Legal profession program starter kit: Document library
The document library stores all the documents that form the legal profession program starter kit in one place.
On this page
- Before you start
- Customise guide
- Risk assessment
- Policy document
- Process document
- Personnel forms
- Client forms
- Documents to maintain and review your program
- Related pages
Before you start
Before you download these documents, visit Legal profession program starter kit: Getting started to:
- determine if the starter kit is suitable for you
- follow the steps that guide you through how to customise, use and maintain these documents as part of your program.
Tips for using the library
After customising your program from the starter kit, most practices will only need a small number of forms day-to-day.
If you integrated these forms into your existing systems during the customisation step, you’ll use your systems in place of the forms.
You won’t need every form. The forms you use depend on:
- your practice structure
- the services you provide
- your kinds of clients
- whether you have multiple staff or are a one-person practice.
Customise guide
The Customise the program starter kit guide (Word, 1.11 MB) walks you through the steps to customise the documents below.
Risk assessment
Download the legal profession risk assessment (Word, 970 KB).
Download the conveyancers risk assessment (Word, 963 KB).
Policy document
Download the policy document (Word, 1.04 MB).
Process document
Download the process document (Word, 963 KB).
Personnel forms
Use these forms when appointing, reviewing or assessing people who perform roles relating to anti-money laundering and counter-terrorism financing (AML/CTF).
| Form | Use this form to |
|---|---|
| AML/CTF roles form (Word, 77 KB) |
Identify your personnel against key AML/CTF roles If you’re a one-person practice, or only have one person in an AML/CTF role, use this form to identify the roles this person will undertake |
| Assign responsibilities form (Word, 81 KB) |
Record the AML/CTF roles and responsibilities of your personnel If you’re a one-person practice, or only have one person in an AML/CTF role, use this form to understand this person’s responsibilities |
| AML/CTF compliance officer and governing body personnel due diligence form (Word, 96 KB) |
Appoint the AML/CTF compliance officer and record due diligence when they’re also the governing body If you’re a one-person practice, or only have one person in an AML/CTF role, use this form |
| AML/CTF compliance officer PDD form (Word, 86 KB) |
Appoint the AML/CTF compliance officer and record due diligence If you’re a one-person practice, or only have one person in an AML/CTF role, don’t use this form |
| Personnel due diligence form (Word, 89 KB) |
Record due diligence for personnel with AML/CTF roles (other than the compliance officer) If you’re a one-person practice, or only have one person in an AML/CTF role, don’t use this form |
Client forms
Use these forms to complete:
- onboarding by collecting information when you engage a new client
- initial customer due diligence (CDD) to rate client ML/TF risk and verify their information.
The forms you use depends on the kinds of client you have, and whether you provide conveyancing and/or other professional services to this client.
You will have listed these kinds of services you provide, and the clients you provide them to, in your risk assessment(s) at Step 1 – Customise your legal profession program with the starter kit.
Conveyancing services
Use these forms to onboard and conduct initial CDD on clients that you provide conveyancing services to.
| Form | Kind of client |
|---|---|
| Onboarding form – individual and sole trader (Word, 89 KB) | Individuals or sole traders |
| Initial CDD form – individual and sole trader (Word, 192 KB) | Individuals or sole traders |
| Onboarding form – body corporate, partnership or unincorporated association (Word, 110 KB) | Body corporates, partnerships or unincorporated associations |
| Initial CDD form – body corporate, partnership or unincorporated association (Word, 229 KB) | Body corporates, partnerships or unincorporated associations |
| Onboarding form – trust (Word, 109 KB) | Trusts |
| Initial CDD form – trust (Word, 239 KB) | Trusts |
| Onboarding form – government body (Word, 95 KB) | Government bodies |
| Initial CDD form – government body (Word, 220 KB) | Government bodies |
| Request to verify information (Word, 80 KB) | All kinds of customers to record reliance on third parties to assist with CDD if you work with conveyancers, real estate agents or buyer’s agents |
Other professional services
Use these forms to onboard and conduct initial CDD on clients that you provide other professional services to, such as assisting in a transaction to buy or sell a body corporate or legal arrangement.
| Form | Kind of client |
|---|---|
| Onboarding form – individual and sole trader (Word, 89 KB) | Individuals or sole traders |
| Initial CDD form – individual and sole trader (Word, 175 KB) | Individuals or sole traders |
| Onboarding form – body corporate, partnership or unincorporated association (Word, 113 KB) | Body corporates, partnerships or unincorporated associations |
| Initial CDD form – body corporate, partnership or unincorporated association (Word, 221 KB) | Body corporates, partnerships or unincorporated associations |
| Onboarding form – trust (Word, 109 KB) | Trusts |
| Initial CDD form – trust (Word, 232 KB) | Trusts |
| Onboarding form – government body (Word, 95 KB) | Government bodies |
| Initial CDD form – government body (Word, 215 KB) | Government bodies |
Escalating significant issues
Use these forms when you identify unusual activity, high-risk clients or reportable matters.
