The Matter Risk Assessment Form serves as an essential risk management instrument within New Zealand's legal and professional services framework. It is designed to be completed at the outset of new engagements to identify, assess, and document potential risks associated with both the client and the matter. The form ensures compliance with New Zealand regulatory requirements, including AML/CFT obligations, professional conduct standards, and risk management protocols. It captures crucial information about matter complexity, resource requirements, conflict checks, and financial considerations, enabling informed decision-making about matter acceptance and necessary risk mitigation measures. The document is particularly important for maintaining professional standards and managing practice risks in accordance with New Zealand legal practice requirements.
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1. Matter Information: Basic details about the matter including matter number, client name, practice area, and responsible partner
2. Client Risk Profile: Assessment of client-specific risks including identity verification status, AML/CFT considerations, and financial status
3. Matter Complexity Assessment: Evaluation of the legal/technical complexity, resource requirements, and expertise needed
4. Conflict Check Results: Documentation of conflict checking process and results
5. Financial Risk Assessment: Evaluation of fee arrangements, credit risk, and potential financial exposure
6. Resource Requirements: Assessment of staffing needs, expertise required, and capacity assessment
7. Risk Rating: Overall risk classification (Low/Medium/High) with justification
8. Risk Mitigation Strategy: Proposed measures to address identified risks
9. Approval Section: Sign-off requirements based on risk level and matter type
1. Regulatory Compliance Assessment: For matters involving regulated industries or activities requiring specific compliance considerations
2. Cross-Border Risk Assessment: For matters involving multiple jurisdictions or international elements
3. Environmental Risk Assessment: For matters involving environmental issues or potential environmental impacts
4. Reputational Risk Assessment: For high-profile matters or clients that may attract media attention
5. Insurance Requirements: For matters requiring specific insurance coverage or presenting unusual liability risks
1. Risk Assessment Matrix: Detailed risk scoring framework and criteria
2. AML/CFT Checklist: Comprehensive checklist for anti-money laundering compliance requirements
3. Conflict Check Documentation: Detailed results of conflict searches and assessments
4. Client Due Diligence Checklist: Required client verification and due diligence steps
5. Risk Mitigation Guidelines: Standard risk mitigation strategies for common risk types
6. Authority Levels Matrix: Required approval levels based on risk ratings and matter type
Authors
Relevant legal definitions
Clauses
Relevant Industries
Legal Services
Professional Services
Financial Services
Corporate Services
Risk Management
Compliance
Professional Advisory
Legal Technology
Relevant Teams
Risk Management
Compliance
Legal Operations
Professional Standards
Quality Assurance
Client Intake
Practice Management
Executive Leadership
AML Compliance
Matter Management
Relevant Roles
Managing Partner
Risk Manager
Compliance Officer
Practice Group Leader
Senior Partner
Legal Operations Manager
General Counsel
AML Compliance Officer
Client Intake Manager
Quality Assurance Manager
Professional Standards Manager
Partner
Senior Associate
Practice Manager
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