7. General customer due diligence measures in relation to person purporting to act on client’s behalf

At the applicable time specified in rule 11, a legal practitioner or law practice must perform customer due diligence measures to ascertain —

whether any other person is purporting to act on behalf of a client; and

whether the client is acting on behalf of another person,in relation to and for the purpose of a matter undertaken or to be undertaken by the legal practitioner or law practice for the client.

Where the person mentioned in paragraph (1)(a) or (b) is an individual, the legal practitioner or law practice must —

take reasonable measures to verify the identity of the individual using objectively reliable and independent source documents, data or information; and

obtain appropriate documentary evidence to verify that —

in the case of paragraph (1)(a) — the individual is authorised to act on behalf of the client; or

in the case of paragraph (1)(b) — the client is authorised to act on behalf of the individual.

Where the person mentioned in paragraph (1)(a) or (b) is an entity or the trustee or other person carrying out functions equivalent to a trustee (called the trustee) of a legal arrangement, the legal practitioner or law practice must —

perform the customer due diligence measures mentioned in rules 6(2) and 8 on the entity or legal arrangement, and for this purpose the reference to a client in those rules is a reference to the entity or legal arrangement; and

obtain appropriate documentary evidence to verify that —

in the case of paragraph (1)(a) — the entity or trustee is authorised to act on behalf of the client; or

in the case of paragraph (1)(b) — the client is authorised to act on behalf of the entity or trustee.

At the applicable time specified in rule 11, a legal practitioner or law practice must perform customer due diligence measures to ascertain —

whether any other person is purporting to act on behalf of a client; and

whether the client is acting on behalf of another person,in relation to and for the purpose of a matter undertaken or to be undertaken by the legal practitioner or law practice for the client.

Where the person mentioned in paragraph (1)(a) or (b) is an individual, the legal practitioner or law practice must —

take reasonable measures to verify the identity of the individual using objectively reliable and independent source documents, data or information; and

obtain appropriate documentary evidence to verify that —

in the case of paragraph (1)(a) — the individual is authorised to act on behalf of the client; or

in the case of paragraph (1)(b) — the client is authorised to act on behalf of the individual.

Where the person mentioned in paragraph (1)(a) or (b) is an entity or the trustee or other person carrying out functions equivalent to a trustee (called the trustee) of a legal arrangement, the legal practitioner or law practice must —

perform the customer due diligence measures mentioned in rules 6(2) and 8 on the entity or legal arrangement, and for this purpose the reference to a client in those rules is a reference to the entity or legal arrangement; and

obtain appropriate documentary evidence to verify that —

in the case of paragraph (1)(a) — the entity or trustee is authorised to act on behalf of the client; or

in the case of paragraph (1)(b) — the client is authorised to act on behalf of the entity or trustee.