Client Identification and Verification – Individual

Jurisdiction: Canada | Province or State: Alberta

What is a Client Identification and Verification – Individual?

This form records who you are and confirms your identity. Law firms in Alberta use it before they accept you as a client. It helps them meet professional and regulatory duties. It also protects their trust accounts from misuse.

“Identification” means collecting your basic personal details. “Verification” means confirming that the details match a reliable source, like a government-issued photo ID. You often see both in one form. The form applies when you are the client in your personal capacity, not a company.

Who typically uses this form?

Lawyers and their staff use it for new clients and for major new matters. You complete it as the client. If you are acting for someone else, you fill out parts about that relationship too. Sometimes a third party verifies your ID in person and signs their part.

Why would you need this form?

A law firm cannot open your file or accept money on your behalf until they complete required checks. The form lets them confirm your legal name, date of birth, contact details, and other facts. It also lets them record how they verified your identity. They must keep these records for a set period.

Typical usage scenarios

• Real estate purchases, sales, or refinances.
• It also applies to business transactions that involve funds.
• It shows up in estate planning, family matters, and litigation.
• If the firm will move money through its trust account, they must verify your ID.
• If there is no financial transaction, they still need to identify you.
• Some firms verify in all cases to keep one standard.

The form usually has these parts

• Your identity details and contact information.
• The purpose and nature of the retainer.
• Whether you act on behalf of anyone else.
• Source of funds details if money will move through the firm.
• ID verification method and document details.
• A declaration and signatures.
• Internal notes and approval by the firm.

You complete the client sections. The firm completes the verification and internal sections. You sign to confirm the information is true and that you consent to the collection and use of your data.

When Would You Use a Client Identification and Verification – Individual?

You use this form when a law firm needs to identify or verify you before they act. Expect it early in the intake process. The firm often sends it with a retainer agreement. You may complete it in person or online. If you meet in person, bring valid photo ID. If you complete it remotely, the firm will guide you on acceptable methods.

Real estate is the most common trigger. If you buy or sell a home, the firm will handle trust funds. They must verify you before moving money. If you refinance or transfer title, the same rule applies.

You also use it for corporate share sales, asset sales, and loans. Even if you are a sole proprietor, the “Individual” form may apply. If you start a lawsuit or defend one, the firm will identify you. If settlement funds will pass through the firm, they will also verify you.

Estate planning matters also use this form. If you make a will or power of attorney, the firm identifies you. If the firm will receive or pay out estate funds, verification applies. Family law matters follow the same pattern. If child or spousal support funds move through trust, your ID will be verified.

If you are not the actual client but give instructions, the form still applies. For example, you might act for a parent, a child, or an incapacitated relative. The firm must record that relationship. They will identify and verify you as the instructing person. They may also need details about the person you represent.

If you live outside Alberta or you are out of town, the firm may use remote verification. You might meet by video while holding your ID. Or you may attend a local professional who verifies your ID and signs an attestation. The firm will provide the exact requirements.

If you legally changed your name, you will use this form to align your records. If your ID is not current, expect delays. Renew your ID or contact the firm for alternatives. The firm must follow strict rules, so flexibility is limited.

In short, you use this form whenever you retain an Alberta law firm. The form is routine. It protects you and the firm. It does not judge your background. It only ensures they know who they serve.

Legal Characteristics of the Client Identification and Verification – Individual

This form is not a contract for services by itself. It supports the retainer. It is a compliance record. It helps the firm show that it met mandatory duties. These duties require them to identify clients and, in some situations, verify their identities. The duty applies to individuals and organizations, with different procedures for each.

The form becomes part of your client file. The firm must keep it for a set period. It may be reviewed during an audit or an internal check. For that reason, clear, complete, and accurate information is important. Handwriting should be legible. If you complete it digitally, follow the file upload and signature directions.

The signature block is binding in a limited way. You confirm that the information is true and complete. False statements can have real consequences. The firm may end the retainer. They may decline to act or report concerns as required. Knowingly false statements can lead to further action under applicable law.

