Client & matter inception

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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

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