File opening and client intake
A consistent file opening process is the foundation of a compliant practice. This checklist walks through the standard steps.
This is a 12-step file opening checklist for AU law firms. It covers identity, conflicts, scope, costs agreement, diaries and matter setup.
The checklist
Capture client details
Full legal name, entity type, contact details, date of birth and any trading names.
Verify client identity
Sight and record photo ID. For entities, obtain ASIC records and confirm beneficial ownership.
Run a conflict check
Search the firm database for the client, counterparty, related parties and intermediaries.
Complete KYC and AML checks
Complete any AML/CTF checks triggered by the matter type.
Scope the matter
Agree a clear written scope of work. Identify any carve-outs.
Identify key deadlines
Limitation periods, notice periods, regulator deadlines and settlement dates.
Issue a costs agreement
Issue a compliant costs agreement and disclosure notice.
Obtain signed acceptance
Obtain signed or written acceptance of the costs agreement before commencing substantive work.
Open the matter in the PMS
Create the matter in the practice management system with the correct matter type and responsible solicitor.
Diary the deadlines
Enter all deadlines into the centralised diary with reminder windows.
Save the intake file note
Save a detailed file note covering the conversation, instructions and next steps.
Send a welcome pack
Send the client a welcome pack with the costs agreement, contact details and next steps.
When this checklist applies
Use this checklist on every new matter. Consistent file opening protects the firm and the client.
Common pitfalls
- Skipping conflict check when matter is "obviously urgent"
- Signed acceptance of costs agreement never obtained
- Deadlines not diarised centrally
- No intake file note saved
- Scope that drifts over time without review
Run this checklist on a real matter
Quillio drafts intake packs, scope letters and file notes from a single conversation. See /practice-areas/commercial-lawyers.
This checklist is a general guide. Adapt for your firm's specific compliance framework.
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.
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