Instructing third parties

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European Union and UK government initiatives on money laundering and terrorism finance

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Practice Compliance weekly highlights—29 July 2021

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How anti-corruption push affects US companies operating abroad

The following Corporate Crime news provides comprehensive and up to date legal information on How anti-corruption push affects US companies operating abroad

EU seeks to improve data transfers to boost AML fight

The following Corporate Crime news provides comprehensive and up to date legal information on EU seeks to improve data transfers to boost AML fight

Featured Practice Compliance content

What is a solicitor's undertaking?

What is a solicitor's undertaking?An undertaking is a commitment by a solicitor to do something. It can be enforced against the solicitor by the...

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Conflicts of interest 2019

Conflicts of interest 2019Conflicts of interest can cause difficult and serious problems for solicitors and law firms, both from a compliance point of...

Legal Services Board

Legal Services BoardThe Legal Services Board (LSB) is the single independent oversight regulator of the legal profession and sector in England and...

Practice notes

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Practice notes

The Information Commissioner’s Office (ICO)

IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...

19th May

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Compliance officer for legal practice—COLP—title and duties 2011 [Archived]

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Practice notes

Brexit—exiting the EU under Article 50 [Archived]

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Produced in partnership with Adam Cygan of University of Leicester 19th May

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Practice notes

SRA Accounts Rules 2019

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Modern slavery: contract clauses

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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High-risk third countries tracker

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Practice notes

Active bribery, passive bribery and bribing foreign public officials

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Produced in partnership with Joanne Kane of Carmelite Chambers 19th May

Precedents

Standard contractual clauses for international transfers—set II—controller to controller—ICO templates

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Practice notes

Safeguards and information barriers

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Practice notes

Undertakings and the SRA 2019

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Duties of confidentiality and disclosure 2019

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Practice notes

SRA Handbook 2011 [Archived]

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Practice notes

Working with European lawyers—the Registered European Lawyer (REL) regime

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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 (LEI) and does my law firm need one?What is a legal entity identifier?A legal entity identifier (LEI) is...

31st Jul

Practice notes

Evaluating and monitoring third parties

Evaluating and monitoring third partiesThis Practice Note provides guidance on suggested procedures for evaluating and monitoring third parties such...

31st Jul

Practice notes

Introductions and instructions to third parties—SRA 2011 regime and SRA 2019 regime compared

Introductions and instructions to third parties—SRA 2011 regime and SRA 2019 regime comparedThis Practice Note contrasts the requirements in the SRA’s...

31st Jul

Practice notes

Instructing third parties—regulatory requirements 2011 [Archived]

Instructing third parties—regulatory requirements 2011 [Archived]This Practice Note explains the regulatory requirements that apply when you instruct...

31st Jul

Practice notes

Instructing third parties 2019

Instructing third parties 2019This Practice Note reflects requirements in the SRA Codes of Conduct 2019 in relation to instructing third parties, in...

31st Jul

Precedents

Third party evaluation form

Third party evaluation formThis form should be completed by fee earners and sent to [the compliance officer for legal practice] after a third party...

31st Jul

Precedents

Instructing third parties—bi-annual monitoring record

Instructing third parties—bi-annual monitoring recordA: General informationDate of reviewPerson(s) conducting reviewB: Review and findingsIs your...

31st Jul

Precedents

Third parties register

Please click for an Excel version of this

31st Jul

Precedents

Instructing third parties policy 2011 [Archived]

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

31st Jul

Precedents

Instructing third parties—flowchart 2011 [Archived]