Inquire into the matter before work starts, without treating the firm as a reporting entity
Key facts
- Human involvement
- YellowClose supervision
- How AI is used
- List the facts the lawyer already has about who the client is and what the work is for, so the lawyer can decide whether the representation may start or must stop.
- What the lawyer must review
- ABA Model Rule 1.16(a) requires the lawyer to inquire into and assess the facts and circumstances of each representation, and not to represent, or to withdraw, if the client seeks to use the lawyer's services to commit or further a crime or fraud. 31 U.S.C. § 5312 does not name a law firm as a financial institution. It does list persons involved in real estate closings and settlements. These pages do not impose an AML program or a suspicious-matter report on a law firm.
- Written for / version
- United States versionUS
Who does what
| Role | What they do |
|---|---|
| Assistance | Consider narrowly defined preparation support after confirming the tool’s capability and permitted scope. |
| Lawyer | Set the scope, supervise the work closely, verify every part relied on, resolve omissions and exceptions, and approve the exact output. |
Checklist
- Trace every relied-on figure to its source, confirm dates and assumptions, and independently recalculate totals or derived amounts.
- Confirm that the wording reflects the client’s instructions and contains no unintended admission, concession or commitment. Check the recipient and tone.
- Confirm the output against the client’s instructions and the complete relevant source material, including omissions or contradictions.
- Resolve exceptions and record the responsible lawyer’s approval of the exact output and intended use.