic Signature
Templates
Miscellaneous
Client Interested Persons List

Client Interested Persons List

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

CLIENT INTERESTED PERSONS LIST

RECITALS

WHEREAS, Client Name: (the "Client") is required to disclose and maintain an accurate list of persons or entities having an interest in the Client for the purposes described herein; and

WHEREAS, Service Provider Name: (the "Provider") will receive, rely upon, and maintain this list in accordance with the terms of the accompanying agreement and applicable law; and

WHEREAS, Effective Date: is the date on which the information in this list is certified as true and complete to the best knowledge of the person executing below.

INSTRUCTIONS

Complete this form by listing every natural person and entity with an ownership, beneficial, controlling, or other material interest in the Client that is required to be disclosed under the terms of the applicable agreement or governing policy. For each Interested Person, provide the information requested below and attach additional sheets if necessary. The signatory certifies under penalty of perjury that the information is accurate and complete as of the Effective Date.

LIST OF INTERESTED PERSONS

Add entries as needed. Each entry should contain the full legal name, role or relationship to Client, type of interest, percentage ownership where applicable, mailing address, and contact information. If an entry is an entity, provide the principal of the entity who exercises control.

1. Full Legal Name Role / Relationship to Client Type(s) of Interest (check all that apply)

Equity Beneficial Owner Lender Related Party Other

Percentage Ownership (if applicable) Mailing Address Contact Information Identification (type and last 4 digits, if applicable) Notes / Additional Information

2. Full Legal Name Role / Relationship to Client Type(s) of Interest (check all that apply)

Equity Beneficial Owner Lender Related Party Other

Percentage Ownership (if applicable) Mailing Address Contact Information Identification (type and last 4 digits, if applicable) Notes / Additional Information

If additional Interested Persons are required to be disclosed, attach a separate sheet using the same format and reference this form by Client Name:

SCOPE OF WORK

Describe the scope of services or the transaction context in which this Interested Persons List is provided. Include any limitations on use of the list and any obligations to update.

PAYMENT TERMS

Fee Amount Payment Schedule Late Fee

TERM AND TERMINATION

This List and any obligations arising from it commence on Start Date: and continue until End Date: , unless earlier terminated in accordance with this section.

Notice Period for Termination

Either party may terminate this List and related obligations for cause if the other party materially breaches any representation or covenant and fails to cure within the notice period set forth above. Termination shall not relieve any party of obligations accrued prior to termination.

CONFIDENTIALITY

The parties acknowledge that the information contained in this Interested Persons List constitutes Confidential Information. The receiving party shall not disclose the list or use it except as necessary to perform obligations under the related agreement or as required by law. Confidential obligations shall survive termination for a period of Confidentiality Period (years):

GOVERNING LAW

This Interested Persons List and any dispute arising under or relating to it shall be governed by and construed in accordance with the laws of Jurisdiction: , without regard to conflict of law principles.

ENTIRE AGREEMENT

This document, together with any exhibits or attachments referenced herein, constitutes the entire agreement between the parties with respect to the subject matter of this Interested Persons List and supersedes all prior understandings, agreements, or representations, whether written or oral. Any amendment must be in writing and signed by both parties.

CERTIFICATION

The undersigned certifies, under penalty of perjury, that the information contained in this Interested Persons List is true, correct, and complete to the best of the signatory's knowledge and belief as of the Effective Date set forth above, and that the signatory is authorized to provide this certification on behalf of the Client.

Client Name:

By:

Date:

Provider Name:

By:

Date:

What the Client Interested Persons List Is and When It’s Used

A Client Interested Persons List is a structured register identifying individuals and entities that have a substantive interest in a client relationship, transaction, or matter. It typically names owners, beneficial owners, authorized representatives, known affiliates, and any party with decision-making authority or financial stake. The list supports due diligence, conflict checks, regulatory disclosures, and contract routing. For legal and compliance teams it helps document chains of authority and contact points for notices. Accurate, current lists reduce administrative friction and help meet regulatory and contractual obligations.

Why maintaining a Client Interested Persons List matters

A complete list prevents conflicts, speeds approvals, and provides an auditable record for compliance and contracting. It clarifies who must be notified, who can sign, and who is covered by confidentiality and non-solicit clauses.

Who typically prepares and relies on this list

Cross-functional access improves accuracy; keep a controlled edit history and designate an owner for updates.

Corporate counsel and outside law firms conducting conflict checks and maintaining representation records.
Compliance and AML teams collecting beneficial ownership and KYC data for regulatory filings.
Account management and procurement teams routing contracts and notices to authorized contacts.

Step-by-step: Completing the Client Interested Persons List

Follow these sequential steps to assemble a legally useful and operationally effective list.

01

Gather source documents: Collect corporate records, formation documents, and KYC materials.
02

Identify interested parties: List owners, officers, agents, and affiliates with material interest.
03

Confirm authorities: Obtain evidence of signing authority or board resolutions where needed.
04

Record and verify contacts: Enter complete addresses, emails, and phone numbers; verify by confirmation.

Core elements to include on a professional list

A well-structured list captures identity, role, authority, and contact information plus provenance and verification records to support audits and contract execution.

Legal Name

Full registered name of the person or entity as used in government filings or corporate records, enabling unambiguous identification for contracts and due diligence.

Role Description

Concise description of the person’s relationship to the client (e.g., CEO, 30% owner, authorized representative) so responsibilities and notification rights are clear.

