Anti-Money Laundering and Counter Terrorism Financing (AML/CTF)

Bartier Perry is committed to playing its role in effectively deterring, detecting and disrupting money laundering and terrorism / proliferation financing activities by maintaining the highest standards of compliance with Australia’s Anti-Money Laundering and Counter Terrorism Financing (AML/CTF) laws.  

The Firm continually considers the environment in which our business operates and assesses the threats posed by criminals, terrorists and those that facilitate money laundering, terrorism financing / proliferation financing (ML/TF/PF), or the evasion of sanctions imposed by governments or international authorities.  

The Firm’s approach to identifying, assessing and managing the risks associated with ML/TF/PF related to the ‘designated services’ that we provide to our clients is outlined below.  

This page contains information on:

• What is AML/CTF and our obligations;

• What legal services are affected (designated services);

• What documents clients may be asked to provide;

• What questions we may ask you;

• How our client on-boarding process works; and

• Our commitment to client privacy, confidentiality and data protection.

What is AML/CTF and our obligations?

The AML/CTF regime applies to a broad range of professions and, with its expansion effective 1 July 2026, includes legal practitioners, accountants, conveyancers, real estate professionals, precious goods dealers and trust and company service providers. 

Under this framework, Bartier Perry is required to conduct initial and ongoing client due diligence, assess risk and monitor legal transactions to help prevent financial crime and ensure compliance with AML/CTF laws. We are also required to report to the Regulator, AUSTRAC, on a regular basis.

From 1 July 2026, before we commence providing clients with a ‘designated service’, we are legally required to complete the following activities to comply with the AML/CTF laws:

• Collect information about our clients and verify their identity;

• Understand the nature and purpose of the matter or transaction;

• Assess and document any money laundering and terrorism financing risks; and

• Keep clear records of our decisions.

Click here to learn more about the AML/CTF reforms from AUSTRAC

What legal services are affected (designated services)?

Designated services include the following:

• Assisting in the planning or execution of a transaction to sell, buy or transfer real estate (item1);

• Assisting in the planning or execution of a transaction to sell, buy or transfer a body corporate or legal arrangement (for example, assisting in the planning or execution of a business sale or transfer) (item 2);

• Receiving, holding, controlling  or managing client property or funds to help in the planning or execution of a transaction (where relevant to the service being provided) (item 3);

• Assisting in organising, planning, or executing a transaction for equity or debt financing for a company or legal arrangement (for example, assisting with the borrowing or lending of money) (item 4);

• Selling or transferring a shelf company (item 5);

• Assisting in the planning or execution of the creation or restructuring of a company or legal arrangement (for example, setting up a new company or trust structuring work) (item 6);

• Acting or arranging for someone to act on behalf of someone in certain roles or nominee arrangements for a company or legal arrangement (item 7);

• Acting as, or arranging for another person to act as, a nominee shareholder of a body corporate or legal arrangement, on behalf of a person (the nominator), in the course of carrying on a business (item 8);

• Providing a registered office or principal place of business address for a company or legal arrangement (item 9).

Note - There are a few exceptions to the above items: for example, for items 1 and 2, if the activity has been ordered to be undertaken by a court or tribunal.  

At the start of each engagement or matter, we will confirm whether the work involves a designated service and what level of checks are required.

Click here to learn more about ‘Designated Services’ from AUSTRAC

What documents clients may be asked to provide

The amount of documentation clients will be required to provide will depend on the AML/CTF risks associated with the client or matter and the services being provided by us. Clients will usually be required to provide the following documents:

• Photo ID (for example, a driver’s licence or passport);

• Proof of address (for example, driver’s licence, utility bill or bank statement);

• Company, trust or SMSF documents (if relevant);

• Ownership and control information for complex entities;

• Source of funds information (for higher-risk matters).

If clients are acting for a company, trust or other corporate structure, we will need to identify and verify the individuals who ultimately own or control that entity.

Note about Data Security: We will not hold copies of any of these documents. Clients will provide these via the secure First AML platform purely for verification purposes.

Click here to learn more about our Privacy Policy

What questions we may ask you

As part of our AML/CTF obligations, we may ask clients for additional information to help us verify client identity, understand who we are acting for, and determine whether any additional due diligence checks are required.

This may include asking whether you, your representative, or your immediate family members or close associates are or have been politically exposed persons (PEPs).

A PEP is someone who holds, or has held, a prominent public position in Australia, overseas, or in an international organisation. This can include senior politicians, judges, ambassadors, senior military officers, senior government officials, and senior officers of state-owned entities or international organisations.

Below are definitions of different types of politically exposed persons (PEPs). You may need to consider if you, or your representative, are a politically exposed person.  

Note: Family members and close business associates of persons who hold one of these positions are also considered politically exposed persons.

• Foreign PEP;

• Domestic PEP;

• International organisation PEP;

• Family Members.

Click here to learn more about PEPs from AUSTRAC

How the process will work

Our client onboarding process is designed to be clear, efficient and secure.

The speed at which clients are onboarded is dependent on the nature and scope of the matter.  

Most clients complete the onboarding process quickly, once the required documents are provided.

Our onboarding process will occur once clients have contacted us to provide a legal service.

1. Scope the matter

A Bartier Perry Legal practitioner will gather information from you regarding your matter to determine whether the service you are asking us to provide is a ‘designated service’ that will require AML/CTF checks. If your matter does fall under a designated service, you will incur an ‘Australian Government AML/CTF screening disbursement’ charge for the mandatory AML/CTF check we need to complete. This will be noted in your cost agreement and on your first invoice from us.

2. Scope of engagement provided

You will receive an engagement letter or email confirmation that will include our cost agreement, terms, and the details relating to the scope of our engagement.

3. Agree to commence engagement

If you agree to the scope, terms and costs you will sign the agreement and if the service is a designated service we will commence the Conflict and AML/CTF screening checks. 

4. Share your details

You will be sent an email from our integrated and secure identity verification partner FirstAML to request your identity information and any relevant documents.

5. Verify your identity and/or relevant mandatory information

The FirstAML platform will guide you through what documents are required and how to securely provide identity and ownership details.

6. Clarify anything missing

If further documents or explanations are required, we’ll contact you promptly.

7. Reports received

We will receive a report from First AML summarising your identification checks.

8. Complete the assessment

We will review the report and matter and finalise the risk assessment.

9. We begin working with you

Once checks are complete and we are satisfied with the assessment, we can commence work on your matter.

Our commitment to privacy, confidentiality and data protection 

We take privacy and data protection seriously and always respect the privacy and confidentiality of our clients. 

We collect, store, use and disclose personal information in accordance with our Privacy Policy.

Information you provide is handled in accordance with:

• Australian privacy laws and principles;

• Our professional standards and confidentiality obligations;

• AML/CTF regulatory requirements.

Your data is used only for identity verification, compliance checks and onboarding purposes. We do not use it for marketing and we don’t sell or trade client data.

We have integrated a third-party identification platform called FirstAML to perform these checks on our behalf and do not store your personal identification documents.

All data transmitted and stored via the FirstAML platform is encrypted using the industry standard to encrypt data. 

First AML production data and systems are hosted in Amazon Web Services (AWS) at every layer.

Click here to learn more about FirstAML Security