ℹ️ Phase 2 of 4 — Engage — Step 2 of 4
This is a planning step. Before you build your workflows in Legl, use this guide to map your matter types to the right CDD level and decide which optional steps to include. This exercise takes around 30 minutes and means your workflow build session will run much more smoothly.
Most firms have several distinct matter types, each with different compliance requirements and risk levels. Before you sit down to build in Legl, it is worth mapping out exactly what you need: which matter types to cover, which CDD level is right for each, and whether any additional steps apply. Your MLRO should be involved in this conversation, as they will need to sign off on the CDD approach for each matter type before workflows go live.
Once you have a clear plan, your workflow build session will take a fraction of the time and you will not need to rebuild anything after launch.
Before you start
Have your firm's list of active matter types to hand. If you are unsure which to include, ask your fee earner leads — they will know which matters involve client onboarding on a regular basis.
Involve your MLRO before finalising the plan. They will have a view on which CDD level is required for each matter type and whether any additional steps are needed.
You do not need to be in Legl to complete this exercise. Work through the steps below first, then take your completed plan to your workflow build session.
You do not need to build a workflow for every matter type on day one. Start with your two or three most common ones and add more after go-live.
Step 1: List your matter types
Write down every matter type your firm handles regularly that involves client onboarding: matters where you currently collect client identification and run AML checks. Common examples include:
Residential conveyancing
Probate and estate administration
Commercial property
Family law
Employment
New business (company formation)
Immigration
Personal injury
Once you have your list, group matter types together if they have the same compliance requirements. These can share a single workflow. For example, all standard residential conveyancing matters typically use the same CDD level, so one workflow covers them all.
Step 2: Choose the right CDD level for each matter type
For each matter type, decide which CDD level applies. Use this table as a starting point:
Scenario | Recommended CDD |
Standard new client onboarding for an AML-regulated matter | Standard CDD |
Higher-risk client or matter (e.g. PEP, high-value property, complex commercial) | Enhanced CDD (NFC) |
Client you are meeting face to face | Standard CDD (In-Person) |
Client where you need to verify two forms of photo ID | Dual-ID CDD |
Repeat or existing client where you already hold a valid ID | Basic CDD |
Low-risk or non-AML-regulated matter | Basic CDD |
Counterparty screening only (no identity verification needed) | Watchlist Screening |
ℹ️ Further guidance: Choosing the right CDD workflow in Legl
Step 3: Decide which optional steps to include
You can add optional steps to any workflow to collect additional information from your client alongside the CDD checks. Review the options below and decide which apply to each matter type:
Source of Funds — asks the client to declare and evidence the source of their funds. Use for higher-risk matters, high-value transactions, or where your firm's risk policy requires it.
Commercial Source of Funds — for business clients. Analyses bank statements to identify anomalies and verify the source of business funds.
E-Signature — collects the client's electronic signature on a document as part of the same request. Use for terms of engagement, retainer agreements, or any form that requires a signature before work begins.
Share and request documents — share a document with the client or request specific supporting documents from them, such as company formation documents, trust deeds, or a grant of probate.
Customisable form — add bespoke questions to gather matter-specific information from the client, for example referral details, property details, or conflict check information.
Proof of address — requests a utility bill, bank statement, or other document confirming the client's current address. This is automatically included for clients with a non-UK address, but can also be added manually for any workflow.
ℹ️ Important
Risk Assessments are not a workflow step. They are run separately in Legl after the CDD workflow is complete. If your firm uses Risk Assessments, plan for them to be completed as a follow-up step once the client's CDD report is available.
Step 4: Map it out
Once you have worked through Steps 1–3, you are ready to create a simple workflow plan. Use the structure below for each matter type:
Matter type | Client type | CDD level | Optional steps |
Residential conveyancing | Individual | Standard CDD | Source of Funds, E-Signature (ToE) |
Probate | Individual | Standard CDD | Document request (grant of probate, will) |
Commercial property | Business | Standard CDD | Commercial Source of Funds, Document request |
High-value transaction | Individual | Enhanced CDD (NFC) | Source of Funds |
Repeat client refresh | Individual | Basic CDD | None |
Use this as a template: replace the examples with your firm's actual matter types. One row per workflow.
What to take to your configuration session
Before your first session in the workflow builder, make sure you have:
Your completed workflow plan (one row per workflow as above)
MLRO sign-off on the CDD level for each matter type
Any documents you plan to include in the workflow (e.g. terms of engagement, a client questionnaire) — these need to be uploaded into Legl before you can add them as workflow steps
A decision on whether to include E-Signature for terms of engagement — if yes, your signed-off terms of engagement document needs to be ready
Important information
Ensure your workflows are agreed internally and are aligned with your firm's risk policy before going live.
The same workflow can be used across multiple matter types if the CDD level and optional steps are the same. This works well for simpler workflows — for example, a Standard CDD workflow with a client care letter can cover several matter types without a separate build.
You can add more workflows at any time after go-live. Start with your two or three most common matter types and build out from there.
E-Signature (QES) is only available on qualifying plans. If you are unsure whether your plan includes e-signature, ask your Launch Manager before adding it to your workflow plan.
Source of Funds and Commercial Source of Funds are separate workflow steps with different purposes. Source of Funds is for individual clients; Commercial Source of Funds is for business clients. You can add both to the same workflow if needed.
Before you move on
You have listed all the matter types you plan to cover at go-live
You have chosen the right CDD level for each matter type and discussed it with your MLRO
You have decided which optional steps apply to each workflow
You have a completed workflow plan ready to take into the Legl workflow builder
ℹ️ Further guidance