Create the client record

Log in to the Adviser Portal.

• Select Quick Create and choose Client. Alternatively, open the Clients tab and select Create new client.

Complete the client details

• Complete the required client information. Mandatory fields are marked with an asterisk (*).
• Bank details are not required at this stage. If they are not entered by the adviser, the client can add them when they first log in and accept the platform terms.
• Check that the client’s email address is correct before submitting the application. The client will receive their platform terms by email and must accept them before funds can be added. Each client must have a unique email address; the platform will prevent a duplicate address from being used.
• To allow payments by Direct Debit, select the Direct Debit option. A mandate will be sent to the client with the platform terms. Once accepted, single and regular payments can be collected from the registered bank account when instructed.
• If the client intends to open a SIPP, enter their marital status, employment status and expected retirement age.
• Where an employer will contribute to the client’s SIPP, the employer’s name, company registration number, address and bank details will also be required. These details can be added later when the SIPP account is created.

• Confirm that the required identity and anti-money laundering (AML) checks have been completed. You must confirm this to proceed. You can also record whether the client’s identity was verified face to face; this is optional.
• Select the client’s marketing preference, then select Review.

Review and submit

Check all information carefully and select Submit. The client record will be created with a Pending status. An identity verification check will run automatically. If bank details have been entered, a bank account verification check will also be completed.

• We recommend creating the client’s accounts at this stage, so the client can accept the platform and product terms together.
• Once the identity verification has completed, and the bank verification where bank details were provided, the client will receive a Set password email. The link is valid for five days. If it expires, the client can request a Password reset email and use the link provided to create their password.
• The client can then set their password and log in. They will be invited to set up multi-factor authentication (MFA). For more information, refer to the guide Logging in to the Söderberg Platform via Multi-Factor Authentication (MFA).
• MFA is not currently mandatory. If the client selects No thanks, remind me later, they can continue without setting it up and will be prompted again after 30 days.

What happens next

The client will log in, check their details, accept the platform terms and add their bank details if these were not entered during registration.

• If the client adds bank details while accepting the terms, a bank account verification check will be completed automatically. If successful, the client’s status will update to Active. Where further information is required, we will contact you and the client will remain Pending until the checks are complete.
• If the Direct Debit option was selected during registration, the client will also be asked to review and accept the Direct Debit mandate.

The client is now registered. You can proceed to open the required account or wrapper. Further guidance is available in our other process guides.

Related process guides:

Opening a General Investment Account

How to open an Individual Savings Account (ISA)

How to open a Self Invested Personal Pension (SIPP)

How to open a Junior Individual Savings Account (JISA)