Instructing third parties

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Practice notes
This Practice Note lists high-risk third countries identified by the Financial Action Task Force (FATF), HM Treasury and the European Commission as...
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28th Oct
Practice notes
This Practice Note provides guidance on client due diligence (CDD) which is a central pillar of the anti-money laundering (AML) and counter-terrorist...
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12th Oct
Practice notes
Source of funds and wealth was a key focus of the SRA’s Preventing Money Laundering and Financing of Terrorism thematic review, published in March...
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9th Oct
Practice notes
The way the Solicitors Regulation Authority (SRA) regulates the solicitors’ profession has been evolving since its inception—from a prescriptive...
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8th Oct
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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30th Sep
Practice notes
The compliance officer for legal practice (COLP) sits at the heart of the firm's regulatory arrangements. This does not mean that the firm and its...
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27th Sep
Practice notes
Closing a client matter properly is a basic client care, risk management and housekeeping requirement. There are also regulatory and best practice...
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26th Sep
Practice notes
This Practice Note deals with regulatory requirements and practical issues regarding the form and content of a final bill of costs to a client. It...
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26th Sep
Practice notes
This Practice Note is based on reporting requirements in the SRA Codes of Conduct 2019 (in force from 25 November 2019) as amended by the SRA...
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26th Sep
Precedents
How to use this testThese questions are designed to test your understanding after your attendance at our training on avoiding bribery and...
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26th Sep
Practice notes
An undertaking is a commitment by a solicitor to do something. It can be enforced against the solicitor by the courts. Failure to comply with an...
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26th Sep
Practice notes
This Practice Note explains:•what powers the court has to enforce undertakings•when it is likely to exercise those powersBreach of an undertaking is...
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25th Sep
Practice notes
This Practice Note provides guidance on the SRA Codes of Conduct, contained in the SRA Standards and Regulations, in force from 25 November 2019. The...
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25th Sep
Practice notes
This Practice Note lists all new and updated content to reflect the SRA Standards and Regulations, in force from 25 November 2019.The Standards and...
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25th Sep
Practice notes
This Practice Note sets out the requirements of the SRA Accounts Rules 2019 (the 2019 Rules), in force from 25 November 2019, together with supporting...
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25th Sep
Practice notes
Brexit: As of exit day (31 January 2020), the UK is no longer an EU Member State, but it has entered an implementation period during which it...
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2nd Sep

Most recent Instructing third parties content

Practice notes
This Practice Note reflects requirements in the SRA Codes of Conduct 2019 in relation to instructing third parties, in force from 25 November 2019....
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25th Sep
Practice notes
This Practice Note contrasts the requirements in the SRA’s 2011 and 2019 regimes in relation to introductions and instructions to third parties. For...
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25th Sep
Precedents

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26th Sep
Precedents
We have instructed [insert name of barrister] of [insert name of chambers] to [state what you have instructed the barrister to do].[We expect to...
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26th Sep
Precedents
This form should be completed by fee earners and sent to [the compliance officer for legal practice] after a third party has carried out your...
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26th Sep
Precedents
A: General informationDate of reviewPerson(s) conducting reviewB: Review and findingsIs your Register of third parties up to date?Yes/NoIf no, ensure...
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26th Sep
Precedents
1Introduction1.1This policy describes our approach to instructing experts, barristers and other third parties to provide input into a client’s matter....
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26th Sep
Precedents
A: General informationDate of reviewPerson(s) conducting reviewB: Review and findingsAre your Instructing third parties policy and processes up to...
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26th Sep
Precedents
1Introduction1.1This policy describes our approach to instructing experts, barristers and other third parties to provide input into a client’s matter....
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26th Sep
Practice notes
This Practice Note explains the regulatory requirements that apply when you instruct an expert, barrister or other third party on your client’s...
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27th Sep
Precedents

Please click for an Excel version of this register.

Please note that t

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27th Sep
Q&As
What is a legal entity identifier?A legal entity identifier (LEI) is 20-character code that is unique to the entity it is allocated to. Once issued, a...
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28th Sep
Practice notes
This Practice Note provides guidance on suggested procedures for evaluating and monitoring third parties such as barristers and experts who are...
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26th Oct

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