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Document Indemnity

Indemnity and Disclaimer Provisions

E-Solicitors Legal Services Marketplace

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Use of Platform Documents at Your Own Risk​

Templates | Precedents | Checklists | Guidance | Forms

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Version 1.0 - January 2026

England and Wales

Important Notice to Solicitors​

  • PLATFORM DOCUMENTS ARE PROVIDED FOR GENERAL GUIDANCE ONLY. THEY DO NOT CONSTITUTE LEGAL ADVICE. YOU MUST INDEPENDENTLY VERIFY ALL DOCUMENTS BEFORE USE AND YOU INDEMNIFY THE PLATFORM FOR ANY CLAIMS ARISING FROM YOUR USE OF PLATFORM DOCUMENTS.

What This Agreement Covers

The Platform may provide various documents to assist solicitors including:

Document templates and precedents

Compliance checklists and forms

Guidance notes and practice information

AML/KYC templates and procedures

Client care letter templates

Terms of engagement templates

Risk assessment templates

Policy templates

Key Warnings

📋 DISCLAIMER: Platform Documents are NOT legal advice

📋 DISCLAIMER: Platform Documents may NOT be current or accurate

📋 DISCLAIMER: Platform Documents may NOT be suitable for your use

📋 DISCLAIMER: Platform Documents may NOT comply with current regulations

📋 DISCLAIMER: You MUST independently verify all documents before use

Your Indemnity Obligations

🛡 INDEMNITY: You indemnify the Platform for claims arising from your use of Platform Documents

🛡 INDEMNITY: You indemnify the Platform for regulatory non-compliance from document use

🛡 INDEMNITY: You indemnify the Platform for client claims relating to document use

🛡 INDEMNITY: You indemnify the Platform for any losses from reliance on Platform Documents

Why These Terms Are Necessary

The Platform is NOT a law firm, NOT regulated by the SRA, and NOT providing legal advice. Documents are provided as a convenience only. As a regulated solicitor, you bear full professional responsibility for all documents you use with clients, regardless of their source.

Contents​

Part A: General Provisions​

  1. Definitions

  2. Platform Status

  3. Scope of This Agreement

Part B: Platform Documents​

  1. Types of Platform Documents

  2. Purpose of Platform Documents

  3. No Legal Advice

  4. No Warranty or Guarantee

Part C: Your Obligations​

  1. Independent Review Requirement

  2. Verification and Adaptation

  3. Professional Responsibility

  4. Regulatory Compliance

Part D: Sra Compliance​

  1. SRA Standards Compliance

  2. Client Care Requirements

  3. Transparency Rules

  4. Competence Obligation

Part E: Law Society Requirements​

  1. Law Society Guidance

  2. Practice Standards

  3. Accreditation Requirements

Part F: Aml/kyc Document Compliance​

  1. AML Document Templates

  2. KYC Checklists and Forms

  3. Risk Assessment Templates

  4. Your AML Responsibility

Part G: Fca Compliance​

  1. FCA-Related Documents

  2. Consumer Duty Documentation

  3. Regulated Activities

Part H: Disclaimers​

  1. No Warranty

  2. No Fitness for Purpose

  3. No Regulatory Compliance Guarantee

  4. Currency and Accuracy

  5. Reliance

Part I: Indemnity Provisions​

  1. General Indemnity

  2. Regulatory Indemnity

  3. Client Claims Indemnity

  4. Third Party Indemnity

  5. Scope of Indemnity

Part J: Limitation of Liability​

  1. Platform Liability

  2. Exclusions

  3. Caps

Part K: Intellectual Property​

  1. Ownership

  2. Licence

  3. Restrictions

Part L: General Provisions​

  1. Amendments to Documents

  2. Feedback and Errors

  3. Third Party Rights

  4. Governing Law

Schedules​

Schedule 1: Categories of Platform Documents

Schedule 2: Document Review Checklist

Schedule 3: Regulatory Compliance Verification

Schedule 4: Indemnity Acknowledgment

Schedule 5: Document Adaptation Record

Part A: General Provisions​

  1. Definitions

1.1 In this Agreement:

'AML Documents' means any templates, checklists, forms, policies, or guidance relating to anti-money laundering compliance.

