At Legl, we understand that maintaining ongoing compliance under the Solicitors Regulation Authority (SRA) guidelines and Money Laundering Regulations is critical to your firm’s success.
This guide outlines how Legl enables flexible, efficient, and auditable Client Due Diligence (CDD) across a variety of common client and matter scenarios.
Our workflows are designed to support you in:
Onboarding new clients and performing AML checks
Refreshing CDD for existing clients
Performing counterparty checks
Managing low-risk or non-AML related work
Maintaining up-to-date identity validation
Refreshing CDD for Individual and Business Clients
Recommended Workflow: In-Person CDD > Standard CDD - No ID Document Verification
Use this process when:
You have a valid identity document already on file
Clients do not possess a government-issued photo ID
What’s Included:
Financial screening (credit, financial history checks)
Proof of identity verification (using existing documents)
Watchlist screening:
Politically Exposed Persons (PEPs)
Sanctions lists
Adverse media databases
Benefits:
No additional client input required
Ensures compliance for ongoing or repeat matters
Reduces operational friction while maintaining auditability
Simplified Counterparty KYC Screening
Recommended Workflow: Watchlist-Only Screening
Use this process when:
Verifying counterparties with limited information
Required Inputs:
Full name
(Optional) Year of birth
What’s Screened:
PEPs
Sanctions
Adverse media mentions
Benefits:
Quick, efficient verification
Minimal disruption to transaction flow
Satisfies regulatory requirements for counterparty checks
CDD for Low-Risk or Non-AML Work
Recommended Workflow: Basic CDD Workflow
Use this process when:
Onboarding recurring clients
Conducting legal work outside AML regulation scope
What’s Included:
Identity document validation (without requiring a selfie)
Benefits:
Streamlined, low-friction onboarding
Full audit trail maintained for compliance
Suitable for conveyancing, probate, or other low-risk legal services
Ongoing Identity Validation & Monitoring
Recommended Features:
Re-screening capabilities for client records
Automated ongoing monitoring for risk alerts
Management Tools:
Use the MLRO Dashboard to:
View clients with expired CDD
Identify clients not enrolled in ongoing monitoring
Access detailed results and audit trails for every client
Benefits:
Proactive compliance management
Real-time visibility over client CDD status
Support internal audits and SRA inspections effortlessly
Next Steps: Customise Your Compliance Workflows
If you would like guidance on adapting your workflows to the latest SRA and AML expectations, our team is here to help.