Introductions to third parties 2019
Introductions to third parties 2019

The following Practice Compliance guidance note provides comprehensive and up to date legal information covering:

  • Introductions to third parties 2019
  • SRA regime
  • Comparison to 2011 Code
  • Difference between introduction to and instructing a third party
  • SRA Principles
  • Codes of Conduct
  • Definitions
  • Introductions to other solicitors
  • Commission and other financial benefits
  • Transparency
  • more

This Practice Note reflects requirements in the SRA Codes of Conduct 2019 in relation to Introductions to third parties, in force from 25 November 2019.

There is a separate Practice Note for situations where clients are referred to you by third parties—see: Referral and fee sharing arrangements 2019.

This Practice Note does not cover circumstances where you are simply instructing a client of a client’s matter. See below Difference between introduction to and instructing a third party and separate Practice Note: Instructing third parties 2019

SRA regime

The SRA's core regulatory requirements in relation to introductions to third parties are found in the two Codes of Conduct (the Code for Individuals 2019 and Code for Firms 2019), which should be read in the context of the SRA Principles 2019.

The 2019 Principles and Codes form part of SRA Standards and Regulations 2019, which are the culmination of a wholesale review of the SRA’s regulatory regime. They set out the standards and requirements individual solicitors and firms regulated by the Solicitors Regulation Authority (SRA) are expected to achieve and observe.

The Standards and Regulations will be accompanied by case studies and guidance in a variety of formats, such as Q&As, warning notices, decision trees and ‘topic guidance’. The SRA has indicated what guidance it initially intends to produce—see Practice Note: SRA Standards and Regulations—Supporting guidance. This does not appear to cover Introductions to third parties.

Comparison to 2011 Code

The requirements in the 2019 represent the bare bones of those in the 2011 Code as shown in Practice Note: Introductions and instructions to third parties—SRA 2011 regime and SRA 2019 regime compared.

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