For solicitors
A client onboarding checklist for UK solicitors
A sound onboarding file starts before the client receives a link. The matter needs the right parties, scope, risk decisions and documents, with a clear owner for anything that needs review.
This guide is general information for solicitors and law firms. Apply your firm's policies and check current regulatory guidance before changing a compliance process.
01
Before you invite the client
Start with the matter, not the checks. Record the client, every other relevant party, the legal work your firm has agreed to do and the person responsible for the file. A donor, company director, attorney or beneficial owner may need a different checklist from the main client.
Decide which onboarding requirements apply before you send anything. This can include identity evidence, AML screening, Source of Funds, matter forms, official documents and a Client Care Letter. If your firm uses standard packs, check that the selected pack matches the matter type and the client's role.
- Confirm the matter reference, matter type and responsible fee earner.
- Add each party separately and record why they are involved.
- Apply the firm's risk assessment and note any enhanced checks.
- Prepare the current Client Care Letter and costs information.
- Check the client's email address before sending a secure link.
02
Give the client one clear request
Clients are more likely to finish when they can see what is required and why. Put the assigned work in a sensible order, use plain English and let the client save progress. If an item fails a quality check, ask for that item again rather than restarting the whole process.
Explain what the client should have ready. A passport, driving licence, proof of address, bank evidence or a signed document may be needed, but the exact list depends on the matter and your firm's risk assessment.
- Use one secure invitation rather than separate email threads.
- Show the client which tasks are complete and which still need work.
- Keep requests specific when a photograph or document needs replacing.
- Offer an assisted route where a client cannot use the standard digital process.
03
Review exceptions instead of rechecking everything
Automation can collect evidence and present screening results, but the firm still decides whether the file is acceptable. Separate a provider result from the firm's decision. Record who reviewed an exception, what they considered and why they accepted, rejected or requested more information.
Ownership matters here. Fee earners, compliance staff and operations teams may all touch the same file, so outstanding work and final decisions need named owners rather than a shared inbox.
- Review identity evidence and provider outcomes as separate records.
- Investigate PEP, sanctions and adverse-media results in context.
- Compare Source of Funds evidence with the client's explanation and the transaction.
- Record any redo request and the reason for it.
04
Close the loop on the file
When onboarding is complete, the matter record should explain what happened without forcing a reviewer to reconstruct it from email. Keep the current evidence, signed documents, screening outcomes, review notes, delivery history and timestamps together.
Before the matter moves on, confirm that the correct Client Care Letter has been signed, required forms are complete and every exception has a recorded outcome. Preserve earlier versions where they form part of the audit history.
- Export or file the final onboarding evidence.
- Keep signed documents tied to the correct party and version.
- Retain a useful matter history showing who acted and when.
- Follow your firm's retention and access-control policies.
Questions clients and firms ask
Should every client receive the same onboarding checklist?
No. The requirements should reflect the matter, the client's role and the firm's risk assessment. Standard packs can provide a starting point, but they still need a controlled exception route.
Can digital onboarding replace a solicitor's review?
No. Digital tools can collect, organise and screen information. The firm remains responsible for the risk assessment, exceptions and final decisions.
What should be kept when onboarding finishes?
Keep the evidence, signed documents, screening results, decisions and a useful history of material actions, subject to your firm's legal and retention obligations.
