A Practical ABA & FTC Compliance Self-Check for Small Law Firms
A short, evidence-based checklist to help your firm identify whether key safeguards could be clearly explained or documented today. Mark ✓ only where you can evidence the control. Any ✖ highlights a priority risk area.
Built for firms that want clarity on “reasonable safeguards” without over-engineering.
How to Use This Checklist
This is a practical self-check aligned with expectations commonly associated with ABA-style “reasonable safeguards” and FTC Safeguards-style controls.
- Mark ✓ only if you can evidence the control today (policy, configuration, logs, screenshots, or documented process).
- Any ✖ typically points to a quiet risk area that may deserve attention.
- Most firms complete this in under 10 minutes and identify 1–2 items worth a closer look.
What Happens After You Download
You’ll receive the checklist immediately by email. If you’d like a neutral second opinion on your ✖ items, you can optionally book a short Fit Call after you’ve reviewed it. No pressure.
Get the Checklist
Tip: Use a firm email if available. Phone number should not be required for this download.
How This Checklist Is Typically Used
- Spot quiet risk areas early before they surface as client questions, insurance requests, or incident response issues.
- Document reasonable safeguards in a way that is easier to explain and defend.
- Prioritize next steps without over-engineering controls that do not matter for a firm your size.
Many firms review results internally first, then ask for a second opinion only on the items marked ✖.
FAQ
Is this checklist free?
Yes. It’s a practical self-check for small law firms to identify evidence-based gaps and prioritize next steps.
How long does it take to complete?
Most firms complete the checklist in under 10 minutes.
What do you mean by “evidence”?
Evidence means you can point to a policy, configuration, logs, screenshots, or a documented process that shows the control is in place today.
Will someone call me after I download?
No. You’ll receive the checklist by email. If you want help interpreting results, you can optionally book a short Fit Call.
What if we find gaps?
Treat gaps as a prioritized remediation list. Address the highest-risk items first, then build a practical plan for remaining items.
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