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SCF Issues & Warnings

For purposes of this article, a Tax Document refers to the CARF/CRS Self-Certification Form.

Our platform reviews the information provided on each Tax Document submitted via the Digital Documentation SDK and Validation API to identify any issues or warnings that require remediation.

 

Issues

Issues indicate that the submitted tax document is invalid due to missing, conflicting, or non-compliant information. These issues must be resolved before the form can be considered valid for tax and withholding purposes. Below is a summary of each issue:

Incomplete Data

The information provided on the tax document is incomplete, meaning a required field is missing, or a required field does not contain an acceptable value or format.

Inconsistent Data

The information provided on the tax document is inconsistent, meaning two or more fields contain conflicting information.

 

Warnings

Not all flagged items indicate a problem that invalidates a form. Some are categorized as warnings, which highlight potential inconsistencies or areas that may require further review—but do not make the form invalid on their own. These warnings are meant to guide customers in identifying edge cases that may need clarification or additional documentation depending on their internal risk tolerance or compliance procedures.

Incomplete GIIN

The GIIN provided on the tax document is not in the appropriate format.

CBI / RBI Confirmation

If all residencies provided by the account owner, or controlling person, are jurisdictions that allow individuals to obtain citizenship or residence rights through local investments, the RBI/CBI confirmation must be TRUE.

 

Additional Warnings (Validation API Only)

Please note: The below warnings will not reflect when data is coming from our SDK.

Incomplete Address

The address information provided on the tax document is incomplete.

Inconsistent CP Information

The controlling person information provided on the Self-Certification appears inconsistent with the classification provided for the account owner. This only applies to Controlling Person validation.

Please note: Many of the issues and warnings reflected above may also be raised on each of the Controlling Persons.