Annual Attorney/Firm Compliance Checklist
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ANNUAL ATTORNEY AND FIRM COMPLIANCE CHECKLIST
COMPLIANCE INFORMATION
| Field | Information |
|---|---|
| Law Firm Name | [________________________________] |
| Compliance Year | [________] |
| Primary State Bar | [________________________________] |
| Additional Bar Admissions | [________________________________] |
| Prepared By | [________________________________] |
| Date Prepared | [__/__/____] |
SECTION 1: STATE BAR REQUIREMENTS
1.1 Bar Membership and Registration
| Requirement | Due Date | Completed | Date Completed | Notes |
|---|---|---|---|---|
| Annual Bar Dues Payment | [__/__/____] | ☐ | [__/__/____] | |
| Bar Registration/Status Update | [__/__/____] | ☐ | [__/__/____] | |
| Contact Information Update | [__/__/____] | ☐ | [__/__/____] | |
| Practice Area Update (if required) | [__/__/____] | ☐ | [__/__/____] | |
| Specialty Certification Renewal | [__/__/____] | ☐ | [__/__/____] |
Primary State Bar Portal: [________________________________]
Bar Number: [________________________________]
Login Credentials Location: [________________________________]
1.2 Additional Bar Jurisdictions
Jurisdiction 1: [________________________________]
| Requirement | Due Date | Completed | Date Completed |
|---|---|---|---|
| Annual Dues | [__/__/____] | ☐ | [__/__/____] |
| Registration Update | [__/__/____] | ☐ | [__/__/____] |
| CLE Compliance | [__/__/____] | ☐ | [__/__/____] |
Jurisdiction 2: [________________________________]
| Requirement | Due Date | Completed | Date Completed |
|---|---|---|---|
| Annual Dues | [__/__/____] | ☐ | [__/__/____] |
| Registration Update | [__/__/____] | ☐ | [__/__/____] |
| CLE Compliance | [__/__/____] | ☐ | [__/__/____] |
SECTION 2: CONTINUING LEGAL EDUCATION (CLE/MCLE)
2.1 CLE Requirements Summary
| Jurisdiction | Total Hours Required | Ethics Hours | Specialty Hours | Reporting Period | Due Date |
|---|---|---|---|---|---|
| [____________] | [____] | [____] | [____] | [____________] | [__/__/____] |
| [____________] | [____] | [____] | [____] | [____________] | [__/__/____] |
| [____________] | [____] | [____] | [____] | [____________] | [__/__/____] |
2.2 CLE Hours Tracking
Current Reporting Period: [__/__/____] to [__/__/____]
| Date | Course Title | Provider | Total Hours | Ethics | Other Category | Approved |
|---|---|---|---|---|---|---|
| [__/__/____] | [________________] | [________] | [____] | [____] | [________] | ☐ |
| [__/__/____] | [________________] | [________] | [____] | [____] | [________] | ☐ |
| [__/__/____] | [________________] | [________] | [____] | [____] | [________] | ☐ |
| [__/__/____] | [________________] | [________] | [____] | [____] | [________] | ☐ |
| [__/__/____] | [________________] | [________] | [____] | [____] | [________] | ☐ |
| [__/__/____] | [________________] | [________] | [____] | [____] | [________] | ☐ |
| [__/__/____] | [________________] | [________] | [____] | [____] | [________] | ☐ |
| [__/__/____] | [________________] | [________] | [____] | [____] | [________] | ☐ |
2.3 CLE Summary
| Category | Required | Completed | Remaining |
|---|---|---|---|
| Total Hours | [____] | [____] | [____] |
| Ethics Hours | [____] | [____] | [____] |
| Professionalism | [____] | [____] | [____] |
| Elimination of Bias | [____] | [____] | [____] |
| Substance Abuse/Mental Health | [____] | [____] | [____] |
| Technology/Cybersecurity | [____] | [____] | [____] |
| Other Specialty: [________] | [____] | [____] | [____] |
2.4 CLE Compliance Tasks
☐ CLE certificates collected and filed
☐ Hours reported to state bar (if self-reporting required)
☐ CLE affidavit/certification filed
☐ Carryover hours calculated (if applicable)
☐ Next period CLE plan developed
SECTION 3: IOLTA AND TRUST ACCOUNT COMPLIANCE
3.1 IOLTA Account Information
| Account | Bank | Account Number | IOLTA Foundation |
|---|---|---|---|
| Primary Trust Account | [____________] | [____________] | [____________] |
| Secondary Trust Account | [____________] | [____________] | [____________] |
3.2 Annual IOLTA Reporting