Signing Authority

Statement of whether the person can sign and any limits (monetary or scope). Attach supporting documentation such as a resolution when needed.

Contact Information

Complete mailing address, business email, and direct phone number. This is used for service of notices and urgent communications.

Verification Evidence

Notes on how identity/authority were verified (ID, corporate record, power of attorney) and the verification date for audit trails.

Record Metadata

Include created/updated timestamps, owner of the record, and version for change control and retention auditing.

Required data elements at a glance

Full legal name: Exact official name

Role/relationship: Role in matter

Authority level: Signing limits

Contact details: Address, phone, email

Verification record: ID or corporate doc

Record timestamps: Created/updated dates

How to set up an online workflow for this list

Configure an eSignature workflow that gathers list entries, collects verification files, and routes approvals automatically.

Field	Configuration
Name Field	Required, single-line text
Role Dropdown	Predefined options with 'Other' fallback
Upload ID	File upload, PDF/JPG accepted
Approval Step	Conditional routing to legal team

Technical considerations for eSubmission and sharing

Ensure chosen tools integrate with CRM or contract management systems to keep the list synchronized and retrievable for audits.

File formats: PDF, DOCX, and image files supported
Authentication: Email, SMS, or stronger MFA options
Audit trail: Detailed timestamp and IP logging

Typical eSignature vendor pricing and feature snapshot

Comparison of representative starting prices and common capabilities for eSignature platforms. signNow is listed first per vendor ordering rules.

	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 by vendor	Varies by vendor	Varies by vendor	Varies by vendor
Bulk Send	Yes	Yes	Yes	Yes	No
Audit Trail	Yes	Yes	Yes	Yes	Yes
HIPAA Compliant	Yes	Yes	Yes	No	No

Key risks and legal consequences of inaccurate lists

Regulatory fines: Failure to disclose owners can trigger fines

Contract voiding: Incorrect signatory info may invalidate agreements

Tax penalties: Missing W-9 data can trigger backup withholding

KYC failures: Incomplete data invites AML enforcement

Notary defects: Improper notarization can render records unusable

Data breaches: Exposure of PII risks HIPAA/CCPA liability

Common mistakes to avoid when preparing the list

Using inconsistent name formats across documents, such as listing a business by trade name in one place and by registered entity name elsewhere, which impedes identity matching and contract enforcement.
Failing to document evidence of signing authority or board resolutions, leaving contracts exposed to challenge when an alleged signatory lacks clear delegated authority.
Relying on unchecked or stale contact details; sending legal notices to outdated addresses can forfeit rights or delay remedies under notice provisions.
Storing sensitive verification files without access controls or encryption, increasing the risk of unauthorized disclosure and regulatory exposure under privacy laws.

Timing considerations and common deadlines to track

Certain deliverables and tax-related items tied to the list have standard deadlines; track these to avoid penalties and late filings.

W-9 Requests:

Provide upon payer request; no fixed federal deadline

1099-NEC:

Recipient and IRS copies due Jan 31

1099-MISC:

Recipient due Jan 31; IRS paper Feb 28, electronic Mar 31

Form 1040:

Individual tax return due April 15

I-9 Retention:

Retain per hire/termination rules; timely completion required

Where to send, file, and store completed lists

Define destinations and custody rules so the list supports operational and legal needs.

Primary Repository: Store in contract management or CRM
Legal Archive: Retain verified copies in legal document store
Signer Distribution: Share signed copies with listed interested parties
Audit Access: Maintain read-only audit exports for regulators

Two real-world examples of how the list is used

Practical scenarios show how the list prevents delays and supports compliance during deals and client intake.

Optica Ventures — Deal Intake

When onboarding investors they required a single list of beneficial owners and signatories to complete subscription agreements quickly.

This reduced back-and-forth for signature collection.
The centralized list served as the official roster for notices and streamlined legal review across multiple rounds of funding and closing deliverables.

Fertility Centers — Patient Authorization

Clinical sites maintained an interested persons list to record authorized family members and legal guardians for patient records.

Access controls and consent fields were included.
By combining the list with verification documents and retention rules, the center satisfied HIPAA retention and access requirements while enabling timely communication in clinical workflows.

Frequently asked questions about the Client Interested Persons List

Answers to common questions about scope, signatures, notarization, and best practices when creating or updating this list.

Need help? Contact support

Who must sign or approve entries on the list?
Typically a designated account owner or legal representative should approve entries; for entities, attach a board resolution or power of attorney if signing authority is not evident in public records.
Can the list be signed electronically?
Yes. Under the ESIGN Act and UETA, electronic signatures establish intent and can create legally binding entries when intent, consent, attribution, and retention are documented.
Is notarization required for all entries?
Not necessarily. Notarization depends on the transaction and state law. Some states require notarized acknowledgements for deeds or certain powers of attorney; check jurisdictional rules before assuming notarization is needed.
How should sensitive identification documents be stored?
Keep verification files in an access-controlled repository, encrypt data at rest and in transit, and limit access to authorized compliance or legal personnel to satisfy privacy obligations.
What if a listed contact changes or leaves the organization?
Update the list promptly, record the change timestamp and who authorized it, and retain prior versions for audit purposes per your retention schedule.
How do I prove a person had authority at the time of signing?
Maintain supporting evidence such as a corporate resolution, power of attorney, or board minutes alongside the signed list entry and capture signer identity and timestamp in the audit trail.

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