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required documentation new client

I. Preliminary Information

Gather client’s full name

Obtain client’s contact information (phone number, email, address)

Request the preferred method of communication

Identify the client’s date of birth

II. Conflict of Interest Check

Conduct a conflict of interest search

Document any potential conflicts and how they will be addressed

Obtain written confirmation of conflict clearance

III. Engagement Agreement

Prepare and present the engagement letter

Ensure the letter outlines scope of services

Include fee structure and payment terms

Obtain client’s signature on the engagement agreement

IV. Financial Information

Collect retainer fee (if applicable)

Request banking information for billing (if necessary)

Discuss payment methods and options

V. Identification and Verification

Collect a copy of the client’s government-issued ID

Obtain proof of address (utility bill, lease, etc.)

Verify the identity according to firm policy

VI. Case Specific Information

Gather details about the legal matter

Request relevant documents or evidence from the client

Discuss and document client’s goals and expectations

VII. Compliance and Regulatory Forms

Provide and collect anti-money laundering (AML) forms

Complete any required Know Your Customer (KYC) documentation

Ensure compliance with local and federal regulations

VIII. Client Information Management

Enter client information into the firm’s case management system

Set up a dedicated file for the new client

Establish a follow-up schedule for ongoing communication

IX. Client Education and Resources

Provide the client with informational materials about the legal process

Discuss the firm’s policies and procedures

Offer resources for additional support or questions

X. Final Review

Conduct a final review of all collected documents

Confirm completeness of the client file

Schedule the next meeting or call with the client

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