Client & matter inception

Copyright © 2025 LexisNexis

Client and matter inception is an important exercise in protecting your firm, getting to know your client and what they need from you, and complying with a number of different regulatory obligations.

If you are dealing with a new client, inception is usually a two-stage process:

  1. •

    stage 1—client inception

  2. •

    stage 2—matter inception

In reality, you're likely to do both steps at the same time.

Generally, if you are dealing with a new matter for an existing client, stage 1 will already have been completed and you can concentrate on stage 2. You may, however, have to revisit your client due diligence measure—see Practice Note: Matter inception—law firms—Should you repeat the client-based checks?

Stage 1—new clients

Information gathering

Before you can do much else, you will need sufficient details about the client to enable you to set them up on your system. The more details you have, the better informed your decisions while you work through your client inception process.

See Precedent: New client form.

Identifying the client

The SRA requires you to identify who you are acting for in relation to

To view the latest version of this document and thousands of others like it, sign-in with LexisNexis or register for a free trial.

Existing user? Sign-in TAKE A FREE TRIAL
Powered by Lexis+®
Latest Practice Compliance News

Government publishes report on how to improve gender pay equality in the workplace

The Office for Equality and Opportunity and Women and Equalities Unit have published a report by the Behavioural Insights Team into evidence-based actions for employers to reduce the gender pay gap and improve gender equality in the workplace. This replaces the last report, published in 2021. The statutory guidance for employers on gender pay gap reporting has been updated to refer to the updated report.

OFSI extends General Licence INT/2022/2085212

The Office of Financial Sanctions Implementation (OFSI) and HM Treasury (HMT) have extended  General Licence INT/2022/2085212, regarding sanctioned Russian banks for Mongolian energy payments. The licence, effective from 7 August 2025, has been extended to expire at 23:59 on 14 August 2027.

Practice Compliance weekly highlights—7 August 2025

This week's edition of Practice Compliance weekly highlights includes: new OFSI guidance and enforcement action relating to Russian sanctions breaches, the SRA’s updated anti-money laundering sectoral risk assessment, and new ICO guidance on preventing data breaches through secure document disclosure. Additional updates cover solicitor engagement with children in youth courts, LeO's enhanced remedies guidance for complaint resolution and a consultation on increasing case fees. Developments in AI compliance include the Commission and AI Board’s recognition of the GPAI Code of Practice and the European Parliament’s call for enhanced traceability in generative AI systems.

Joint Committee publishes its report on Forced Labour in UK Supply Chains

Commercial analysis: On 24 July 2025, the Joint Committee on Human Rights (the ‘Joint Committee’) published its Report on Forced Labour in UK Supply Chains (the ‘Report’). The publication of the Report follows the inquiry launched by the Joint Committee on 21 January 2025 exploring the UK’s legal and voluntary frameworks that address forced labour in international supply chains. Written by Natalie Goodman, associate, and Moira Thompson Oliver, head of business and human rights, both at Slaughter and May.

View Practice Compliance by content type :  
News
Practice notes
Precedents
Q&As

Popular documents

In what circumstances might a solicitor be able to contact another lawyer's client directly?

In what circumstances might a solicitor be able to contact another lawyer's client directly?The current SRA Standards and Regulations (STaR) are silent as to whether a solicitor is entitled to contact the client of opposing solicitors in any circumstances, though to do so runs the risk of a breach

Is a client entitled to see a copy of their client account ledger and/or and any payments made from

Is a client entitled to see a copy of their client account ledger and/or and any payments made from office account?From an accounts rules perspective, the Solicitors Regulation Authority is silent on this specific point, but the Law Society considers accounting records, including vouchers and

Priority between loss reliefs in loss making companies

Priority between loss reliefs in loss making companiesWhy does it matter?A company that is a member of a group and has incurred any of the types of losses available for surrender by way of group relief may, without any further rules, have more than one way in which to use the loss. There are a

Late payment penalties—inheritance tax

Late payment penalties—inheritance taxWhile interest often accrues on overdue tax, the late payment of certain taxes may also attract a penalty. For information on the interest accruing on overdue tax, see Practice Notes: IHT—payment deadlines on death—Interest on IHT and Interest on late paid
In what circumstances might a solicitor be able to contact another lawyer's client directly?

In what circumstances might a solicitor be able to contact another lawyer's client directly?

In what circumstances might a solicitor be able to contact another lawyer's client directly?The current SRA Standards and Regulations (STaR) are silent as to whether a solicitor is entitled to contact the client of opposing solicitors in any circumstances, though to do so runs the risk of a breach

Is a client entitled to see a copy of their client account ledger and/or and any payments made from

Is a client entitled to see a copy of their client account ledger and/or and any payments made from

Is a client entitled to see a copy of their client account ledger and/or and any payments made from office account?From an accounts rules perspective, the Solicitors Regulation Authority is silent on this specific point, but the Law Society considers accounting records, including vouchers and

Priority between loss reliefs in loss making companies

Priority between loss reliefs in loss making companies

Priority between loss reliefs in loss making companiesWhy does it matter?A company that is a member of a group and has incurred any of the types of losses available for surrender by way of group relief may, without any further rules, have more than one way in which to use the loss. There are a

Late payment penalties—inheritance tax

Late payment penalties—inheritance tax

Late payment penalties—inheritance taxWhile interest often accrues on overdue tax, the late payment of certain taxes may also attract a penalty. For information on the interest accruing on overdue tax, see Practice Notes: IHT—payment deadlines on death—Interest on IHT and Interest on late paid