Clear Attestation
Precise statements investors must affirm about income, net worth, or professional status to reduce ambiguity.
Investor verification is a compliance and risk-control step required when relying on private-offering exemptions. A completed form helps document reliance on representations, reduce disclosure errors, and create a paper trail for audits and regulatory reviews.
The form is completed by investors and reviewed by issuer compliance teams, broker-dealers, or placement agents before participation in private securities offerings.
Accurate completion protects issuers, intermediaries, and investors by documenting status and supporting exemption claims under securities law.
An individual investor signs to confirm personal criteria such as income, net worth, or professional certifications. Their signature establishes intent and attribution for ESIGN compliance and supports issuer reliance on the representation.
A corporate officer, trustee, or authorized signatory executes on behalf of an entity investor, attesting to organizational criteria and providing contact and authority information for issuer records and audit purposes.
| Field | Configuration |
|---|---|
| Required Fields | Make name, TIN, classification, signature mandatory |
| Document Upload | Require PDF or image proof with max file size setting |
| Authentication | Use email + optional SMS or KBA for higher assurance |
| Routing | Auto-forward to compliance with conditional approver steps |
Ensure the provider supports ESIGN/UETA compliance, secure storage, and exportable audit records for regulatory review.
Precise statements investors must affirm about income, net worth, or professional status to reduce ambiguity.
Explicit list of acceptable documents and acceptable date ranges for evidence to simplify reviewer decisions.
Declaration granting the issuer permission to rely on the representations and seek further verification if needed.
Signature, printed name, title (if applicable), and MM/DD/YYYY execution date for attribution and intent.
Short disclosure on how personal data will be used, retained, and protected consistent with applicable privacy laws.
Compliance reviewer notes, verification method, and retention instructions for audit trails.
Complete verification prior to accepting funds or allocating securities
Retention begins on execution date of the signed form
Provide accurate TINs before IRS reporting deadlines to avoid backup withholding
Material changes in investor status or extended offering timelines may require updated attestations
Ensure signed forms and audit trails are exportable for regulator requests
Investor submits form and attachments for initial intake
Compliance verifies completeness and flags missing items
Reviewer confirms supporting documents meet listed criteria
Issuer records reliance and stores signed form with audit trail
| 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 plan | Varies by plan | Varies by plan | Varies by plan |
| Bulk Send | Yes (Premium) | Yes | Yes | Yes | Varies |
| Audit Trail | Yes | Yes | Yes | Yes | Yes |
| HIPAA Compliant | Yes (BAA) | Varies by plan | Varies by plan | No | No |
| Envelope Cap | No cap | 100 envelopes/user/year | Varies by plan | Varies by plan | Varies by plan |
A venture fund used the form to confirm accredited status for 120 investors
A real estate syndicator integrated verification into subscription packages