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Potential Client Intake Form Template for England and Wales

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Key Requirements PROMPT example:

Potential Client Intake Form

"I need a Potential Client Intake Form for my boutique financial advisory firm that includes comprehensive AML checks and FCA compliance requirements, with specific sections for high-net-worth individuals and their investment preferences."

Document background
The Potential Client Intake Form is a crucial document used across various professional sectors in England and Wales. It serves as the primary tool for collecting necessary client information, conducting initial risk assessments, and ensuring compliance with regulatory requirements. The form typically includes sections for personal information, service requirements, and relevant declarations. It helps organizations maintain proper documentation while adhering to UK GDPR, anti-money laundering regulations, and industry-specific requirements. This document is particularly important for regulated industries where client due diligence is mandatory.
Suggested Sections

1. Personal Information: Collection of client's basic contact details, identification information, and preferred contact methods in compliance with UK GDPR

2. Service Requirements: Details of the services client is seeking, including scope, urgency, and specific requirements

3. Data Protection Notice: Mandatory section explaining how personal data will be collected, processed, stored and used in compliance with UK GDPR and Data Protection Act 2018

4. Declaration: Client's confirmation of information accuracy and consent for data processing, including electronic communications consent under PECR

Optional Sections

1. Financial Information: Section for collecting financial details, credit history, and source of funds for AML compliance - used for financial services clients

2. Company Details: Corporate structure, ownership information, and business registration details - used for business clients

3. Risk Assessment: Additional questions for client risk profiling and enhanced due diligence - used for regulated services

4. Equality Monitoring: Optional section for collecting diversity and inclusion data in compliance with Equality Act 2010 - used when required by regulatory bodies

Suggested Schedules

1. Privacy Policy: Detailed information about data protection practices and client rights under UK GDPR

2. Terms of Service: Standard terms and conditions for potential service provision

3. ID Requirements Schedule: List of acceptable identification documents and verification requirements for AML compliance

4. Fee Schedule: Optional schedule detailing standard fee structures and payment terms

Authors

Alex Denne

Head of Growth (Open Source Law) @ ¶¶Òõ¶ÌÊÓÆµ | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

Relevant legal definitions




















Clauses




















Industries

UK GDPR and Data Protection Act 2018: Primary legislation governing the collection, processing, and storage of personal data. Essential for ensuring compliant data handling in client intake forms.

Consumer Rights Act 2015: Legislation protecting consumer rights when dealing with businesses. Relevant if the intake form is used for consumer-facing services.

Consumer Protection from Unfair Trading Regulations 2008: Regulations protecting consumers from unfair business practices, ensuring transparency in client communications and intake processes.

Money Laundering Regulations 2017: Regulations requiring proper client due diligence and identity verification, particularly important for financial, legal, or professional services.

Equality Act 2010: Legislation ensuring non-discrimination in the provision of services. The intake form must not discriminate against protected characteristics.

Privacy and Electronic Communications Regulations: Regulations governing electronic communications and marketing. Relevant when collecting contact details and obtaining marketing consents.

Professional Body Requirements: Industry-specific regulations from bodies like SRA (legal) or FCA (financial), which may impose additional requirements on client intake processes.

Common Law Contract Principles: Fundamental principles of contract law that govern the formation of the client relationship.

Misrepresentation Act 1967: Legislation dealing with false or misleading statements during contract formation, relevant for ensuring accuracy in client declarations.

Teams

Employer, Employee, Start Date, Job Title, Department, Location, Probationary Period, Notice Period, Salary, Overtime, Vacation Pay, Statutory Holidays, Benefits, Bonus, Expenses, Working Hours, Rest Breaks,  Leaves of Absence, Confidentiality, Intellectual Property, Non-Solicitation, Non-Competition, Code of Conduct, Termination,  Severance Pay, Governing Law, Entire Agreemen

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