What is a PEP and why does it matter?

A PEP is an individual with prominent public functions whose position can present higher corruption risk. Identifying PEPs enables enhanced due diligence, targeted monitoring, and appropriate escalation to meet AML and compliance obligations.

Who should complete this form?

The primary account holder, beneficial owner, or authorized agent should complete the form. Organizations may require additional internal review and signatures from account managers or legal representatives depending on risk level.

Can I sign this form electronically?

Yes. Electronic signatures are valid under the ESIGN Act and UETA when the transaction shows intent to sign, consent to e-records, attribution to the signer, and retention ability to reproduce the record.

What supporting documents must I attach?

Typically a government-issued ID, proof of address, and corporate documents when applicable. Upload clear color copies; poor quality scans often cause verification delays and additional requests.

How long must records be retained?

Retention depends on rules that apply to your organization: IRS records at minimum three years (IRC §6501(a)), HIPAA six years where applicable (45 CFR §164.530(j)); follow the longest applicable retention period.

How do I update or revoke a submitted form?

Contact the compliance or onboarding team to submit a corrected form; sign the updated version electronically. Maintain version history so prior submissions remain auditable while the new submission becomes the active record.

Electronic Signature
Templates
Miscellaneous
Miscellaneous PEP Form

Miscellaneous PEP Form

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

MISCELLANEOUS PEP FORM — BUSINESS SERVICES AGREEMENT

Parties

Client Name: Client Entity Type:

Individual Corporation Trust Other

Client Address: Client Contact (Name & Title): Service Provider Name: Provider Entity Type:

Individual Corporation Trust Other

Provider Address:

Recitals

WHEREAS, Client desires to engage Provider to perform certain due diligence and screening services relating to Politically Exposed Persons (PEPs) and associated risk assessment (the "Services"); and

WHEREAS, Provider represents that it has the professional capability, resources and expertise to perform the Services in accordance with the terms set forth in this Agreement; and

WHEREAS, the parties desire that this Agreement become effective as of (the "Effective Date") and set forth their respective rights and obligations.

Scope of Work

Provider shall perform the Services as described below. Provider shall exercise reasonable skill and care and shall deliver the Services in a timely manner consistent with industry standards.

Description of Services (scope_of_work):

Politically Exposed Person (PEP) Information

Client shall disclose whether the subject(s) of screening are Politically Exposed Persons. Client's representations regarding PEP status are material to Provider's acceptance and performance of the Services.

Is the client or any subject to be screened a Politically Exposed Person? Yes No

If Yes, provide details (pep_details): Relationship to Client (if applicable):

Payment Terms

Client shall pay Provider for the Services as follows. Fees are exclusive of applicable taxes unless otherwise stated. Provider shall issue invoices in accordance with the schedule below.

Contract Amount (USD): Payment Schedule / Milestones (payment_schedule): Payment Terms (days to pay): Late Fee:

Late fees shall accrue on overdue amounts at the greater of the rate specified above or the maximum rate permitted by applicable law, calculated monthly on the outstanding balance.

Term and Termination

This Agreement shall commence on the Start Date and continue until the End Date, unless earlier terminated in accordance with this Section.

Start Date: End Date:

Notice Period for Termination (days):

Either party may terminate this Agreement for material breach by the other party if the breaching party fails to cure such breach within the notice period specified above. Termination shall not relieve Client of the obligation to pay for Services performed and expenses incurred through the effective date of termination.

Confidentiality

Each party acknowledges that during the performance of this Agreement it may receive Confidential Information of the other party. "Confidential Information" means non-public information that is designated as confidential or that a reasonable person would understand to be confidential given the nature of the information and the circumstances of disclosure.

The receiving party shall: (a) maintain the confidentiality of Confidential Information using at least the same degree of care it uses to protect its own confidential information, (b) use Confidential Information only to perform its obligations under this Agreement, and (c) not disclose Confidential Information to third parties except to employees, contractors and advisors who need to know and who are bound by confidentiality obligations no less protective than those in this Agreement. Exceptions include information that is or becomes publicly available through no fault of the receiving party, is already lawfully in the receiving party's possession, or is required to be disclosed by law or regulation (subject to prior notice to the disclosing party where legally permitted).

