Instructing third parties

SRA regime

The SRA’s core regulatory requirements are found in the two SRA Codes of Conduct (the Code for Solicitors, RELs and RFLs (SRA Code for Solicitors) and the SRA Code for Firms), which should be read in the context of the SRA Principles.

Difference between instructing and introduction to a third party

Paragraphs 5.1 to 5.3 of the SRA Code for Solicitors impose specific obligations in relation to ‘referrals, introductions and separate businesses’. These requirements apply equally to SRA-regulated firms, by virtue of paragraph 7.1 of the SRA Code for Firms, which states that paragraphs 5.1 to 5.3 of the SRA Code for Solicitors apply to the firm in their entirety.

Although it is not entirely clear, the language of paragraphs 5.1 to 5.3 of the SRA Code for Solicitors tends to suggest that these sections apply when referring or introducing your client to external third