'Claim' means any claim, action, proceeding, demand, liability, loss, damage, cost, or expense.

'Client' means any person to whom you provide legal services.

'FCA Documents' means any documents relating to FCA-regulated activities or Consumer Duty compliance.

'Guidance Documents' means any notes, guidance, explanatory materials, or practice information.

'Indemnified Parties' means the Platform, its parent companies, subsidiaries, affiliates, directors, officers, employees, agents, authors, and contributors.

'KYC Documents' means any templates, checklists, or forms relating to know your customer procedures.

'Law Society Documents' means any documents referencing or based on Law Society guidance or requirements.

'Losses' means all losses, liabilities, damages, costs, expenses (including legal fees), fines, penalties, and other amounts.

'Platform' means [Platform Name], operated by [Company Name].

'Platform Documents' means all documents, templates, precedents, checklists, forms, guidance, policies, procedures, and other materials provided by or through the Platform.

'Precedents' means template legal documents including contracts, letters, agreements, and forms.

'SRA Documents' means any documents relating to SRA compliance, including client care letters, engagement terms, and complaints procedures.

'Templates' means document templates provided for adaptation and use.

'You/Your' means the solicitor or authorised body using Platform Documents.

  1. Platform Status

2.1 The Platform is a technology marketplace. The Platform is NOT:

(a) A law firm or authorised

body;

(b) Regulated by the Solicitors Regulation

Authority;

(c) Regulated by the Financial Conduct

Authority;

(d) A member of The Law

Society;

(e) Providing legal

advice;

(f) Providing regulatory

advice;

(g) Guaranteeing compliance with any

regulations;

(h) Responsible for your use of Platform Documents.

2.2 Platform Documents are provided as a convenience only, not as professional advice.

  1. Scope of This Agreement

3.1 This Agreement governs:

(a) Your access to and use of Platform

Documents;

(b) Disclaimers regarding Platform

Documents;

(c) Your indemnity

obligations;

(d) Intellectual property

rights;

(e) Limitation of Platform liability.

3.2 By accessing, downloading, or using any Platform Document, you accept these Terms.

Part B: Platform Documents​

  1. Types of Platform Documents

4.1 The Platform may provide the following types of documents:

Category

Examples

Purpose

Templates

Contracts, letters, agreements, terms

Starting point for drafting

Precedents

Legal document forms, standard clauses

Reference and adaptation

Checklists

Compliance checklists, due diligence lists

Process guidance

Forms

Client intake, CDD forms, consent forms

Information gathering

Policies

AML policy, complaints policy, data protection

Policy templates

Guidance

Practice notes, explanatory materials

Information only

Procedures

Step-by-step procedures, workflows

Process guidance

Risk Assessments

AML risk assessment, matter risk templates

Risk evaluation

4.2 Platform Documents may include:

(a) Client care letter

templates;

(b) Terms of engagement

templates;

(c) Retainer agreement

templates;

(d) AML/KYC policy

templates;

(e) CDD and EDD

checklists;

(f) Risk assessment

templates;

(g) Complaints procedure

templates;

(h) Data protection

documentation;

(

i

) Fee agreement

templates;

(j) Conflict

check

forms;

(k) File opening

procedures;

(l) Regulatory guidance summaries.

  1. Purpose of Platform Documents

5.1 Platform Documents are provided to:

(a) Assist solicitors in developing their own

documents;

(b) Provide a starting point for

adaptation;

(c) Offer general guidance on regulatory

requirements;

(d) Save time in document

preparation;

(e) Illustrate possible approaches to compliance.