Compliance, Representations and Warranties

Each party represents and warrants that it will comply with all applicable laws, rules and regulations in the performance of its obligations under this Agreement, including those related to anti-bribery, anti-corruption and anti-money laundering. Client represents that all information provided to Provider regarding PEP status and related facts is true, complete and not misleading as of the date provided. Provider shall rely on Client's representations in conducting the Services and shall notify Client of any material risks identified through its standard procedures.

Indemnification

Client shall indemnify, defend and hold harmless Provider from and against any third-party claims, losses or liabilities arising from Client's breach of its representations or warranties, including but not limited to false or incomplete disclosures of PEP status or related information. Provider shall promptly notify Client of any claim and shall cooperate in the defense and resolution of such claim.

Governing Law

This Agreement shall be governed by and construed in accordance with the laws of the State of without regard to its choice of law principles.

Entire Agreement

This Agreement, including any exhibits or attachments, constitutes the entire agreement between the parties with respect to its subject matter and supersedes all prior and contemporaneous agreements, understandings and communications, whether written or oral. Any amendment or modification must be in writing and signed by both parties.

Client — Printed Name:

Provider — Printed Name:

Client — By:

Provider — By:

Date:

What the Miscellaneous PEP Form Is and when it's used

The Miscellaneous PEP Form is a standardized compliance questionnaire used to identify politically exposed persons (PEPs) and capture related due-diligence information during onboarding, periodic reviews, or event-driven checks. It records identity details, public office history, family and close-associate relationships, source of funds, and self-declared attestations that compliance teams use for enhanced due diligence and risk scoring. The form supports sanctions and adverse-media screening and is completed by customers, agents, or internal teams to create an auditable record for regulatory review.

Why a structured PEP form matters for compliance

Using a Miscellaneous PEP Form centralizes disclosures and standardizes data capture so compliance teams can apply consistent enhanced due diligence. Complete, dated records improve audit readiness, document decision rationale, and support legal defensibility when forms are executed electronically under ESIGN or state UETA frameworks.

Core components of a professional Miscellaneous PEP Form

An effective Miscellaneous PEP Form combines clear identity fields, structured disclosure sections, signer consent, required attachments, versioned history, and workflow rules that trigger compliance review or escalation for high-risk findings.

Identification

Full legal name, aliases, date of birth, government ID numbers, nationality, and current address captured in consistent formats to support automated identity verification and reduce false positives.

PEP Status

Detailed present and prior public office data, jurisdiction and role, plus family and close-associate relationships to determine domestic versus foreign PEP classification and screening scope.

Financial Details

Source of funds, employer or principal, estimated net worth, and transaction purpose fields so compliance can assess legitimacy and apply monitoring or transaction limits.

Declarations

Clear attestations about beneficial ownership, conflicts of interest and sanctions exposure with signature and date to document self-disclosure and consent for screening.

Supporting Docs

A defined list of required uploads (government ID, proof of address, corporate documents) with file-type and quality guidance to avoid verification delays.

Review Workflow

Escalation criteria, reviewer roles, periodic reassessment intervals, and retention rules to ensure ongoing monitoring and a defensible audit trail for regulators.

Step-by-step: complete and submit a Miscellaneous PEP Form

Follow these steps to gather documents, complete fields, apply signature, and route the form to compliance for review and archival.

01

Prepare: Gather government ID, proof of address, corporate documents, and any power-of-attorney if applicable.
02

Complete: Fill every required field, follow MM/DD/YYYY formats, and attach clear document scans.
03

Sign: Apply an electronic signature and confirm consent to receive records electronically.
04

Submit: Send to the designated compliance inbox or upload to the secure portal that records an audit trail.

Typical online workflow settings for PEP intake

Configure validation, authentication, routing, and attachment rules so intake enforces required fields, reduces manual work, and creates a searchable audit trail.

Field	Configuration
Authentication Mode	Email link or SMS code; enable 2FA for high-risk PEPs.
Routing Order	Define signer and reviewer sequence with conditional escalation.
Conditional Routing	Trigger secondary review when risk score or disclosures meet thresholds.
Attachments Allowed	Accept PDF, JPG, PNG; set size limits and require color scans.

Where the form goes after completion

A completed PEP form follows a clear path from data capture through verification, signature, review, and archival to create a complete audit trail.

Upload: Sender uploads form template and adds required fields.
Assign: Add signer emails and assign reviewer roles.
Sign: Signer authenticates, reviews, and signs electronically.
Archive: System stores signed PDF and audit report for compliance.

Technical and compliance requirements for eSubmission

Ensure the chosen platform supports secure e-signing, tamper-evident storage, audit trails, and integrations with compliance systems and CRM platforms.

