Instructing third parties

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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Brexit—exiting the EU under Article 50 [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This Practice Note contains...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 Instructing third parties content

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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31st Jul
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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31st Jul
Practice notes
Introductions and instructions to third parties—SRA 2011 regime and SRA 2019 regime comparedThis Practice Note contrasts the requirements in the SRA’s...
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31st Jul
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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31st 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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31st Jul
Precedents
Third party evaluation formThis form should be completed by fee earners and sent to [the compliance officer for legal practice] after a third party...
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31st Jul
Precedents
Instructing third parties—bi-annual monitoring recordA: General informationDate of reviewPerson(s) conducting reviewB: Review and findingsIs your...
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31st Jul
Precedents

Third parties register

Please click for an Excel version of this

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31st Jul
Precedents
Instructing third parties policy 2011 [Archived]1Introduction1.1This policy describes our approach to instructing experts, barristers and other third...
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31st Jul
Precedents

Instructing third parties—flowchart 2011

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30th Jul
Precedents
Instructing third parties policy 20191Introduction1.1This policy describes our approach to instructing experts, barristers and other third parties to...
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30th Jul
Precedents
Instructing third parties—annual reviewA: General informationDate of reviewPerson(s) conducting reviewB: Review and findingsAre your Instructing third...
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30th Jul
Precedents
Letter to client confirming barrister instructedWe have instructed [insert name of barrister] of [insert name of chambers] to [state what you have...
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30th Jul

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