Combined Statement Of Financial Condition
Use a COMBINED STATEMENT OF FINANCIAL CONDITION 2019 template to make your document workflow more streamlined.
Combined Statement Of Financial Condition overview
The Combined Statement Of Financial Condition records a party’s financial position in a single document for review, approval, or transaction documentation. It generally brings financial details and supporting information together so an authorized recipient can assess the submission consistently. With signNow, a sender uploads the form, places or confirms fillable fields, assigns signers, and sends it electronically. Signers review the completed financial information, provide consent and signatures, and receive a final copy with an audit trail. Filing deadlines and retention periods depend on the underlying transaction and applicable law.
Who uses this financial statement
Financial services
Financial services teams use the statement to collect organized financial information from applicants, borrowers, or counterparties while preserving signer attribution and a reproducible record.
Business and legal
Businesses and legal teams use it when reviewing a party’s financial condition, coordinating approvals, or attaching supporting records to a transaction file.
How the statement workflow works
The workflow moves from document preparation to authorized signing and preservation of the completed financial record.
Upload form: Upload the blank form and identify its financial information fields. Complete fields: Add the required financial details and signer fields. Send securely: Send the statement to authorized signers by email. Archive record: Store the completed statement with its audit trail.
Complete the statement in signNow
Prepare this financial statement in four controlled stages, from uploading the document through preserving its completed audit record.
Upload document:
Upload the Combined Statement Of Financial Condition. Place fields:
Add or confirm financial and signature fields. Assign signers:
Assign each field to the correct signer. Complete workflow:
Send, monitor, and download the completed record.
Recommended statement workflow setup
Configure authentication, signing, audit evidence, retention, and encryption according to the statement’s financial-data sensitivity and transaction requirements.
| Setting | Recommendation |
|---|---|
| Authentication method | Email verification with SMS OTP |
| Signature type | Legally binding electronic signature |
| Audit trail | Enable detailed Audit Trails |
| Document retention | Apply transaction-specific retention policy |
| Encryption | TLS 1.2/1.3 and AES-256 |
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Complete the statement on mobile
signNow provides iOS and Android apps for reviewing and signing the Combined Statement Of Financial Condition. Mobile users can work with captured documents and use offline signing when connectivity is unavailable.
Mobile apps iOS and Android apps Offline work Offline signing available Camera capture Camera-based document capture
Organizations should manage mobile access through approved devices, user permissions, and documented retention procedures. Where the statement contains sensitive financial information, administrators should verify signer identity, control sharing permissions, and preserve the final record and audit trail in an authorized repository.
Security for financial records
Data encryption:
Security certification:
Information security:
Electronic records:
Protected information:
Privacy controls:
Find and fill out the correct combined statement of financial condition
airSlate SignNow helps you fill in and sign documents in minutes, error-free. Choose the correct version of the editable PDF form from the list and get started filling it out.
| Versions | Form popularity | Fillable & printable |
|---|---|---|
| CA DE 9406 2019 | 4.8 Satisfied (1815 Votes) | |
| CA DE 9406 2011 | 4.8 Satisfied (157 Votes) |
Legal standing of the statement
A completed Combined Statement Of Financial Condition can be retained as an electronic business record when the parties demonstrate intent, consent, attribution, and reliable reproduction under ESIGN and applicable UETA rules. Those frameworks do not cover wills, codicils, testamentary trusts, or court orders and official court filings.
Processing stages for the statement
No universal filing deadline is specified for this form; timing depends on the transaction, requesting party, and applicable agreement.
Document preparation
Signer delivery
Signer turnaround
Completion and archival
Best practices for preserving records
Accurate preparation, controlled access, exportable audit evidence, and a transaction-specific retention policy protect the completed financial statement.
Tie retention to the transaction
Export audit evidence promptly
Restrict financial-data access
Review templates before reuse
Privacy challenges to address
Unredacted account numbers or personal financial details may be exposed when the completed statement is shared beyond authorized recipients. Missing electronic consent evidence can weaken the record when a consumer receives or signs the statement digitally. Incorrect recipient permissions may allow unauthorized users to view, download, or forward financial information. Incomplete signer attribution can make it harder to connect each signature with the responsible individual.
Audit trail evidence for this statement
The audit trail documents who interacted with the Combined Statement Of Financial Condition, when actions occurred, and how the final record can be retrieved.
Authenticate signer:
Capture timestamp:
Hash document:
Seal record:
Track activity:
Export trail:
Use cases for the financial statement
The form fits workflows that require organized financial information, authorized signatures, and a reproducible electronic record.
Financial services
A financial services team needs applicants to complete a Combined Statement Of Financial Condition before internal review and approval.
- Structured financial information
- Assigned signer fields
- Exportable audit evidence
Using signNow, the team can prepare a reusable document, send it to authorized applicants, and retain the completed statement with signer activity. The workflow reduces manual routing while keeping the financial record connected to its audit evidence and approval process.
Legal operations
A legal operations team coordinates a counterpart’s financial statement with supporting transaction documents and several internal reviewers.
- Role-based routing
- Controlled sharing
- Signed record archive
The team can route the Combined Statement Of Financial Condition in a defined signing order, limit access to designated participants, and preserve the executed record. signNow templates and audit trails help organize the transaction file without changing the statement’s substantive financial disclosures.
Troubleshooting the financial statement workflow
Use these answers to resolve field, consent, signer-access, plan, and record-preservation issues for the Combined Statement Of Financial Condition.
On the Business plan, upload the Combined Statement Of Financial Condition, place fields manually, and confirm that every required financial entry has an assigned signer before sending.
signNow supports legally binding eSignatures and audit trails on the Business plan. ESIGN and applicable UETA rules require intent, consent, attribution, and record retention or reproduction.
For consumer-facing financial records, provide the ESIGN disclosure explaining paper-record rights, electronic access, and consent withdrawal procedures under 15 U.S.C. §7001(c).
Business includes audit trails and templates. Business Premium adds bulk send, while Enterprise adds advanced signer authentication; select the plan based on the number and sensitivity of recipients.
If a signer cannot open the email, verify the recipient address, resend the invitation, or use a controlled signing link. Avoid forwarding financial records through unapproved channels.
A signNow audit trail records actions such as timestamps and signer activity. Export the completed statement and audit evidence together, then apply the retention rule required for the underlying transaction.
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