Formats: PDF, DOCX accepted
Integrations: Salesforce, NetSuite, Google Workspace
Authentication: Email, SMS, KBA, SSO options

Confirm ESIGN/UETA compliance, HIPAA capability where needed, and features like AES-256 encryption, TLS transport, and detailed audit logs to support regulatory review and record retention.

Key security and compliance controls to require

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

Audit Trail: Timestamped actions, IP, and event logs

HIPAA: BAA required for protected health information

SOC 2: SOC 2 Type II available on request

ESIGN/UETA: Meets ESIGN and UETA signature tests

Access Controls: Role-based access and SSO/SAML options

Common mistakes that delay verification or review

Uploading low-resolution or cropped ID images that fail automated verification, requiring manual re-submission and delaying compliance approval.
Entering inconsistent names or omitting suffixes, which creates mismatches between ID documents and screening results and triggers follow-up requests.
Using nonstandard date formats or incomplete dates (e.g., missing year) that cause automated parsing errors and require manual correction.
Failing to list family members or close associates, which underreports risk and may later require rework if screening flags undisclosed relationships.

Risks and negative outcomes from incorrect or missing PEP data

Regulatory Fines: Civil penalties under AML laws

Account Restrictions: Account freeze or closure

Reporting Obligations: Elevated SAR or investigation filings

Sanctions Risk: Blocking or asset freezes

Reputational Harm: Loss of business relationships

Data Errors: Invalid records hinder audits

Timelines to complete, review, and update PEP forms

Establish clear timelines for submission, escalation, and periodic reassessment to reduce regulatory exposure and keep risk ratings current.

Onboarding Submission:

Submit at account opening or before the first significant transaction.

Immediate Updates:

Report material changes within 30 days of occurrence.

Periodic Review:

Conduct annual reassessment for existing PEP relationships as a baseline cadence.

Escalation Window:

High-risk cases should be reviewed by compliance within 72 hours.

Record Retention:

Retain signed forms according to retention policy and legal requirements.

eSignature plan comparison for PEP intake and retention

Compare common plan features for eSignature vendors when selecting a platform to handle PEP forms and secure storage; signNow is listed first as the baseline column.

	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 trial	Yes (varies)	Yes (varies)	Yes (limited)	Yes (limited)
Bulk Send	Yes	Yes	Yes	Yes	No
Audit Trail	Yes	Yes	Yes	Yes	Yes
HIPAA Compliant	Yes	Yes	Yes	No	No

Who typically completes or reviews a Miscellaneous PEP Form

The form is usually completed by clients or their agents and reviewed by compliance, onboarding, or relationship teams depending on organizational structure.

Compliance teams use the form to document enhanced due diligence and retain audit records for regulatory inspection.
Relationship managers collect PEP status and supporting documents during client onboarding or when account profiles are updated.
Customers and authorized agents submit identity information, attestations, and required attachments for verification and screening.

Assign clear ownership for collection, review, and escalation to reduce processing time and ensure consistent evidence for audits.

FAQs: common questions about completing and storing this form

Answers to common questions about who completes the form, e-signature validity, updating disclosures, and retention requirements.

Need help? Contact support

What is a PEP and why does it matter?
A PEP is an individual with prominent public functions whose position can present higher corruption risk. Identifying PEPs enables enhanced due diligence, targeted monitoring, and appropriate escalation to meet AML and compliance obligations.
Who should complete this form?
The primary account holder, beneficial owner, or authorized agent should complete the form. Organizations may require additional internal review and signatures from account managers or legal representatives depending on risk level.
Can I sign this form electronically?
Yes. Electronic signatures are valid under the ESIGN Act and UETA when the transaction shows intent to sign, consent to e-records, attribution to the signer, and retention ability to reproduce the record.
What supporting documents must I attach?
Typically a government-issued ID, proof of address, and corporate documents when applicable. Upload clear color copies; poor quality scans often cause verification delays and additional requests.
How long must records be retained?
Retention depends on rules that apply to your organization: IRS records at minimum three years (IRC §6501(a)), HIPAA six years where applicable (45 CFR §164.530(j)); follow the longest applicable retention period.
How do I update or revoke a submitted form?
Contact the compliance or onboarding team to submit a corrected form; sign the updated version electronically. Maintain version history so prior submissions remain auditable while the new submission becomes the active record.

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