1. ACTIVITY
and
COMPLIANCE CHECKLIST
Weekly Activity
and Compliance
Checklist
1page
Monthly Activity
and Compliance
Checklist
2page
Yearly Activityand
Compliance Checklist
4page
3page
Quarterly Activity
and Compliance
Checklist

2. Weekly Activity and
Compliance Checklist
WeeklyBankaccounts
validationchecklist
Review your bank transactions in Trust and General accounts
Ensure that all transactions in the bank are entered in uLaw
Review all your active clients and their matters for the week
Ensure that all dockets are entered
Ensure all disbursements are entered and they match bank
records if there is an corresponding expense
Ensure all your outstanding WorkInProgress Item are
pre-billed and invoices have been raised
Ensure all the invoices have been sent to the clients
omplete all outstanding trust-transfer to pay the raised
invoices
preview reconciliation of both Trust and General
account, so that the bank balance and uLaw match and review
all outstanding cheques and deposits
Follow-up with clients if there are any key issues that are
still pending unaddressed over the week
Ensure proper non-engagement is sent to those who never
engaged or retained and close or archive these matters that
are completed in the week
day #
14th
day #
21st
day #
7th
day #
28th

3. onthly ctivity and
ompliance hecklist
MonthlyBankaccounts
validationchecklist
day #
31st
Reconcile Trust account
Ensure that you have entered the Bank balance on the
of the month
Clear all transactions you see in uLaw and the Bank
Ensure that there are , if they are enter them
Reconcile Trust Account and the reconciliation document
Reconcile General account
Ensure that you have entered the Bank balance on the of the month
Clear all transactions you see in uLaw and the Bank
Reconcile all General Accounts including business credit cards and
the reconciliation document
Prepare the compliance checklist
Prepare
Trust and General Ledgers for the month
Trust Receipt & Disbursement Journals
General Receipt & Disbursement Journals
Fee Book and Expense Book
Prepare the Inter matter Trust transfers
Prepare all missing Form 9A/9C for Electronic
Trust transfers from trust
Calculate the HST/GST/PST to be set aside for the month
Calculate net income, net expense and P&L for the month
(after expenses incurred in YTD deducted from revenue)
Calculate Current income tax amount to be set aside per CRA
online information
day #
30th OR

4. Quarterly Activity and
Compliance Checklist
QuarterlyBankaccounts
validationchecklist
Review all your client communication, time
management, professional commitments
and matter management procedures
Review your Matter Management procedures
Review all your Active Clients and Close or Archive all matters that are closed
in that quarter
Do an Invoice Balance report to see outstanding in the quarter
Write-off or Discount bad debt
Review all your client communication
Contact all active clients with quarterly update, the quarterly update should
be attached with a Statement of activity, Statement of Accounts and
Settlement and a Bill of Cost this far
Ensure you communicate with all the clients of closed matters with a closing
letter and also attach a Statement of activity, Statement of Accounts and
Settlement and a Bill of Cost
Review your Source of Contact report to ensure you have all your source of
contacts captured
Review your HST/GST/PST owing to CRA, Calculate
the HST/GST/PST for the quarter and file it with CRA
Calculate net income, net expense and P&L for the
Quarter and spend time running Business Analytics
reports to understand the Revenue and Expenses
Ensure you attend CPDs to get your professional
commitments
quarter #
June 30th
quarter # quarter #quarter #
Dec 31stSep 30th
Mar 31st

5. Yearly Activity and
Compliance Checklist
YearlyBankaccounts
validationchecklist
Review your for
the year
Perform the financial process
Prepare your for CRA filings
for filing your corporate taxes
Calculate Current income tax amount to be set aside per
CRA online information
Review the health of your business financially and
logically
Review the Yearly and
review the (Profit and Loss Statement) for the year
Review yearly
Year #
Dec 31st
Review yearly Pro-Bonos