Workflow Templates: Conflict of Interest Checklist

Obtain the full legal name of the client

Request the client's contact information and identification documents

Determine if the client is acting on behalf of another entity and obtain relevant details

Conduct a thorough conflict check using the firm's conflict-checking software or system

Review any hits for conflicts with current or former clients

Analyze potential conflicts regarding the firm's personnel and their relationships

Disclose any potential or actual conflicts to the client in writing

Obtain informed written consent from all affected clients where possible

Document the client's understanding of the implications of the conflict

Determine if the conflict can be waived or requires declining the engagement

Establish clear ethical walls and confidentiality protocols if proceeding

Regularly monitor the engagement for any changes in the conflict status

Maintain a record of all conflict checks and the results

Keep signed written consents on file

Update conflict information in the firm's database promptly

Review and update conflict of interest procedures periodically

Train staff and attorneys on recognizing and handling conflicts

Conduct regular audits to ensure compliance with conflict of interest policies

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Conflict of Interest Checklist