The firm must handle your personal information under privacy rules. They collect only what they need. They use it to identify and verify you, manage risk, and service your file. They store it securely and limit access to staff who need it. They retain it for required periods. They then destroy or anonymize it. You will often see a privacy notice or a consent clause in the form. Read it. Ask questions if anything is unclear.

What ensures enforceability?

To ensure enforceability of the verification, the firm follows approved methods. They prefer original, valid, government-issued photo ID in person. If they use remote methods, they follow extra steps to confirm authenticity. They record the method used, the document details, date, and the verifier’s name. These details are critical. They show that reasonable steps were taken.

Special rules apply if the firm cannot verify your identity. They may delay your matter or refuse to act. If your matter involves moving funds, verification is normally a firm precondition. There is little room to proceed without it. If you have no valid ID, contact the firm. They will advise on acceptable alternatives, if any.

If you act on behalf of someone else, the form captures that relationship. The firm needs to understand who gives instructions and why. They may request documents showing your authority, such as a power of attorney. They will also ask about the purpose of the retainer and, where required, the source of funds. This is standard. It helps them assess risk and meet their obligations.

Finally, the form is designed to be consistent and standardized. That consistency helps ensure reliable evidence. If a regulator inspects the file, the form shows what was done, when, and how. Accurate entries protect you and the firm.

How to Fill Out a Client Identification and Verification – Individual

Follow these steps. Complete all fields truthfully. If something does not apply, write “N/A.” Do not leave blanks.

Step 1: Client type and matter reference

• Confirm you are completing the Individual version.
• Add the file number or matter name if provided.
• Include the date you complete the form.

Step 2: Your full legal name

• Enter your full legal name exactly as shown on your government ID.
• Include all middle names.
• If you use a different name day-to-day, list it under “Also known as.”
• If you recently changed your name, attach proof, such as a certificate or court order.

Step 3: Date of birth and place of birth

• Enter your date of birth in the required format.
• List your place of birth if requested. Use city and country.

Step 4: Current residential address

• Enter your full home address, including postal code.
• If you moved within the last three months, include your previous address and the dates.
• Use a physical address, not a P.O. box, for residency.

Step 5: Contact information

• Provide your mobile phone number and email address.
• Provide a secondary phone if available.
• Indicate your preferred contact method.

Step 6: Occupation and employer

• State your current occupation in plain terms.
• Name your employer and its address.
• If you are self-employed, write “self-employed” and describe your field.
• If you are retired, list your last occupation and the year of retirement.
• If you are a student or unemployed, state that.

Step 7: Citizenship and residency (if asked)

• Indicate your citizenship(s).
• Indicate if you are a resident of Canada for tax purposes.
• If you are a resident of another country for tax, list the country.

Step 8: Purpose and nature of the retainer

• Explain what you need the firm to do.
• Keep it clear: “Purchase of residential property,” or “Separation agreement,” or “Defend civil claim.”
• If there will be ongoing services, note that.
• If known, indicate the expected duration.

Step 9: Will funds move through the firm’s trust account?

• Select yes or no.
• If yes, move to source of funds fields.

Step 10: Source of funds (if applicable)

• Explain where the money used in the matter comes from.
• Be specific: “Savings from employment,” “Sale of prior home,” “Gift from parent,” “Bank loan,” or “Investment proceeds.”
• If funds are from multiple sources, list each.
• If a third party provides funds, name them and explain the relationship.

Step 11: Are you acting for or on behalf of someone else?

• Select yes or no.
• If yes, describe your authority (for example, “attorney under power of attorney,” “parent of minor,” “court-appointed guardian”).
• Provide the full name, address, and date of birth of the person you represent, if requested.
• Attach supporting documents that show your authority.

Step 12: Politically exposed or heads of organizations questions (if included)

• Answer the questions truthfully.
• If you or a close family member hold such a position, provide details.
• If not, select “No.”

Step 13: Method of identity verification

• The firm will guide this section, but you should prepare your ID.
• Preferred method in person: a valid, government-issued photo ID with your name, photo, and unique identifier. Examples include a driver’s licence or passport.
• If remote verification is used, follow the firm’s process. You may need a video call and to upload images of your ID. You may also need to complete a credit file or dual-document process, or obtain an attestation from an approved verifier.
• Do not send ID images by unsecured email unless directed and secure. Use the portal or secure link provided.

