KYC document checklist for law firm client intake
This KYC document checklist covers what law firms commonly collect at client intake: photo ID, proof of address, company registration and ownership records, beneficial owner IDs, source of funds evidence and signed authority documents. DocAsker sends it as one link and checks each upload for quality, document type, expiry dates, signatures and missing pages. Requirements vary by country, regulator and risk level, so confirm your current list.
Documents to request for KYC and AML checks
Law firms and compliance teams use this checklist when they open a new matter or take on a new client, before any work starts or funds are received.
- 01
Government-issued photo ID
Photo ID confirms the identity of an individual client or the person instructing you for a company. Ask for a passport, national ID card or driver's license that is currently valid, with both sides of a card.
Format: Photo or PDF
DocAsker checks: DocAsker checks that the image is sharp, free of glare and not cropped, and that the ID has not expired.
- 02
Proof of residential address
A proof of address links the person to a residential address separate from the ID. Ask for a utility bill, bank statement or government letter dated within the last 3 months.
Format: PDF or photo
DocAsker checks: DocAsker checks that the file is an accepted proof of address and that its issue date falls within the last 3 months.
- 03
Certificate of incorporation or registration
For a company client, the certificate confirms the legal name, registration number and date of incorporation. Ask for the certificate issued by the company registry.
Format: PDF
DocAsker checks: DocAsker checks that the file is a certificate of incorporation or registration and not a different company document.
- 04
Recent company registry extract
A current extract shows the registered address, directors and status of the company. Ask for an extract dated within the last 3 months, or the period your policy sets.
Format: PDF from the registry
DocAsker checks: DocAsker checks that the extract is dated within the period you set and that every page is included.
- 05
Ownership structure chart and register of beneficial owners
You need to identify the people who ultimately own or control the client, often defined as anyone holding more than 25 percent. Ask for a chart showing each layer of ownership and the current register of beneficial owners.
Format: PDF
DocAsker checks: DocAsker checks that the file is an ownership document and that multi-page documents arrive with every page.
- 06
Photo ID and proof of address for each beneficial owner
Each beneficial owner usually needs the same identity evidence as an individual client. Add one ID item and one proof of address item per owner so nothing is missed.
Format: Photo or PDF
DocAsker checks: DocAsker checks that each ID is sharp and unexpired and that each proof of address is dated within the last 3 months.
- 07
Source of funds evidence
Source of funds shows where the money for this matter or transaction comes from. Ask for bank statements showing the funds, plus the document behind them, such as a sale agreement, loan offer or payslips.
Format: PDF from online banking
DocAsker checks: DocAsker checks that the statements cover the period you set and that no pages are missing.
- 08
Signed source of wealth declaration
For higher-risk clients, a source of wealth declaration explains how the client built their overall wealth. Ask the client to complete and sign your declaration form and attach supporting evidence.
Format: Signed PDF
DocAsker checks: DocAsker checks that the signature fields on the declaration are filled in.
- 09
Board resolution or power of attorney
This confirms that the person instructing you has authority to act for the company or individual. Ask for a signed board resolution, power of attorney or letter of authority covering this matter.
Format: Signed PDF
DocAsker checks: DocAsker checks that the document is signed and that every page is included.
- 10
Signed engagement letter
The engagement letter records the scope, fees and terms of the matter. Ask the client to sign and return every page.
Format: Signed PDF or a photo of each signed page
DocAsker checks: DocAsker checks that the signature fields are filled in and that every page of the letter is included.
This checklist is a starting point. Requirements vary by country, authority and case, so confirm the current list before you send it.