If you’re a one-person practice, you don’t need to use these forms.
| Form | Use this form to |
|---|---|
| Unusual activity report information form (Word, 76 KB) | Record details of unusual client activity to the AML/CTF compliance officer |
| Escalation form (Word, 79 KB) | Record details of other issues escalated for assessment |
Acting on escalations
The compliance officer uses these forms to assess and respond to escalated matters.
| Form | Use this for to |
|---|---|
| Enhanced CDD form (Word, 81 KB) | Record additional checks and approvals for high-risk clients or those subject to suspicious matter reports (where you decide to continue providing the service) |
| Unusual activity report review form (Word, 88 KB) | Record actions taken in response to unusual activity |
| Escalation register (Word, 74 KB) | Record actions taken to action any other escalation if you are not a single employee practice |
Ongoing monitoring
Use these forms throughout the customer relationship to monitor activity and keep information up to date.
| Form | Use this form to |
|---|---|
| Periodic review and update form (Word, 81 KB) | Review and update client information at scheduled intervals |
| Trigger event review and update form (Word, 81 KB) | Review and update client information when trigger events occur |
Documents to maintain and review your program
Use these forms to keep your AML/CTF program current, and to support governance and oversight.
| Document | Use this form to |
|---|---|
| Maintain the AML/CTF program (Word, 88 KB) | Record program maintenance activities |
| Independent evaluation response (Word, 76 KB) | Record evaluation outcomes and responses |
| SMR effectiveness check (Word, 85 KB) | Test suspicious matter reporting effectiveness |
| Compliance officer and senior manager effectiveness check (Word, 85 KB) | Test the effectiveness of the compliance officer and senior manager |
| Client onboarding effectiveness check (Word, 85 KB) | Test initial CDD effectiveness |
| Enhanced CDD effectiveness check (Word, 83 KB) | Test enhanced CDD effectiveness |
| TTR effectiveness check (Word, 78 KB) | Test threshold transaction reporting effectiveness (reporting physical currency transactions valued at $10,000 or more) |
| CBM effectiveness check (Word, 78 KB) | Test cross-border movement reporting effectiveness (reporting cross-border movement of physical currency and/or bearer negotiable instruments valued at $10,000 or more) |
| Periodic effectiveness testing summary (Word, 83 KB) | Consolidate testing results |
| Annual report to the governing body (Word, 83 KB) |
Report on program operation and effectiveness You don’t need to use this form if your:
|
Related pages
The program starter kits are intended to be used as a complete package and have been designed for use by those reporting entities who satisfy certain suitability criteria. That suitability criteria is set out in the ‘Getting Started’ web page under the heading “Who the starter kit is for” in each program starter kit. In particular, those Tranche 2 entities who, from 1 July 2026, are for the first time subject to anti-money laundering and counter-terrorism financing legislation (AML/CTF).
The program starter kits have been designed for the purpose of providing practical guidance to those reporting entities to assist them to build their own AML/CTF programs. The program starter kits represent AUSTRAC’s interpretation and application of the law to the eligible reporting entities only and are not intended to represent an interpretation and application of the law in all circumstances. The program starter kits are not a substitute for legal advice about any reporting entity’s AML/CTF compliance obligations. Australian courts are ultimately responsible for interpreting the AML/CTF Legislation and determining if any provision of these laws are contravened.
This guidance sets out how we interpret the Act, along with associated Rules and regulations. Australian courts are ultimately responsible for interpreting these laws and determining if any provisions of these laws are contravened.
The examples and scenarios in this guidance are meant to help explain our interpretation of these laws. They’re not exhaustive or meant to cover every possible scenario.
This guidance provides general information and isn't a substitute for legal advice. This guidance avoids legal language wherever possible and it might include generalisations about the application of the law. Some provisions of the law referred to have exceptions or important qualifications. In most cases your particular circumstances must be taken into account when determining how the law applies to you.