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Legal Compliance Checklist

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Client Onboarding and Verification

Verify client identity through government-issued ID and other relevant documents

Conduct conflict of interest checks

Obtain signed retainer agreement and explain fee structure

Data Privacy and Security

Implement data encryption for sensitive client information

Establish access control policies and regularly update passwords

Conduct regular security audits and vulnerability assessments

Document Management and Retention

Create a document retention policy in line with legal requirements

Ensure secure storage and backup of all important documents

Regularly review and appropriately dispose of outdated records

Billing and Financial Compliance

Maintain accurate and detailed billing records

Ensure compliance with trust accounting rules

Conduct regular financial audits to detect and prevent discrepancies

Employment and Labor Laws

Ensure all employee contracts comply with local labor laws

Implement anti-discrimination and harassment policies

Provide regular training on employment law compliance

Intellectual Property Management

Ensure proper registration of trademarks and patents

Monitor and enforce intellectual property rights

Educate clients on IP protection and infringement issues

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