The following Practice Compliance practice note provides comprehensive and up to date legal information covering:
This Practice Note explains generic regulatory requirements that apply when you introduce a client to a third party, such as a financial advisor, estate agent or other lawyer. This is not the same as instructing an expert, a barrister or another third party on your client’s matter. For more guidance on instructing an expert, a barrister or another third party, see: Instructing third parties—overview.
Chapter 6 of the SRA Code of Conduct 2011 imposes specific obligations in relation to introductions to third parties. There is no definition of 'third party', but the introductory notes to chapter 6 of the Code give the following examples:
a financial services provider
This suggests chapter 6 relates to introducing (or referring) your client to external third parties, rather than instructing third parties such as barristers or experts on behalf of your client as part of the matter you are handling for them. In practical terms, the difference is:
where you introduce the client to a third party:
the third party advises the client independently of your firm
you are not responsible for the advice given by the third party
the third party has a direct relationship with the client
the third party invoices the client directly
where you instruct a third party on behalf of your client:
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