Third parties

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Practice notes
AML and counter-terrorist financing—source of funds and source of wealthSource of funds and wealth was a key focus of the SRA’s Preventing Money...
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19th May
Practice notes
IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...
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19th May
Practice notes
Compliance officer for legal practice—COLP—title and duties 2011 [Archived]The compliance officer for legal practice (COLP) sits at the heart of the...
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19th May
Practice notes
Brexit—exiting the EU under Article 50 [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This Practice Note contains...
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Produced in partnership with Adam Cygan of University of Leicester 19th May
Practice notes
SRA Accounts Rules 2019This Practice Note sets out the requirements of the SRA Accounts Rules 2019 (the 2019 Rules), in force from 25 November 2019,...
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19th May
Precedents
1DefinitionsModern Slavery Policy•means the Customer's anti-slavery and human trafficking policy as set out in Schedule [insert] as updated by the...
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19th May
Practice notes
High-risk third countries trackerOrganisations caught by the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer)...
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19th May
Practice notes
Active bribery, passive bribery and bribing foreign public officialsThe purpose of this Practice Note is to provide a general understanding of the...
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Produced in partnership with Joanne Kane of Carmelite Chambers 19th May
Precedents
In briefThis precedent links to: •a template created by the UK Information Commissioner’s Office (ICO) of the ‘Set II’ or ‘2004’ EU Standard...
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19th May
Practice notes
Introduction to retained EU lawThis Practice Note provides an introduction to retained EU law. It provides an overview of the key definitions and...
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Produced in partnership with Dr. Kieran Laird of Gowling WLG 19th May
Practice notes
Safeguards and information barriersProtection of confidential information is fundamental to your relationship with clients, both as a matter of law...
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19th May
Practice notes
Undertakings and the SRA 2019What is an undertaking?An undertaking is:•a statement, given orally or in writing, whether or not it includes the word...
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19th May
Practice notes
Duties of confidentiality and disclosure 2019The protection of confidential information is a fundamental feature of the solicitor-client relationship...
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19th May
Practice notes
SRA Handbook 2011 [Archived]The SRA Handbook 2011 sets out standards and requirements that individual lawyers and firms are expected to achieve and...
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19th May
Precedents
1IntroductionThis financial sanctions policy is designed to ensure we comply with applicable financial sanctions laws made under the UK sanctions...
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19th May
Practice notes
Working with European lawyers—the Registered European Lawyer (REL) regimeAt 11 pm (GMT) on 31 December 2020, the Brexit transition/implementation...
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19th May

Most recent Third parties content

Precedents
Introduction agreement for services—pro-supplierThis Agreement is made on [date]Parties1[insert name of company] [of OR a company incorporated in...
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8th Jul
Practice notes
Dealing with freelance solicitorsThe SRA Standards and Regulations 2019, in force from 25 November 2019, introduce a new method of practising: the...
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5th Jul
Practice notes
Instructing third parties 2019This Practice Note reflects requirements in the SRA Codes of Conduct 2019 in relation to instructing third parties, in...
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24th Jun
Practice notes
Introductions to third parties 2019This Practice Note reflects requirements in the SRA Codes of Conduct 2019 in relation to Introductions to third...
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24th Jun
Practice notes
Introductions to third parties—general regulatory requirements 2011 [Archived]This Practice Note explains generic regulatory requirements that apply...
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24th Jun
Practice notes
Instructing third parties—regulatory requirements 2011 [Archived]This Practice Note explains the regulatory requirements that apply when you instruct...
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24th Jun
Practice notes
Evaluating and monitoring third partiesThis Practice Note provides guidance on suggested procedures for evaluating and monitoring third parties such...
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24th Jun
Q&As
We are considering working with a non-lawyer, on a self-employed/part time consultancy basis to help promote the firm, eg to chair conferences and...
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Produced in partnership with David Smith of Anthony Gold Solicitors 15th Jun
Practice notes
Your client and the court—regulatory requirementsThis Practice Note explains the regulatory requirements imposed by the SRA in relation to litigation...
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8th Jun
Q&As
Can I accept a costs undertaking from an in-house solicitor?The SRA Glossary defines an undertaking as:•a statement, given orally or in writing,...
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5th Jun
Q&As
Can legal executives give undertakings and what should I say about this in my undertakings policy?From the Solicitors Regulation Authority’s (SRA)...
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5th Jun
Q&As
What should I do if the other side fails to discharge the firm from a completed undertaking?An undertaking is a commitment by a solicitor to do...
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5th Jun
Q&As
Can my client (in a litigated matter) make a payment to a non-expert witness that is contingent on the outcome? If I know my client has done or plans...
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5th Jun
Q&As
Can I rely on an undertaking from a legal executive employed in a non-SRA regulated entity?There is no specific reference in the Chartered Institute...
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5th Jun
Q&As
Aside from the rules relating to service of proceedings, is there any guidance or rule concerning the manner in which solicitors involved in...
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Produced in partnership with Peter Steel of Augury Consulting 5th Jun
Q&As
What is a legal entity identifier (LEI) and does my law firm need one?What is a legal entity identifier?A legal entity identifier (LEI) is...
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5th Jun
Q&As
Is an undertaking binding and enforceable if given by a legally unqualified individual on behalf of their law firm?The SRA Code of Conduct for Firms...
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5th Jun
Q&As
If a solicitor’s undertaking is given but it does not have a date by which it expires, can it be withdrawn? If so, are there any requirements...
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5th Jun

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