| Requirement | Due Date | Completed | Date Completed |
|---|---|---|---|
| Annual IOLTA Compliance Report | [__/__/____] | ☐ | [__/__/____] |
| Trust Account Registration | [__/__/____] | ☐ | [__/__/____] |
| Bank Certification/Agreement | [__/__/____] | ☐ | [__/__/____] |
| Interest Reporting Verification | [__/__/____] | ☐ | [__/__/____] |
3.3 Trust Account Compliance Tasks
Monthly Reconciliation:
| Month | Reconciliation Complete | Reviewed By | Date |
|---|---|---|---|
| January | ☐ | [________] | [__/__/____] |
| February | ☐ | [________] | [__/__/____] |
| March | ☐ | [________] | [__/__/____] |
| April | ☐ | [________] | [__/__/____] |
| May | ☐ | [________] | [__/__/____] |
| June | ☐ | [________] | [__/__/____] |
| July | ☐ | [________] | [__/__/____] |
| August | ☐ | [________] | [__/__/____] |
| September | ☐ | [________] | [__/__/____] |
| October | ☐ | [________] | [__/__/____] |
| November | ☐ | [________] | [__/__/____] |
| December | ☐ | [________] | [__/__/____] |
Annual Trust Account Tasks:
☐ Three-way reconciliation performed
☐ Client ledger cards reviewed
☐ Stale checks identified and addressed
☐ Dormant funds review completed
☐ Unclaimed funds reported (if applicable)
☐ Bank signatory cards updated
☐ Trust account records organized for required retention
SECTION 4: PROFESSIONAL LIABILITY INSURANCE
4.1 Malpractice Insurance
| Field | Information |
|---|---|
| Insurance Carrier | [________________________________] |
| Policy Number | [________________________________] |
| Coverage Limits | $[________] / $[________] |
| Policy Period | [__/__/____] to [__/__/____] |
| Renewal Date | [__/__/____] |
| Premium Amount | $[________________] |
| Agent/Broker | [________________________________] |
4.2 Insurance Compliance Tasks
| Task | Due Date | Completed | Date Completed |
|---|---|---|---|
| Policy Renewal/Payment | [__/__/____] | ☐ | [__/__/____] |
| Coverage Review | [__/__/____] | ☐ | [__/__/____] |
| Attorney Count Verification | [__/__/____] | ☐ | [__/__/____] |
| Practice Area Disclosure Update | [__/__/____] | ☐ | [__/__/____] |
| Claim Reporting (if any) | Ongoing | ☐ | [__/__/____] |
| State Bar Insurance Disclosure | [__/__/____] | ☐ | [__/__/____] |
Notes on Coverage:
[________________________________]
SECTION 5: PRO BONO REPORTING
5.1 Pro Bono Hours Tracking
| Matter/Client | Hours | Value ($) | Category | Organization |
|---|---|---|---|---|
| [________________________________] | [____] | $[______] | [________] | [____________] |
| [________________________________] | [____] | $[______] | [________] | [____________] |
| [________________________________] | [____] | $[______] | [________] | [____________] |
| [________________________________] | [____] | $[______] | [________] | [____________] |
| [________________________________] | [____] | $[______] | [________] | [____________] |
Annual Pro Bono Summary:
| Category | Hours | Value |
|---|---|---|
| Direct Legal Services | [____] | $[________] |
| Reduced Fee Legal Services | [____] | $[________] |
| Legal Support Services | [____] | $[________] |
| Financial Contributions | N/A | $[________] |
| TOTAL | [____] | $[________] |
5.2 Pro Bono Reporting
| Requirement | Due Date | Completed | Date Completed |
|---|---|---|---|
| Annual Pro Bono Report to State Bar | [__/__/____] | ☐ | [__/__/____] |
| Pro Bono Organization Reports | [__/__/____] | ☐ | [__/__/____] |
SECTION 6: BUSINESS AND TAX COMPLIANCE
6.1 Business Entity Compliance
| Requirement | Due Date | Completed | Date Completed |
|---|---|---|---|
| State Annual Report/Statement of Information | [__/__/____] | ☐ | [__/__/____] |
| Business License Renewal (City) | [__/__/____] | ☐ | [__/__/____] |
| Business License Renewal (County) | [__/__/____] | ☐ | [__/__/____] |
| Professional Corporation Registration | [__/__/____] | ☐ | [__/__/____] |
| Registered Agent Verification | [__/__/____] | ☐ | [__/__/____] |
| Fictitious Business Name Renewal | [__/__/____] | ☐ | [__/__/____] |
6.2 Tax Compliance
| Requirement | Due Date | Completed | Date Completed |
|---|---|---|---|