5.2 Platform Documents are NOT provided to:

(a) Replace professional

judgment;

(b) Guarantee regulatory

compliance;

(c) Provide legal or regulatory

advice;

(d) Be used without review and

adaptation;

(e) Substitute for independent professional advice.

  1. No Legal Advice
  • PLATFORM DOCUMENTS DO NOT CONSTITUTE LEGAL ADVICE.

6.1 You acknowledge that:

(a) Platform Documents are for general information

only;

(b) Platform Documents do not constitute legal

advice;

(c) Platform Documents do not constitute regulatory

advice;

(d) No solicitor-client relationship exists between you and the

Platform;

(e) You should not rely on Platform Documents without independent

verification;

(f) The Platform accepts no responsibility for your use of documents.

  1. No Warranty or Guarantee

7.1 The Platform makes NO warranty or guarantee that Platform Documents:

(a) Are accurate or error-

free;

(b) Are current or up to

date;

(c) Comply with current

regulations;

(d) Are suitable for any particular

purpose;

(e) Are suitable for your

practice;

(f) Are suitable for any particular client or

matter;

(g) Will achieve any particular

outcome;

(h) Are complete or comprehensive.

Part C: Your Obligations​

  • YOU ARE SOLELY RESPONSIBLE FOR ALL DOCUMENTS YOU USE. THE PLATFORM BEARS NO RESPONSIBILITY FOR YOUR USE OF PLATFORM DOCUMENTS.
  1. Independent Review Requirement

8.1 Before using any Platform Document, you MUST:

(a) Read and review the entire

document;

(b) Verify the document is suitable for your intended

use;

(c) Check the document against current regulatory

requirements;

(d) Verify all legal references and

citations;

(e) Ensure the document is appropriate for the specific

matter;

(f) Adapt the document for your client's specific

circumstances;

(g) Have the document reviewed by an appropriately qualified person.

  • REQUIRED: Independent review is MANDATORY. Do NOT use Platform Documents without thorough review.

8.2 You must NOT:

(a) Use Platform Documents without

review;

(b) Assume Platform Documents are accurate or

current;

(c) Assume Platform Documents comply with

regulations;

(d) Use Platform Documents as a substitute for professional

judgment;

(e) Provide Platform Documents to clients without

adaptation;

(f) Represent Platform Documents as your own work product without review.

  1. Verification and Adaptation

9.1 For each Platform Document you use, you must:

(a) Verify all regulatory references are

current;

(b) Verify all legal citations are

accurate;

(c) Check against current SRA Standards and

Regulations;

(d) Check against current Law Society

guidance;

(e) Check against current FCA requirements (where applicable

);

(f) Adapt for your specific practice and

clients;

(g) Remove or modify provisions not applicable to

you;

(h) Add provisions required for your specific circumstances.

9.2 Adaptation must include consideration of:

(a) Your firm's specific policies and

procedures;

(b) The specific client's

circumstances;

(c) The specific matter

type;

(d) Any relevant accreditation

requirements;

(e) Your insurance

requirements;

(f) Local court or tribunal

requirements;

(g) Any bespoke regulatory requirements.

  1. Professional Responsibility

10.1 You acknowledge that:

(a) You bear full professional responsibility for all documents you

use;

(b) Use of Platform Documents does not reduce your professional

obligations;

(c) You cannot transfer responsibility to the

Platform;

(d) You remain liable for documents provided to

clients;

(e) Your professional indemnity insurance must cover your use of

documents;

(f) The SRA holds you, not the Platform, accountable.

  1. Regulatory Compliance

11.1 You are solely responsible for ensuring that any document you use:

(a) Complies with SRA Standards and

Regulations;

(b) Complies with SRA Code of

Conduct;

(c) Complies with SRA Transparency

Rules;

(d) Complies with SRA Accounts Rules (where applicable

);

(e) Complies with Law Society

guidance;

(f) Complies with FCA requirements (where applicable

);

(g) Complies with MLR 2017 and LSAG

2025;

(h) Complies with all other applicable regulations.