Step 14: Identification document details

• Provide the document type (driver’s licence, passport, or other).
• Provide the document number.
• Provide the issuing jurisdiction (province or country).
• Provide the issue date and expiry date.
• Confirm the name on the ID matches the name you provided. If not, explain the difference and attach proof.
• If your ID is not in English or French, provide a certified translation if requested.

Step 15: Face-to-face or remote

• Indicate whether the verification was in person or remote.
• If remote, record the method used (video, attestation, credit file, or dual-document process).
• The verifier will note the steps taken to confirm authenticity.

Step 16: Photo match and liveness (if remote)

• Follow instructions to show your face and the ID on camera.
• Ensure good lighting and clear focus.
• Remove hats, sunglasses, and masks.
• The verifier will document their observations.

Step 17: Third-party determination

• Indicate whether any third party instructs or pays for the matter.
• If yes, provide their full name, address, occupation, and relationship to you.
• Explain why they are involved.

Step 18: Sanctions and watchlist screening (firm use)

• The firm may run screening checks. You usually do not complete this.
• If they need clarifications, they will contact you.

Step 19: Privacy and consent acknowledgment

• Read the privacy notice on the form.
• Confirm you consent to the collection, use, and storage of your personal information for client intake, verification, and file management.
• Ask questions before you sign if something is unclear.

Step 20: Client declaration

• Review all fields carefully.
• Confirm that the information is true, complete, and up to date.
• Understand that false statements can lead the firm to end the retainer.
• Sign and date the declaration.

Step 21: Signatures

• Sign within the signature block. Use your usual handwritten signature.
• If allowed, sign electronically using the firm-approved method.
• The verifier will sign and date their section after checking your ID.
• If an external attestor is used, they must complete their part in full.

Step 22: Supporting documents

• Attach copies requested by the firm. Examples: ID images, proof of address, proof of name change, power of attorney, or court order.
• Provide legible, complete copies. Include both sides of ID, where applicable.
• Do not crop, blur, or edit images.

Step 23: Internal use sections (firm completes)

• Staff will record the verification method, document details, date, and location.
• They may note risk factors and approvals.
• They will record retention and destruction schedules.

Step 24: Final review

• Make sure your contact information is correct.
• Make sure all required fields are complete.
• Make sure all attachments are included.
• Return the form via the method the firm requested.

Practical tips

• Bring at least one valid government-issued photo ID. If your ID will expire soon, renew it in advance.
• If your address on the ID is outdated, be ready to provide proof of current address, like a recent utility bill or bank statement.
• If you have only foreign ID, tell the firm in advance. They will confirm what is acceptable.
• If you do not have a driver’s licence, a passport or other acceptable ID is usually fine. Ask what they accept.
• If you changed your name, include the legal document that supports the change.
• If you cannot meet in person, ask early about remote options or attestation.

Common mistakes to avoid

• Using a nickname instead of your legal name.
• Missing middle names that are on your ID.
• Providing a P.O. box as your home address.
• Submitting expired ID.
• Leaving the “source of funds” field blank when funds will move through trust.
• Forgetting to sign and date the form.

Special cases

• Minors: A parent or guardian usually completes the form. The firm will identify and verify the adult who gives instructions. The child’s details may also be recorded.
• Capacity concerns: If capacity is in question, the firm may need to verify authority and identity with extra care.
• Non-residents: Remote verification or local attestation may be required. Extra time may be needed.
• Urgent closings: Verification cannot be skipped. Start early to avoid delays.

Record-keeping and updates

• The firm must keep your identification and verification records for a set time. They will store them securely.
• If your information changes during an ongoing matter, tell the firm. They may update the form or add an addendum.
• If a new matter begins in the future, the firm may reuse your prior information if it is current. They may ask you to confirm or update it.

Why completeness matters

• Clear, accurate information speeds up your matter.
• If information is missing or inconsistent, the firm must pause and resolve it.
• Early, complete information helps avoid last-minute issues at closing or court deadlines.

