Introductions to third parties

Introductions to third parties guidance:

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

1 Scope of this policy 1.1 This policy applies when the firm or a member of staff introduces, refers or recommends a third party to a client. For the sake of consistency,...

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

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

[We have reached a stage in your matter where OR Now that we have concluded your matter], we believe it would be in your best interests to [state what you wish to...

Precedents

From 1 November 2015, the separate business rules changed fundamentally in an attempt to level the playing field between alternative business structure (ABS) firms and...

Practice Note

From 1 November 2015, the separate business rules changed fundamentally in an attempt to level the playing field between alternative business structure (ABS) firms and...

Practice Note
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