Conflict check at client intake
Conflict checks are the most common compliance failure at intake. This checklist walks through the standard steps.
This is a 12-step conflict check checklist for AU law firms. It covers concurrent, successive and personal conflicts, and the information barrier options.
The checklist
Collect identifying information
Full legal names of client, counterparty, related entities, beneficial owners and intermediaries.
Search the PMS for concurrent matters
Search for any current matter involving the client, counterparty or related parties.
Search for former client matters
Search for any prior matters that may give rise to a successive conflict.
Check for personal conflicts
Solicitors, partners, family members — personal relationships with parties must be identified.
Check against blacklists
Sanctions lists, PEP lists and firm-maintained conflict lists.
Assess the type of conflict
Concurrent, successive, personal or commercial. Each has a different path forward.
Consider informed consent
Some conflicts may be waived by informed written consent of all affected clients.
Consider an information barrier
In some cases an information barrier between teams may be acceptable. Document the arrangement.
Escalate to the conflicts partner
Any identified conflict goes to the firm conflicts partner for decision before acting.
Record the outcome
Record the search, the finding and the decision in the conflict register.
Issue any required consent letters
If consent is obtained, issue and file signed consent letters.
Decline the matter if needed
If a conflict is irreconcilable, decline the matter in writing and retain the record.
When this checklist applies
Use this checklist before accepting any new matter. No exception for urgency.
Common pitfalls
- Searching only exact legal names
- Missing related entities
- Failing to escalate to the conflicts partner
- Relying on informal information barriers
- Not recording the outcome in the register
Run this checklist on a real matter
Quillio generates conflict check memos and consent letters in current AU format. See /practice-areas/commercial-lawyers.
This checklist is a general guide. Always follow the current ASCR and your firm's specific conflicts policy.
Use this checklist on your matter.
Quillio can run this checklist on a specific NSW conveyancing matter — confirm each item, calculate adjustments, and generate the supporting documents. The free trial requires no credit card.
Start your free trial