Checklist · AML/CTF — the practice as a reporting entity
Legal profession AML/CTF program review triggers
A register of the events AUSTRAC's legal-profession maintain-and-review page says should trigger a review of the practice program, and the process or form that page names for each event.
- Kind
- Checklist. Steps or checks to work through and tick off.
- Where it applies
- Australia
- AI use
- Yellow You and the tool draft together, with you directing. You check every statement you rely on.
- Law stated as at
- 22 October 2026
- Status
- Maintained. Checked on 22 October 2026 against the authority it cites, for Australia.
- Version
- 1
- Source
- Written for this library
When to use it
Use when something changes in a small legal practice that adopted the AUSTRAC legal profession starter kit, and the question is whether the program now has to be reviewed. It is not the risk assessment itself and it is not the kit's adoption guide.
Used for these tasks
Each task page says how far AI may help with the task and what the lawyer must review.
How AI may be used
AI may open a row when the lawyer records a change of service, client type, country, or an incident; the lawyer decides whether the program is updated and what is told to staff.
AI may
- Open a row using one of the trigger labels on the maintain-and-review page
- List the process and form names the page gives for that trigger
AI must not
- Must not decide that a risk remains inside the practice's risk appetite
- Must not fill in the starter-kit forms from this register
- Must not treat a starter-kit update as adopted until the practice has decided to incorporate it
The lawyer checks
- The trigger matches a row on the page, including a change in technology used to provide a designated service
- An adverse evaluation finding is marked to be addressed as soon as practicable, as that row states
- Staff who must use an updated control are identified, and training is recorded if the page's review step requires it
Method: how the Green, Yellow and Red levels are decided. This is guidance for planning, not legal advice.
Read the full text
The full text is available after you log in. It is free. When you log in you can:
- read the whole precedent, with its drafting notes beside it;
- copy it, or download it as a Word file or Markdown;
- add it to your firm’s knowledge base, so colleagues can find it;
- let the AI tools you connect read it from that knowledge base.
The summary, the law it rests on and the AI-use guidance above stay public. Privacy.
More in AML/CTF — the practice as a reporting entity
- AML/CTF program for small legal practices: AUSTRAC legal profession starter kit adoption guide
- AUSTRAC enrolment form for a reporting entity
- Independent evaluation of the practice AML/CTF program
- ML/TF risk assessment record for a legal practice
- Designated services capture map and enrolment decision record (AML/CTF Act s 6(5B), table 6)
- Enhanced customer due diligence decision record
- First independent evaluation deadline for the practice
- AUSTRAC suspicious matter report
- Customer due diligence file index before the service starts
- Initial customer due diligence checklist for law practice designated services
- AUSTRAC legal professional privilege form for a report
- AI and automated tools in the AML/CTF program: control standard
- Deadline to notify AUSTRAC of the AML/CTF compliance officer
- AUSTRAC legal professional privilege form for a notice
- Tipping-off holding script for staff and the approved client note
- AML/CTF record retention schedule for the practice
- Suspicious matter escalation, reporting and legal professional privilege procedure
- Client letter: why we need to verify your identity (AML/CTF obligations)
All precedents for AML/CTF — the practice as a reporting entity · Tasks and AI use in this area