Client ID and Verification Resources

The Law Society has developed some quick reference materials to help lawyers understand their obligations related to Client Identification and Verification: 

• Client Identification and Verification Flowchart: This guide helps lawyers understand the steps associated with onboarding a client, including the key activities and requirements required by the Rules.    
• Client Verification, In-Person vs. Virtual: A side-by-side comparison of the processes for client verification, either in-person or using virtual verification technology. 
• Virtually Verifying your Client’s Identity: Step-by-step directions for lawyers who want to use virtual verification technology to satisfy their Client Identification and Verification obligations under the Rules. 

Anti-Money Laundering and Terrorist Financing in the Canadian Legal Profession

The Federation of Law Societies has developed an online learning program to provide guidance to legal professionals on how to mitigate money laundering and terrorist financing risks and comply with their legal and regulatory obligations. 

The program is divided into five interactive modules that provide an overview of: 

• the problem of money laundering and terrorist financing; 
• risks that may be faced by legal professionals; 
• key due diligence requirements under the Model Rule on Client Identification and Verification and how to comply; 
• proper use of trust accounts; and, 
• restrictions on cash transactions. 

Risk Advisories

Specific areas of practice are more vulnerable to money laundering and terrorist financing. Lawyers working in real estate, shell corporations, private lending, trusts and litigation need to be aware of specific risks that are more likely to arise in their practice area and be able to recognize where additional due diligence may be required. 

The Federation of Law Societies of Canada, in conjunction with the Anti-Money Laundering and Terrorist Financing Working Group, has created specific Risk Advisories related to each of the abovementioned areas of practice. Each Advisory identifies the specific situations and issues that make that area of practice vulnerable to criminals and provides a detailed list of potential client and transaction risks lawyers need to be aware of when engaging in the practise of law. 

Risk Advisories by Area of Law

• Risk Advisories – Shell Corporations 
• Risk Advisories – Real Estate 
• Risk Advisories – Private Lending 
• Risk Advisories – Litigation 
• Risk Advisories – Trusts 

Risk Assessment Case Studies

• Case Studies for the Legal Profession 

Sample Forms 

The following are sample forms that lawyers can use to help meet the client identification and verification requirements outlined in the Rules. Lawyers can download these sample forms and personalize them for their own needs. 

• Attestation for Verification of Identity 
• Verification of Identity Agreement 
• Verification of Identity (Individual) 
• Verification of Identity (Organizations) 
• Client ID Method Confirmation Form for Dual Method and Credit File