| Federal Income Tax Return | [__/__/____] | ☐ | [__/__/____] |
| State Income Tax Return | [__/__/____] | ☐ | [__/__/____] |
| Quarterly Estimated Tax Payments | Quarterly | ☐ | [__/__/____] |
| Payroll Tax Filings | [As Required] | ☐ | [__/__/____] |
| W-2s/1099s Issued | [__/__/____] | ☐ | [__/__/____] |
| Form 1099 Reporting (Vendors) | [__/__/____] | ☐ | [__/__/____] |
| State Sales Tax (if applicable) | [__/__/____] | ☐ | [__/__/____] |
| Annual Financial Review | [__/__/____] | ☐ | [__/__/____] |
SECTION 7: EMPLOYMENT AND HR COMPLIANCE
7.1 Employment Law Compliance
| Requirement | Due Date | Completed | Date Completed |
|---|---|---|---|
| Required Workplace Posters Updated | Annual | ☐ | [__/__/____] |
| I-9 Verification Audit | Annual | ☐ | [__/__/____] |
| Employee Handbook Review/Update | Annual | ☐ | [__/__/____] |
| Sexual Harassment Training | [State Deadline] | ☐ | [__/__/____] |
| Anti-Discrimination Training | [State Deadline] | ☐ | [__/__/____] |
| Workers' Compensation Insurance | [__/__/____] | ☐ | [__/__/____] |
| OSHA 300 Log Posting (if applicable) | February 1 | ☐ | [__/__/____] |
| EEO-1 Report (if applicable) | [__/__/____] | ☐ | [__/__/____] |
7.2 Benefits Compliance
| Requirement | Due Date | Completed | Date Completed |
|---|---|---|---|
| 401(k) Plan Audit (if required) | [__/__/____] | ☐ | [__/__/____] |
| Form 5500 Filing | [__/__/____] | ☐ | [__/__/____] |
| ACA Reporting (if applicable) | [__/__/____] | ☐ | [__/__/____] |
| Health Insurance Open Enrollment | [__/__/____] | ☐ | [__/__/____] |
| COBRA Compliance Review | Annual | ☐ | [__/__/____] |
| FSA/HSA Compliance Review | Annual | ☐ | [__/__/____] |
SECTION 8: TECHNOLOGY AND CYBERSECURITY COMPLIANCE
8.1 Cybersecurity Requirements
| Requirement | Due Date | Completed | Date Completed |
|---|---|---|---|
| Annual Cybersecurity Assessment | [__/__/____] | ☐ | [__/__/____] |
| Security Awareness Training (All Staff) | Annual | ☐ | [__/__/____] |
| Penetration Testing (if required) | [__/__/____] | ☐ | [__/__/____] |
| Vulnerability Scanning | Quarterly | ☐ | [__/__/____] |
| Data Backup Testing | Quarterly | ☐ | [__/__/____] |
| Disaster Recovery Plan Review | Annual | ☐ | [__/__/____] |
| Incident Response Plan Review | Annual | ☐ | [__/__/____] |
| Vendor Security Review | Annual | ☐ | [__/__/____] |
8.2 Data Privacy Compliance
| Requirement | Due Date | Completed | Date Completed |
|---|---|---|---|
| Privacy Policy Review/Update | Annual | ☐ | [__/__/____] |
| CCPA Compliance (if applicable) | Ongoing | ☐ | [__/__/____] |
| Data Retention Policy Review | Annual | ☐ | [__/__/____] |
| Client Data Inventory Update | Annual | ☐ | [__/__/____] |
SECTION 9: CLIENT PROTECTION AND ETHICS
9.1 Client Protection Fund
| Requirement | Due Date | Completed | Date Completed |
|---|---|---|---|
| Client Protection Fund Assessment | [__/__/____] | ☐ | [__/__/____] |
| Assessment Payment | [__/__/____] | ☐ | [__/__/____] |
9.2 Ethics and Professional Responsibility
| Requirement | Due Date | Completed | Date Completed |
|---|---|---|---|
| Conflicts Check System Review | Annual | ☐ | [__/__/____] |
| Fee Agreement Templates Review | Annual | ☐ | [__/__/____] |
| Retainer Agreement Review | Annual | ☐ | [__/__/____] |
| Client File Review Procedures | Annual | ☐ | [__/__/____] |
| Closed File Retention Review | Annual | ☐ | [__/__/____] |
| Ethics Hotline Consultation (if needed) | As Needed | ☐ | [__/__/____] |
SECTION 10: SPECIALTY CERTIFICATIONS AND MEMBERSHIPS
10.1 Specialty Certifications
| Certification | Issuing Body | Expiration Date | Renewal Requirements |
|---|---|---|---|
| [________________________________] | [____________] | [__/__/____] | [________________] |
| [________________________________] | [____________] | [__/__/____] | [________________] |
| [________________________________] | [____________] | [__/__/____] | [________________] |
10.2 Professional Memberships
| Organization | Membership Type | Renewal Date | Dues |
|---|---|---|---|
| [________________________________] | [____________] | [__/__/____] | $[________] |
| [________________________________] | [____________] | [__/__/____] | $[________] |
