Overview
Legl supports several CDD workflow types to help your firm stay compliant under Solicitors Regulation Authority (SRA) guidelines and Money Laundering Regulations. This guide helps you choose the right workflow for your scenario — whether you're refreshing CDD for an existing client, screening a counterparty, handling low-risk matters, or managing ongoing identity monitoring.
Before you start
Before selecting a workflow, consider the following:
Whether you already have a valid identity document on file for the client
The risk level of the matter (AML-regulated or non-AML scope)
Whether you need full CDD or a simplified counterparty screening only
Steps
Identify your scenario — use the workflow guides below to match your situation to the right CDD process.
Select and send the recommended workflow in Legl to your client, or run it internally where applicable.
Review the results in the CDD report and take any necessary follow-up action (e.g. manually reviewing a watchlist match).
Manage ongoing compliance using the MLRO Dashboard to track clients with expired CDD, those not enrolled in ongoing monitoring, and full audit trails.
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 (CCJ's & decrees, Insolvency & Debt Collection)
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:
ID Document Validation (without requiring a selfie)
Identity Verification
Watchlist Screening
Financial Screening (CCJ's & decrees, Insolvency & Debt Collection)
Benefits:
Streamlined, low-friction onboarding
Full audit trail maintained for compliance
Suitable for conveyancing, probate, or other low-risk legal services
Ongoing identity validation and 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
What happens next
Once you've selected and run the appropriate workflow, results will be available in the CDD report for that client. You can:
Review and act on any watchlist matches or risk flags
Use the MLRO Dashboard to track your firm's overall compliance status
Re-screen or enrol clients in ongoing monitoring as needed
If you would like guidance on adapting your workflows to the latest SRA and AML expectations, our team is here to help.