New client identification and
verification requirements

Printer Friendly PageText Only Small TextMedium TextLarge Text

Thursday, September 02

New client identification and verification requirements

Further amendments made to Client ID and verification requirements

Resources to assist with compliance

Amendments to By-Law 7.1 [Operational Obligations and Responsibilities] which establish rigorous Client ID and Verification requirements for Ontario's lawyers and licensed paralegals came into effect on December 31, 2008.

The amendments, approved by Convocation April, 2008, enhance public protection by requiring lawyers and licensed paralegals to identify and verify the identity of a client, which will assist in preventing potential fraudulent or criminal activities. In many respects, the amendments codify the client due diligence a prudent lawyer or paralegal would take upon being retained to provide legal services.

Law Society resources and additional information

FOR LAWYERS (updated April 09)

  • Introduction
  • Appendix 1 steps for identifying individuals and organizations.
  • Appendix 2 steps for verifying the identity of an individual
  • Appendix 3 steps for verifying the identity of an organization
  • Appendix 4 sample attestation for situations where you are required to verify the identity of an individual who is present in Canada and who you are not meeting face to face (PDF) (WORD)
  • Appendix 5 sample agreement for situations where you are required to verify the identity of an individual and you retain an agent to do this on your behalf (PDF) (WORD)
  • Appendix 6 sample file forms
    • Where the client or third party is an individual (PDF) (WORD)
    • Where the client or third party is an organization (PDF) (WORD)
  • Appendix 7 background information on the new requirements and information on the Federal Regulations
  • Appendix 8 steps to assist lawyers in complying with the new client identification and verification requirements
  • Appendix 9 - questions and answers

Download complete document with appendices

FOR PARALEGALS

  • Introduction
  • Appendix 1 steps for identifying individuals and organizations
  • Appendix 2 steps for verifying the identity of an individual
  • Appendix 3 steps for verifying the identity of an organization
  • Appendix 4 sample attestation for situations where you are required to verify the identity of an individual who is present in Canada and who you are not meeting face to face
  • Appendix 5 sample agreement for situations where you are required to verify the identity of an individual and you retain an agent to do this on your behalf
  • Appendix 6 sample file forms
  • Appendix 7 steps to assist paralegals in complying with the new client identification and verification requirements
  • Appendix 8  Questions and answers

Download complete document with appendices

GENERAL