Part D: Sra Compliance​

  1. SRA Standards Compliance

12.1 Platform Documents referencing SRA requirements:

(a) Are based on SRA Standards and Regulations as understood at time of

drafting;

(b) May not reflect subsequent SRA updates or

guidance;

(c) May not reflect SRA's current

interpretation;

(d) Must be verified by you against current SRA

requirements;

(e) Are your responsibility to keep current.

12.2 You must independently verify:

(a) Current SRA Principles

requirements;

(b) Current SRA Code of Conduct

requirements;

(c) Current SRA Transparency

Rules;

(d) Current SRA Accounts

Rules;

(e) Any SRA guidance notes or

warnings;

(f) Any SRA thematic reviews affecting your practice.

  1. Client Care Requirements

13.1 Client care letter templates:

(a) Are provided as examples

only;

(b) May not include all required

information;

(c) Must be adapted for your specific

services;

(d) Must include YOUR complaints

procedure;

(e) Must include current Legal Ombudsman time

limits;

(f) Must reflect YOUR fee

arrangements;

(g) Are your professional responsibility.

  • SRA Code Rule 8.6 requires you to give clients information to make informed decisions. Platform templates are starting points only - YOU must ensure compliance.
  1. Transparency Rules

14.1 Documents relating to SRA Transparency Rules:

(a) Must be verified against current Transparency Rules

requirements;

(b) Must be updated for your specific

pricing;

(c) Must reflect your actual services and

timescales;

(d) Are your responsibility to keep current and accurate.

  1. Competence Obligation

15.1 Under SRA Code Rule 3.2 (competent service):

(a) Using inadequate or incorrect documents may breach Rule

3.2;

(b) Failing to adapt documents may be

incompetent;

(c) You must have the competence to review and adapt

documents;

(d) If you cannot competently review a document, you must seek assistance.

Part E: Law Society Requirements​

  1. Law Society Guidance

16.1 Platform Documents may reference Law Society guidance:

(a) Such references are for information

only;

(b) Law Society guidance may have been

updated;

(c) You must verify current Law Society

position;

(d) The Platform is not a Law Society

member;

(e) The Platform does not represent Law Society views.

  1. Practice Standards

17.1 Documents relating to practice standards:

(a) Are provided as general

guidance;

(b) May not reflect current best

practice;

(c) Must be verified against current

standards;

(d) Are your responsibility to implement correctly.

  1. Accreditation Requirements

18.1 If you hold Law Society accreditations (CQS,

Lexcel

, etc.):

(a) Platform Documents may not meet accreditation

requirements;

(b) You must verify documents against accreditation

standards;

(c) You must adapt documents to meet accreditation

requirements;

(d) Loss of accreditation from document use is your responsibility.

Part F: Aml/kyc Document Compliance​

  • AML/KYC COMPLIANCE IS YOUR LEGAL RESPONSIBILITY. PLATFORM AML DOCUMENTS ARE TEMPLATES ONLY AND DO NOT GUARANTEE COMPLIANCE.
  1. AML Document Templates

19.1 AML Documents provided by the Platform include:

(a) AML policy

templates;

(b) Risk assessment

templates;

(c) CDD checklists and

forms;

(d) EDD

procedures;

(e) SAR

guidance;

(f) Training

materials;

(g) Record-keeping templates.

19.2 AML Documents:

(a) Are based on MLR 2017 and LSAG as understood at time of

drafting;

(b) May not reflect subsequent amendments or

guidance;

(c) May not reflect LSAG 2025 changes (e.g., beneficial ownership threshold

);

(d) Must be verified against current MLR 2017

requirements;

(e) Must be verified against current LSAG

2025;

(f) Must be adapted for your specific practice risk

profile;

(g) Are NOT a substitute for professional AML advice.