| [________________________________] | [____________] | [__/__/____] | $[________] |
| [________________________________] | [____________] | [__/__/____] | $[________] |
| [________________________________] | [____________] | [__/__/____] | $[________] |
SECTION 11: COURT ADMISSIONS AND REGISTRATIONS
11.1 Court Admissions
| Court | Status | Renewal Date | CLE/Requirements |
|---|---|---|---|
| U.S. Supreme Court | ☐ Active ☐ Inactive | [__/__/____] | [____________] |
| [Circuit] Court of Appeals | ☐ Active ☐ Inactive | [__/__/____] | [____________] |
| [District] District Court | ☐ Active ☐ Inactive | [__/__/____] | [____________] |
| [State] Supreme Court | ☐ Active ☐ Inactive | [__/__/____] | [____________] |
| [________________________________] | ☐ Active ☐ Inactive | [__/__/____] | [____________] |
| [________________________________] | ☐ Active ☐ Inactive | [__/__/____] | [____________] |
11.2 E-Filing Registrations
| Court/System | Username | Password Location | Last Updated |
|---|---|---|---|
| PACER | [____________] | [____________] | [__/__/____] |
| CM/ECF - [District] | [____________] | [____________] | [__/__/____] |
| [State] E-Filing | [____________] | [____________] | [__/__/____] |
| [________________________________] | [____________] | [____________] | [__/__/____] |
SECTION 12: ANNUAL COMPLIANCE CALENDAR
Quarter 1 (January - March)
| Task | Due Date | Responsible | Status |
|---|---|---|---|
| OSHA 300 Log Posting | Feb 1 | [________] | ☐ |
| W-2/1099 Distribution | Jan 31 | [________] | ☐ |
| 1099 Filing with IRS | Jan 31 | [________] | ☐ |
| [________________________________] | [__/__/____] | [________] | ☐ |
| [________________________________] | [__/__/____] | [________] | ☐ |
Quarter 2 (April - June)
| Task | Due Date | Responsible | Status |
|---|---|---|---|
| Tax Returns (Firm) | Apr 15 | [________] | ☐ |
| [________________________________] | [__/__/____] | [________] | ☐ |
| [________________________________] | [__/__/____] | [________] | ☐ |
| [________________________________] | [__/__/____] | [________] | ☐ |
Quarter 3 (July - September)
| Task | Due Date | Responsible | Status |
|---|---|---|---|
| Mid-Year CLE Review | Jul 1 | [________] | ☐ |
| [________________________________] | [__/__/____] | [________] | ☐ |
| [________________________________] | [__/__/____] | [________] | ☐ |
| [________________________________] | [__/__/____] | [________] | ☐ |
Quarter 4 (October - December)
| Task | Due Date | Responsible | Status |
|---|---|---|---|
| CLE Completion | [Varies] | [________] | ☐ |
| Year-End Trust Account Review | Dec 31 | [________] | ☐ |
| [________________________________] | [__/__/____] | [________] | ☐ |
| [________________________________] | [__/__/____] | [________] | ☐ |
SECTION 13: COMPLIANCE NOTES AND REMINDERS
Important Dates for Next Year
| Item | Date | Notes |
|---|---|---|
| [________________________________] | [__/__/____] | [________________] |
| [________________________________] | [__/__/____] | [________________] |
| [________________________________] | [__/__/____] | [________________] |
| [________________________________] | [__/__/____] | [________________] |
Compliance Issues/Concerns
[________________________________]
[________________________________]
[________________________________]
Action Items
☐ [________________________________] - Due: [__/__/____]
☐ [________________________________] - Due: [__/__/____]
☐ [________________________________] - Due: [__/__/____]
CERTIFICATION
I certify that I have reviewed this compliance checklist and that all items marked as completed have been properly fulfilled for the compliance year [________].
Attorney/Compliance Officer Signature: [________________________________]
Name (Print): [________________________________]
Date: [__/__/____]
This checklist should be reviewed and updated annually. Requirements vary by state and practice type. Consult your state bar and professional advisors for specific requirements.
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Last updated: February 2026