Third parties

Third parties guidance:

A: General information Date of review Person(s) conducting review B: Review and findings Is your Advocacy, litigation and ADR policy up to date and fit for purpose?Yes/No...

Precedents

In early 2013, the Solicitors Regulation Authority (SRA) published a consultation document on the ban on referral fees in personal injury (PI) cases. This...

Practice Note

A commission (or other financial benefit) is something you might receive when you introduce a client to a third party. A referral fee is something you might...

Practice Note

This practice note explains the regulatory requirements regarding commissions and financial benefits, which tend to arise when referring or recommending clients to third...

Practice Note

The SRA Standards and Regulations 2019, in force from 25 November 2019, introduce a new method of practising: the freelance solicitor. This Practice Note explains the...

Practice Note

You may be offered a financial benefit in return for referring a client to a third party. A financial benefit includes any: • commission • discount, or • rebate There is...

Practice Note

This Practice Note provides guidance on suggested procedures for evaluating and monitoring third parties such as barristers and experts who are instructed by your firm on...

Practice Note

This Agreement is made on [insert date] Parties 1 [insert name of company] [of OR a company incorporated in [England and Wales] under number [insert registered number]...

Precedents

1 Policy statement 1.1 It is the policy of [firm name] (‘the firm’) to conduct its business in compliance with the highest professional standards. We are committed to...

Precedents

This Practice Note reflects requirements in the SRA Codes of Conduct 2019 in relation to instructing third parties, in force from 25 November 2019. There is a separate...

Practice Note

1 Introduction 1.1 This policy describes our approach to instructing experts, barristers and other third parties to provide input into a client’s matter. For the sake of...

Precedents

1 Introduction 1.1 This policy describes our approach to instructing experts, barristers and other third parties to provide input into a client’s matter. For the sake of...

Precedents

A: General information Date of review Person(s) conducting review B: Review and findings Are your Instructing third parties policy and processes up to date and fit for...

Precedents

A: General information Date of review Person(s) conducting review B: Review and findings Is your Register of third parties up to date?Yes/No If no, ensure you set an...

Precedents

STOP PRESS: The SRA Standards and Regulations (also known as the ‘StaRs’) are in force from 25 November 2019. They replace the SRA Handbook 2011. Key changes include...

Precedents

This Practice Note explains the regulatory requirements that apply when you instruct an expert, barrister or other third party on your client’s matter. This is not the...

Practice Note

This Practice Note explains the regulatory requirements that apply when you instruct an expert, barrister or other third party on your client’s matter. This is not the...

Practice Note

DRAFTING FOR BREXIT: As of exit day (11pm on 31 January 2020) the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has...

Precedents

This Practice Note contrasts the requirements in the SRA’s 2011 and 2019 regimes in relation to introductions and instructions to third parties. For more detailed...

Practice Note

This Practice Note explains additional regulatory requirements that apply when you introduce a client to a third party for financial services, including regulated...

Practice Note

This Practice Note explains additional regulatory requirements that apply when you introduce a client to a third party for financial services, including regulated...

Practice Note

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...

Practice Note

1 Introduction 1.1 This policy covers situations where we introduce, refer or recommend our client to a third party. For the sake of consistency, this policy uses the...

Precedents

A: General information Date of review[Insert date] Person(s) conducting review[Insert name of person] B: Review and findings Are your Introductions to third parties...

Precedents

A: General information Date of review[Insert date of review] Person(s) conducting review B: Review and findings Are you satisfied that your processes for introductions to...

Precedents

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...

Practice Note