  • LSAG 2025 changed beneficial ownership threshold from '25% or more' to 'MORE THAN 25%'. Verify all AML documents reflect current requirements.
  1. KYC Checklists and Forms

20.1 KYC documents are provided as examples. You must:

(a) Verify checklists against current CDD

requirements;

(b) Adapt forms for your specific verification

processes;

(c) Ensure forms capture all required

information;

(d) Update for any regulatory

changes;

(e) Apply professional judgment to each client situation.

  1. Risk Assessment Templates

21.1 Risk assessment templates:

(a) Are illustrative examples

only;

(b) May not cover all risk factors relevant to your

practice;

(c) Must be adapted for your specific client base and

services;

(d) Must be reviewed and updated at least

annually;

(e) Are your responsibility to maintain current and accurate.

  1. Your AML Responsibility

22.1 You acknowledge that:

(a) AML compliance is YOUR legal

obligation;

(b) Use of Platform AML documents does not guarantee

compliance;

(c) You remain liable for AML failures regardless of document

source;

(d) Criminal liability under MLR 2017 remains with

you;

(e) SRA disciplinary liability remains with

you;

(f) The Platform accepts no responsibility for your AML compliance.

Part G: Fca Compliance​

  1. FCA-Related Documents

23.1 Documents relating to FCA requirements:

(a) Are provided for general guidance

only;

(b) May not reflect current FCA rules or

guidance;

(c) Are not FCA-

approved;

(d) Must be verified against current FCA

Handbook;

(e) Are your responsibility to ensure compliance.

23.2 The Platform is NOT FCA authorised and provides no FCA advice.

  1. Consumer Duty Documentation

24.1 Documents relating to Consumer Duty:

(a) Are based on FCA guidance as understood at time of

drafting;

(b) May not reflect subsequent FCA guidance or Dear CEO

letters;

(c) Must be verified against current Consumer Duty

requirements;

(d) Are your responsibility to implement correctly.

  1. Regulated Activities

25.1 If you conduct FCA-regulated activities:

(a) Platform Documents may not meet FCA

requirements;

(b) You must verify against FCA Handbook

requirements;

(c) You must ensure documents meet your

permissions;

(d) FCA enforcement for inadequate documents is your risk.

Part H: Disclaimers​

  • PLATFORM DOCUMENTS ARE PROVIDED 'AS IS' WITHOUT ANY WARRANTY OF ANY KIND.
  1. No Warranty

26.1 Platform Documents are provided WITHOUT WARRANTY, express or implied, including:

(a) No warranty of

accuracy;

(b) No warranty of

completeness;

(c) No warranty of

currency;

(d) No warranty of

merchantability;

(e) No warranty of fitness for

purpose;

(f) No warranty of non-

infringement;

(g) No warranty of regulatory compliance.

  1. No Fitness for Purpose

27.1 The Platform makes no representation that Platform Documents are:

(a) Suitable for your

practice;

(b) Suitable for any particular

client;

(c) Suitable for any particular

matter;

(d) Suitable for any particular

purpose;

(e) Appropriate for your

jurisdiction;

(f) Appropriate for your regulatory requirements.

  1. No Regulatory Compliance Guarantee

28.1 The Platform does NOT guarantee that Platform Documents:

(a) Comply with SRA Standards and

Regulations;

(b) Comply with SRA Code of

Conduct;

(c) Comply with Law Society

requirements;

(d) Comply with FCA

requirements;

(e) Comply with MLR 2017 or

LSAG;

(f) Comply with any other regulatory

requirements;

(g) Will pass regulatory inspection or audit.

  1. Currency and Accuracy

29.1 Platform Documents:

(a) May not be current as at the date of

use;

(b) May contain errors or

omissions;

(c) May reference outdated regulations or

guidance;

(d) May not reflect recent case law or

developments;

(e) Are not updated in

real-time;

(f) May not be updated following regulatory changes.

