Understanding the client

CDD begins before any documents are collected.

Lawyers should take reasonable steps to understand the client and the proposed instruction, including where appropriate:

• discussions with the client;
• information obtained from referrers or existing professional contacts;
• publicly available information concerning the client, its business or activities; and
• information obtained during conflict checking and matter opening processes.

The purpose of these enquiries is to build a coherent understanding of the client and matter. Publicly available information may assist this assessment, but does not replace formal verification requirements where verification is required.

Any information that materially informs the risk assessment should be recorded within the Client and Matter Risk Assessment.