Workflow
Finra 4512 Customer Info
Overview
CaseMark's FINRA 4512 skill automatically drafts comprehensive customer account information checklists for broker-dealer onboarding. It maps customer identification documents, suitability data, and firm policies to every required regulatory field, producing exam-ready documentation with built-in gap tracking and supervisory review formatting.
Broker-dealer onboarding requires meticulous documentation across dozens of regulatory fields spanning customer identification, trusted contacts, affiliations, suitability, and account elections. Manually assembling and cross-referencing these checklists is time-consuming, error-prone, and creates significant compliance risk when items are missed or improperly documented before supervisory review.
CaseMark automates the creation of FINRA Rule 4512 customer account information checklists by analyzing your firm's WSPs and customer documents, then mapping every data point to the correct regulatory requirement. The result is a complete, exam-ready packet with verification flags, declination records, and follow-up tracking that satisfies both supervisory review and FINRA examination standards.