Overview
This article provides example Client and Matter Risk Assessment question structures that you can use as inspiration when building your own templates in Legl.
Admin users can now build and manage Risk Assessment templates directly in Legl without needing to send anything to the Legl team.
ℹ️ Ready to build your template?
See the step-by-step guide: How to build or edit a Risk Assessment template
How to use these examples
The sections below show example question structures for Client and Matter Risk Assessments. Use them as a reference when deciding what to include in your own templates.
For each question you add in the template builder, you can:
Choose the answer type (Yes/No, dropdown, short text, long text)
Assign a risk rating (Low, Medium, or High) to each answer option
Add conditional follow-up questions
Mark questions as required or optional
Add helper text to guide users
ℹ️ Important
These are examples only. Your live templates in Legl should reflect your firm's own risk policy and AML framework. Review them alongside your firm's compliance guidance before building.
Client Risk Assessment — example questions
Section | Question | Input type | Input options | Risk rating | Notes |
General | (1) Is this risk assessment for an individual or an entity? | Dropdown | Individual | - |
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| (2) What is the entity type? | Short text | - | - | Appears when 'Entity' is selected for (1) |
| (3) Is this a risk assessment for a new client or an existing client? | Dropdown | New | - |
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| (4) What date was the CDD check last carried out? | Date | - | - | Appears when 'Existing' is selected for (3) |
Client risk | (1) Is it unusual for this type of client to instruct us? | Y/N | Yes | Medium |
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| (2) Please provide additional details | Long text | - | - | Appears when 'Yes' is selected for (1) |
| (3) Do you have any concerns about the client? | Y/N | Yes | Medium |
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| (4) Is the client a politically exposed person (PEP), or a family member/close associate of a PEP? | Y/N | Yes | High | Phrasing amended for entity clients |
| (5) Do you have any concerns that the client is subject to financial sanctions? | Y/N | Yes | High | Phrasing amended for entity clients |
| (6) Is there any adverse media about the client? | Y/N | Yes | Medium | Phrasing amended for entity clients |
Jurisdiction risk | (1) Where is the client based? | Short text | - | - |
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| (2) Do you have any concerns about the client's location? | Y/N | Yes | Medium |
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Delivery channel risk | (1) Will you meet the client in person? | Y/N | Yes | Low |
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Due diligence review | (1) What steps have you taken to verify the client's identity? | Long text | - | - |
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Matter Risk Assessment — example questions
Section | Question | Input type | Input options | Risk rating | Notes |
Matter details | (1) What is the matter reference? | Short text | - | - |
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| (2) Please provide a description of the work | Long text | - | - |
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Matter risk | (1) Is a third party instructing? | Y/N | Yes | Low |
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| (2) Are there overseas elements? | Y/N | Yes | Medium |
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| (3) Does it involve a cash-intensive industry? | Y/N | Yes | High |
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| (4) Does it involve a high-risk industry? | Y/N | Yes | High |
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| (5) Does the matter involve a risk of proliferation financing? | Y/N | Yes | High |
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Source of funds | (1) Is a source of funds check required for this matter? | Y/N | Yes | - |
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| (2) Do you have evidence of the source of funds? | Dropdown | Yes | Low | Appears if 'Yes' is selected for (1) |
Enhanced due diligence | (1) Does it make sense for the client to instruct us on this transaction? | Y/N | Yes | Low |
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| (2) Is any party linked to the transaction a politically exposed person (PEP)? | Y/N | Yes | High |
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| (3) Is the transaction unusually complex or large? | Y/N | Yes | High |
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