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- Photo or PDF
- PDF or photo
- PDF
- PDF from the registry
- PDF
- Photo or PDF
- PDF from online banking
- Signed PDF
- Signed PDF
- Signed PDF or a photo of each signed page
Subject: Required documents for KYC document checklist for law firm client intake — [Your Firm Name] Hi [Client Name], To complete your onboarding without back-and-forth emails, please prepare and upload the following 10 documents: 1. Government-issued photo ID (Photo or PDF) • Check: DocAsker checks that the image is sharp, free of glare and not cropped, and that the ID has not expired. 2. Proof of residential address (PDF or photo) • Check: DocAsker checks that the file is an accepted proof of address and that its issue date falls within the last 3 months. 3. Certificate of incorporation or registration (PDF) • Check: DocAsker checks that the file is a certificate of incorporation or registration and not a different company document. 4. Recent company registry extract (PDF from the registry) • Check: DocAsker checks that the extract is dated within the period you set and that every page is included. 5. Ownership structure chart and register of beneficial owners (PDF) • Check: DocAsker checks that the file is an ownership document and that multi-page documents arrive with every page. 6. Photo ID and proof of address for each beneficial owner (Photo or PDF) • Check: DocAsker checks that each ID is sharp and unexpired and that each proof of address is dated within the last 3 months. 7. Source of funds evidence (PDF from online banking) • Check: DocAsker checks that the statements cover the period you set and that no pages are missing. 8. Signed source of wealth declaration (Signed PDF) • Check: DocAsker checks that the signature fields on the declaration are filled in. 9. Board resolution or power of attorney (Signed PDF) • Check: DocAsker checks that the document is signed and that every page is included. 10. Signed engagement letter (Signed PDF or a photo of each signed page) • Check: DocAsker checks that the signature fields are filled in and that every page of the letter is included. Upload portal & interactive checklist: https://docasker.com/en/templates/kyc-document-checklist Best regards, [Your Firm Name]
Tips for collecting KYC documents from law firm clients
Match the checklist to the client's risk
A low-risk individual and a company with layered ownership need different evidence. Keep a standard checklist and a longer one for higher-risk clients. Add source of wealth items only when your risk assessment calls for them.
Ask for documents before you take on work
Send the intake link with your engagement letter, not after the matter has started. Most firms cannot proceed or receive funds until checks are complete, and an early request avoids delays later.
Set the validity rules on each item
Write your policy into the checklist: IDs must be unexpired and proof of address must be dated within 3 months. Each upload is checked against those rules, and the client sees the reason if a file is out of date.
Keep a clear record for audits
Every upload, check and download in DocAsker is logged. Files are renamed to a consistent pattern, which makes it easier to show a regulator what you collected and when.
Email template to request KYC documents
Identity documents needed to open your matter with [Firm name]
Dear [Client name], Before we can start work on your matter, we are required to verify your identity and, for companies, who owns and controls the business. Please upload the requested documents through this secure link by [date]: [link] You do not need an account or password. The link works on your phone or computer, and you can photograph documents with your camera or upload files. Each file is checked as it arrives. If an ID is expired or a page is missing, you will see the reason and can upload a new file straight away. Your files are encrypted and only our team can access them. Please contact me if you have any questions. Kind regards, [Your name] [Firm name]
Frequently asked questions
What documents are needed for KYC at a law firm?
Usually photo ID and proof of address for individuals, and for companies the registration documents, a registry extract, ownership records and ID for each beneficial owner. Many firms also ask for source of funds evidence and proof of authority. Requirements vary by country, regulator and client risk, so confirm the list your compliance policy requires.
What counts as proof of address for KYC?
Typically a utility bill, bank statement or government letter showing the client's name and home address, dated within the last 3 months. Mobile phone bills and documents sent to a PO box are often not accepted. Check what your own policy allows.
Who counts as a beneficial owner?
Usually any individual who owns or controls more than 25 percent of a company, or who otherwise controls it. The exact threshold and definition depend on the jurisdiction and the type of entity. Your compliance team should confirm the rule you follow.
How long should a law firm keep KYC documents?
It depends on the jurisdiction. Many anti-money laundering rules require records to be kept for at least 5 years after the client relationship ends, so confirm the period that applies to you. In DocAsker you decide how long files are kept and can delete a request and its files at any time.
Does DocAsker verify a client's identity?
No. DocAsker collects KYC documents and checks each upload for quality, document type, expiry dates, signatures and missing pages. It does not run identity verification, sanctions screening or politically exposed person checks, so your team still reviews the files and completes those steps.
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Send this checklist with DocAsker
DocAsker sends this checklist as one link, checks every upload on arrival and reminds your client until it is complete.