Prompt Pack Client Intake Form

Client Intake Form

A client intake form is the operational foundation of every legal matter: it captures the minimum information needed to open a file, run conflicts, comply with AML/KYC requirements, and set client expectations. A well-designed form saves hours of follow-up and prevents the firm from inadvertently acting for a conflicted or non-compliant client.

When to use this

• A law firm or legal department is creating or updating its standard intake form.
• A new client or new matter is being onboarded and a structured questionnaire is needed.
• The firm is implementing a matter management system and needs a standard data schema.
• A compliance audit has identified gaps in KYC or conflict-check data collection.
• The firm operates across multiple MENA jurisdictions and needs a form that captures the regulatory KYC fields required in each.

Required inputs

Optional inputs

• Integration with the firm's practice management or CRM system (shapes field naming and data types).
• Whether e-signature or digital submission is supported.
• Whether the form doubles as an engagement letter trigger.
• Specific regulatory requirements (e.g., DFSA, ADGM FSR, UAE MoJ, Lebanon Bar Association rules).

Form structure

Section 1 — Client identification

For corporate clients:

• Full legal name of the entity (as registered).
• Jurisdiction and date of incorporation.
• Company registration / CR number.
• Registered address and principal place of business.
• Authorized signatory name, title, and authority document (board resolution / PoA).
• Ultimate Beneficial Owner(s) (UBO) — for MENA: UAE AML Law requires disclosure of UBOs with ≥25% ownership; KSA AML regulations require similar disclosure; FATF Recommendations 10 and 24 are the global baseline.
• Group structure chart (if the client is part of a corporate group).
• Tax identification number(s).

For individual clients:

• Full legal name (as on passport or national ID).
• Nationality and country of residence.
• Passport or national ID number and expiry date.
• Date of birth.
• Address.
• Source of funds / wealth (required for high-value or financial transactions under FATF standards).
• PEP (Politically Exposed Person) status — required under all GCC AML regulations.

Section 2 — Matter description

• Brief description of the legal matter (in the client's own words).
• Parties involved (other than the client).
• Relevant contracts or documents already in existence.
• Applicable jurisdiction(s) and governing law.
• Whether the matter is contentious (dispute) or non-contentious (advisory / transactional).
• Any impending deadlines (court dates, regulatory filings, transaction closing dates).

Section 3 — Conflict check information

This section is the most critical operationally. A conflict not caught at intake can disqualify the firm from acting entirely.

• Names of all parties adverse to the client (individuals and entities).
• Names of all counterparties, even non-adverse (e.g., in a transaction, all parties to the deal).
• Related entities and individuals (parent companies, subsidiaries, affiliates, key individuals).
• Prior involvement with this client or any party at this or any prior firm.
• Whether the matter involves a government entity or regulator (some jurisdictions prohibit acting against government bodies in certain capacities).

Section 4 — Document collection authorization

• Authorization for the firm to obtain and review documents on behalf of the client.
• List of documents to be provided by the client at intake:
  • Corporate: Certificate of incorporation, MoA/AoA, CR extract, board resolution, UBO register.
  • Individual: Passport/ID copy, proof of address, source of funds documentation.
  • Matter-specific: Relevant contracts, correspondence, prior advice received.
• Acknowledgment that documents will be held in confidence and subject to the firm's data protection policy.

Section 5 — Urgency and scope assessment

• Urgency: Standard / Expedited / Emergency (with definition of each).
• Estimated matter duration.
• Estimated number of hours / complexity band.
• Whether specialist counsel (local, foreign, or expert) will be needed.
• Whether the matter involves a regulated activity requiring specific authorization (e.g., DFSA-regulated financial advice, property brokerage under RERA).

Section 6 — Budget and billing

• Client's indicated budget range (optional but recommended for matter scoping).
• Billing arrangement: hourly / fixed fee / retainer / success fee (where permitted).
• Billing contact and invoicing address (may differ from main contact).
• Preferred invoicing currency.
• Payment terms acceptable to the client.
• Whether the matter is covered by legal expenses insurance.

Section 7 — Regulatory and compliance declarations

Client declarations (checkboxes with signature):

• The client is not on any applicable sanctions list.
• The client's funds are from legitimate sources (AML warranty).
• The client is not a PEP without prior disclosure.
• The client consents to the firm's data protection and privacy policy.
• The client confirms they have the authority to instruct the firm on behalf of the entity named above.

Section 8 — Engagement terms acknowledgment

• Brief summary of the firm's standard terms of engagement (or cross-reference to the engagement letter).
• Signature line for the client representative.
• Date.

Jurisdictional AML/KYC notes

Common mistakes

• Collecting only the name and email of the contact person — missing the UBO and conflict data that the form really needs.
• Using a generic template that does not capture MENA-specific AML fields (UBO at 25% threshold, PEP status, source of funds).
• Failing to link the intake form to a formal conflict-check process and sign-off procedure.
• Not including an urgency field — this is the single most common cause of mis-scoped matters and fee disputes.
• Omitting a data protection acknowledgment, which is required under UAE PDPL and DIFC/ADGM data protection law.

Related skills

• [[prompt-pack-contract-playbook]]
• [[prompt-pack-delegation-of-authority-matrix]]
• [[prompt-pack-code-of-conduct]]
• [[prompt-pack-legal-engagement-letter]]
• [[prompt-pack-data-processing-agreement]]