In summary, this form confirms who you are and documents how that was confirmed. It is standard and required. Fill it out carefully, provide valid ID, and respond quickly to follow-up questions. Doing so protects you and helps your legal work start without delays.

Legal Terms You Might Encounter

• You will see “client identification” on the form. This means collecting your basic details. It includes your full legal name, address, and date of birth. It helps the firm know who you are at the intake stage.
• “Client verification” is different. It confirms that you are the person you claim to be. The firm verifies you using government-issued photo ID or approved methods. The form captures the details needed to verify you.
• “Government-issued photo ID” means an official card with your photo. Examples include a driver’s licence or passport. The form asks for the ID number, issue date, and expiry date. It may also ask for the issuing authority and jurisdiction.
• “Non-face-to-face verification” appears when you are not meeting in person. The firm may ask for extra steps to reduce risk. This can include a video call, trusted witness, or electronic checks. The form records which method was used.
• “Third-party determination” asks whether someone else directs you. It checks if you act for another person who benefits from the work. On this form, you declare if a third party is involved. You also name them if applicable.
• “Beneficial owner or controlling person” refers to the person who ultimately benefits. This may apply if you act for someone else, even as an individual. The form flags this if you receive instructions from another person. You must provide that person’s details.
• “Source of funds” means where the money comes from for your matter. It differs from your net worth or income. The form asks for a clear description, such as “personal savings,” “sale proceeds,” or “gift.” It helps the firm confirm the funds are legitimate.
• “Occupation and purpose of retainer” describes what you do and why you need help. The form asks for your current occupation or job title. It also asks for a brief description of the legal service you seek. This context supports risk assessment.
• “Politically exposed person” checks whether you hold or are related to a prominent role. It includes certain senior roles and close family relationships. The form may ask you to declare this status. You must answer honestly, even if you think it does not apply.
• “Attestation or certification” refers to confirming a copy matches the original ID. A firm member often certifies the copy after viewing your ID. If remote, a trusted person may perform the certification. The form notes who made the certification.
• “Record retention” means how long your information is stored. Firms must keep these records for a set period under professional rules. The form’s fields allow the firm to retain accurate data. It helps them meet storage and audit requirements.
• “Consent to electronic verification” may appear if the firm uses digital checks. You may be asked to consent to a database check to confirm your identity. The form documents your consent and the method used. You can ask about alternatives if you prefer.

FAQs

Do you need to meet in person to verify your identity?

Not always. Many firms can verify you remotely. You might do a secure video call and show your photo ID. You may also submit certified copies through a trusted professional. Ask the firm which options they accept. They will guide you through the steps.

Do you need to provide your Social Insurance Number?

No, not for this form. Most firms do not need your Social Insurance Number. They will ask for your full name, date of birth, and address. They will also ask for your ID number and expiry date. If anyone asks for your Social Insurance Number, ask why.

Do you have to use a specific type of ID?

You must use a valid government-issued photo ID. A driver’s licence or passport is common. The ID must be current and not expired. Some forms accept other government cards with photos. If in doubt, ask the firm before you attend.

Do you need proof of address?

Often, yes. The form asks for your current residential address. Some firms also ask for address evidence. This could be a recent utility bill or bank statement. It should show your name and address. It must be recent and legible.

Do you need to answer the “third-party” question if no one else is involved?

Yes. You must answer it either way. If you are acting for yourself, say so clearly. If someone else directs the matter, name them. Leaving it blank can delay your file opening.

What happens if your ID is expired?

Expired ID will not verify your identity. The firm will ask for a valid, current document. Renew your ID before the meeting if possible. If that is not possible, ask the firm about alternatives. They may offer another verification method.

Do you need to update the firm if your details change?

Yes. Update the firm if your name, address, or ID changes. Also update if your third-party or source of funds changes. You should update as soon as possible. The firm relies on accurate, current information.

What if you have no fixed address?

Tell the firm right away. You can still complete the form. Provide your last permanent address if available. Also provide a mailing address where you can receive updates. The firm will explain what they need to verify you.

