File opening in a law firm: checks, letters and set-up

Key takeaways

File opening in a law firm is the routine of running a conflict check, completing client due diligence, issuing the client care letter and terms, and setting the matter up in the case management system with the right codes and budget. Every matter needs the same steps, so a checklist and a dedicated team open files the same day while fee earners make the decisions.

• Conflict check before any confidential discussion.
• Client due diligence where the work is in scope of MLR.
• Client care letter with costs information issued promptly.
• Acceptance decisions stay with the supervising solicitor.

What does file opening involve?

It involves recording the new enquiry, running a conflict search across clients and opposing parties, completing identity and due diligence checks, preparing the client care letter and terms of business with costs information, setting up the matter with fee earner, work type and budget, and confirming everything is in place before work starts.

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Which steps can a support team run?

The admin steps follow the same pattern for every matter and can be run by a team under supervision. Judgement steps stay with the solicitor.

• Run the conflict search and record results.
• Request and record ID and due diligence.
• Draft the client care letter from templates.
• Set up the matter and budget codes.
• Flag possible conflicts to the solicitor.

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What does slow file opening cost?

In an illustrative example, a firm opens 40 matters a month and each takes about 45 minutes of admin, around 30 hours. If opening takes three days, urgent clients may instruct elsewhere and fee earners start work before checks are complete. These are example figures. Same-day opening protects both.

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What must stay with solicitors?

Deciding whether a conflict exists, whether to accept the client, the risk rating for money laundering purposes and the scope and costs advice must stay with solicitors. SRA transparency rules require costs and service information for certain services, so templates should be checked by the firm before use.

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What does this look like in practice?

A pattern we see: fee earners start work before the file is open because opening takes days, which creates compliance risk. A same-day routine removes the temptation.

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File opening checklist

Complete these before work starts.

• Conflict search run and recorded.
• ID and due diligence complete where required.
• Client care letter and terms issued.
• Matter set up with codes and budget.
• Supervising solicitor approval recorded.

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Next step

Send us your current file opening steps. We will suggest a same-day routine and say plainly which steps a support team could run.