Dossier information exchange

What does a dossier information exchange do?

A dossier information exchange allows a Financial Service Provider to reach out to a counterparty to gather data for a dossier and its associated parties. You can find more conceptual information about counterparties here.

There are two main counterparty types you can set up for information exchange:

• INDIVIDUAL - Invite an individual party (person) to complete information
• INTERMEDIARY - Request information from another Financial Service Provider

See also the concepts page and the module documentation about information exchange for more information.

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INDIVIDUAL counterparty setup

Use this setup when you want to invite an individual party (a Party of type INDIVIDUAL) linked to the dossier to complete information via email. The individual receives an invitation, goes through a flow, and fills in required dossier/party data.

Instructions

1. Set up your FSP definition with the required modules:

   • FINANCIAL_SP_DOSSIERS
   • DOSSIER_INFORMATION_EXCHANGE
   • DOSSIER_QUESTIONNAIRES

2. Create an FSP and link the FSP definition.

3. Create the form in the Form Definitions

   • Configure sections as needed for the data you want to collect from the individual

4. Create a Flow Definition

   • The flow can include the full range of responsibilities including IDENTITY and SIGNATORIES
   • PDF generation is supported at the end of the flow

5. Make sure to have a PENDING_INFORMATION_EXCHANGE dossier status in your Dossier Status Diagram.

6. Link the form and flow definition and dossier status diagram to the dossier definition.

7. Link the dossier definition to the FSP definition.

8. Add the questionnaires to the dossier configuration.

✅ To test

1. Go to the FSP
2. Create or open a dossier
3. Add an information exchange in the information exchange card
4. Select the form you want filled in with the counterparty type individual
5. Select or create an INDIVIDUAL as counterparty
6. Start information exchange using one of the flow options
7. Complete the flow
8. Verify the dossier data is updated

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INTERMEDIARY counterparty setup

Use this setup when you want to request dossier information from another Financial Service Provider (e.g., a broker providing client data to an insurer).

Prerequisites

• DOSSIER_INFORMATION_EXCHANGE module must be enabled on the 'mother' FSP
• INTERMEDIARY module must be enabled on the 'mother' FSP
• An intermediary FSP must be linked to the dossier

Instructions

1. Set up two different FSP definitions for the two FSP's you want the exchange between.

   • The FSP definition of the intermediary FSP should at least include the modules: FINANCIAL_SP_INFORMATION_EXCHANGES
   • The FSP definition of the 'mother' FSP should at least include the modules: FINANCIAL_SP_DOSSIERS, DOSSIER_INFORMATION_EXCHANGE, DOSSIER_QUESTIONNAIRES and INTERMEDIARY

2. Create an FSP for every intermediary and 'mother' FSP you need and link the respective FSP definition.

3. Link the intermediary FSP to the 'mother' FSP

   • Go to Financial Service Providers
   • Click on the 'mother FSP'
   • Click on Offices
   • Add a Front office
   • Add the ID of the FSP in the Front office ID field and the identifier of the FSP in the Broker account field.

4. Create the form in the Form Definitions

   • Make sure all sections are in the subsegment DOSSIER.

5. Create a Flow Definition There are some limitations in comparison with the outreach to an investor:

   • Make sure the SIGNATORIES responsibility is not configured!
   • Make sure the IDENTITY responsibility is not configured!

6. Make sure to have a PENDING_INFORMATION_EXCHANGE dossier status in your Dossier Status Diagram.

Example

{
  "type": "DOSSIER_STATUS_TRANSITIONS",
  "version": 1,
  "value": {
    "identifier": "dossier_status_transitions",
    "statusMap": {
      "OPEN": [
        {
          "to": "SUBMITTED"
        },
        {
          "to": "CLOSED"
        }
      ],
      "PENDING_INFORMATION_EXCHANGE": [
        {
          "to": "OPEN"
        },
        {
          "to": "SUBMITTED"
        },
        {
          "to": "CLOSED"
        }
      ],
      "SUBMITTED": [
        {
          "to": "READY_FOR_REVIEW",
          "validations": []
        },
        {
          "to": "CLOSED"
        }
      ],
      "READY_FOR_REVIEW": [
        {
          "to": "DONE",
          "validations": []
        },
        {
          "to": "CLOSED"
        }
      ],
      "DONE": [
        {
          "to": "OPEN"
        },
        {
          "to": "CLOSED"
        }
      ],
      "CLOSED": [
        {
          "to": "OPEN"
        },
        {
          "to": "ARCHIVED",
          "forRoles": [
            "PARTNER_MANAGER"
          ]
        }
      ]
    }
  }
}

7. Link the form and flow definition and dossier status diagram to the dossier definition.

8. Link the dossier definition to the FSP definition.

9. Add the questionnaires to the dossier configuration.

Configuration notes

• Uses the INFORMATION_EXCHANGE_INVITE email template for invitations
• Impersonation options (IMPERSONATE, IMPERSONATE_NO_OTP) are NOT supported
• INVESTOR_MAIL reminders are NOT supported for intermediaries
• Has the unique INFORMATION_DELIVERY_INTERMEDIARY option for direct flow access

✅ To test

1. Go to the mother FSP.
2. Add an intermediary in the intermediary card.
3. Add an information exchange in the information exchange card.
4. Select the intermediary FSP.
5. Start information exchange and/or go to the intermediary FSP and click Complete.
6. Go through the flow successfully.
7. Dossier in mother FSP can be completed.