Checklist: Before, During, and After the Client Identification and Verification – Individual

Before signing

• Confirm which ID the firm accepts. Choose a primary government-issued photo ID.
• Check that your ID is current and not damaged or expired.
• Gather a second ID if requested. Some firms ask for a backup document.
• Prepare proof of address if requested. Use a recent bill or statement with your name.
• Bring any name change proof. This could be a marriage certificate or legal change record.
• Prepare your occupation title and employer name, if employed.
• Write a short summary of the purpose of the retainer. Keep it clear and factual.
• Identify whether a third party is involved. Note their full legal name and contact details.
• Note the source of funds for your matter. Describe the exact source, not just “savings.”
• If remote, test your camera and microphone for a video call. Prepare a clear scan or photo of your ID.
• Ask how to submit copies securely. Avoid email if the firm offers a secure portal.

During signing

• Check your full legal name matches your photo ID exactly.
• Confirm your date of birth and residential address are accurate.
• Enter your ID type, number, issuing authority, and expiry date.
• Ensure the ID numbers and dates are readable and correct.
• Answer the third-party question even if the answer is “no.”
• Describe the purpose of the retainer in one or two clear lines.
• Provide a specific source of funds, such as “inheritance received on [month, year].”
• Answer any politically exposed person questions honestly and completely.
• If remote, confirm the verification method. Note if a video call or certification is used.
• Review consent to electronic verification, if present. Ask about alternatives if unsure.
• Read any attestations before signing. Confirm you understand what you are certifying.
• Sign and date where indicated. Use the same signature as on your ID if possible.

After signing

• Provide certified copies of your ID if not done at the meeting.
• Upload documents through the firm’s secure channel if available.
• Confirm the firm received all pages and that copies are legible.
• Ask for confirmation that verification is complete or if anything is outstanding.
• Record what you submitted and when. Keep a list for your files.
• Store your copies in a secure location. Avoid sending sensitive files by email later.
• Update the firm if your address, ID, occupation, or third-party status changes.
• Follow the firm’s instructions for record retention and privacy.
• Do not dispose of the form or ID copies without guidance from the firm.
• If funds are due, ask how to pay and what proof to provide. Keep payment records.

Common Mistakes to Avoid

• Using a nickname or short form instead of your legal name is a common error. This can cause delays and repeat verification. Don’t forget to use the name shown on your current photo ID.
• Submitting expired or damaged ID will fail verification. The firm cannot rely on it. Don’t forget to check the expiry date and card condition before your appointment.
• Leaving the third-party question blank raises red flags. It suggests incomplete information. Don’t forget to declare “no” if you act only for yourself.
• Providing a vague source of funds can trigger follow-up questions. The firm needs clarity to proceed. Don’t forget to state the exact source, like “employment income for December.”
• Using poor-quality scans or unreadable photos can stall processing. The firm must see all details clearly. Don’t forget to provide high-resolution images with all corners visible.

What to Do After Filling Out the Form

1. Submit any outstanding documents right away. This includes certified ID copies or proof of address. Use the secure upload link or method the firm provides. Avoid emailing sensitive files if a secure portal exists.
2. Confirm your verification status. Ask the firm if they have everything they need. Request a list of any pending items. Ask when your file will be active.
3. Share updates promptly. If your details change, inform the firm immediately. Changes include a new address, new ID, or updated employment. Also report any third-party changes.
4. Keep your records organized. Save a copy of the signed form and any submissions. Record the date of submission and the method used. Store these in a secure location.
5. Understand how amendments work. If you made a mistake, tell the firm. Ask for an amendment or an addendum to the form. Provide corrected details and updated copies if needed.
6. Know who needs copies. Usually, the firm keeps the original or master copy. You can request a client copy for your files. Do not distribute your ID documents to others without need.
7. Follow payment and funding steps. If funds are needed, ask how to send them. Confirm the acceptable payment method and any limits. Keep proof of payment and source documents.
8. Protect your privacy. Do not post or share images of your ID. Redact numbers if you must share beyond the firm. Always use secure channels offered by the firm.
9. Plan for ongoing compliance. The firm may ask to refresh your information later. This can happen if your matter continues for a long time. Cooperate quickly to prevent delays.
10. If you move or change your name, act fast. Inform the firm and send updated proof. You may need to redo parts of verification. Timely updates save time later.