  1. Reliance

30.1 You acknowledge that:

(a) You use Platform Documents at your own

risk;

(b) You should not rely on Platform Documents without

verification;

(c) The Platform accepts no liability for reliance on

documents;

(d) Any reliance is at your sole discretion and

risk;

(e) You must exercise independent professional judgment.

Part I: Indemnity Provisions​

  • YOU FULLY INDEMNIFY THE PLATFORM FOR ALL CLAIMS ARISING FROM YOUR USE OF PLATFORM DOCUMENTS.
  1. General Indemnity

31.1 You agree to indemnify, defend, and hold harmless the Indemnified Parties from and against all Claims and Losses arising out of or in connection with:

(a) Your use of any Platform

Document;

(b) Your adaptation of any Platform

Document;

(c) Your provision of any Platform Document (or adaptation) to

clients;

(d) Any reliance on Platform

Documents;

(e) Any errors in Platform Documents that you failed to

identify;

(f) Any regulatory non-compliance arising from document

use;

(g) Any claim by any client relating to

documents;

(h) Any

third party

claim relating to documents.

🛡 INDEMNITY: This indemnity covers ALL uses of Platform Documents, regardless of whether you reviewed or adapted them.

  1. Regulatory Indemnity

32.1 You indemnify the Indemnified Parties against Claims and Losses arising from:

(a) SRA regulatory action relating to

documents;

(b) Law Society complaints relating to

documents;

(c) FCA regulatory action relating to

documents;

(d) AML supervisory action relating to

documents;

(e) Any regulatory investigation involving Platform

Documents;

(f) Any regulatory fines or

penalties;

(g) Costs of regulatory investigations.

  1. Client Claims Indemnity

33.1 You indemnify the Indemnified Parties against Claims by clients including:

(a) Claims arising from document

errors;

(b) Claims arising from inadequate

documents;

(c) Claims arising from non-compliant

documents;

(d) Claims for professional negligence relating to

documents;

(e) Legal Ombudsman complaints relating to

documents;

(f) Any claim alleging Platform liability for documents you used.

  1. Third Party Indemnity

34.1 You indemnify the Indemnified Parties against Claims by third parties including:

(a) Opposing parties affected by document

errors;

(b) Courts or tribunals affected by document

issues;

(c) Regulators investigating document

compliance;

(d) Insurers alleging document-related

failures;

(e) Any other third party claiming against the Platform.

  1. Scope of Indemnity

35.1 The indemnities cover:

(a) Direct

losses;

(b) Third party

claims;

(c) Regulatory fines and penalties (to the extent legally permissible

);

(d) Investigation

costs;

(e) Legal fees (on an indemnity basis

);

(f) Settlement

amounts;

(g) Remediation

costs;

(h) Reputational damage mitigation.

35.2 Indemnities survive termination of your Platform registration.

35.3 Indemnities are NOT capped or limited.

Part J: Limitation of Liability​

  1. Platform Liability

36.1 To the maximum extent permitted by law, the Platform excludes all liability for:

(a) Any errors or omissions in Platform

Documents;

(b) Any use of Platform Documents by

you;

(c) Any adaptation of Platform

Documents;

(d) Any reliance on Platform

Documents;

(e) Any failure of documents to comply with

regulations;

(f) Any loss arising from document use.

  1. Exclusions

37.1 The Platform is NOT liable for:

(a) Direct damages arising from document

use;

(b) Indirect or consequential

damages;

(c) Loss of profit, revenue, or

business;

(d) Loss of reputation or

goodwill;

(e) Regulatory fines or

penalties;

(f) Client

claims;

(g) Third party

claims;

(h) Any special or punitive damages.

37.2 Nothing excludes liability for:

(a) Death or personal injury from

negligence;

(b) Fraud or fraudulent

misrepresentation;

(c) Liability that cannot be excluded by law.

  1. Caps

38.1 If any liability cannot be excluded, the Platform's total liability shall not exceed:

(a) For any single claim:

£100;

(b) For all claims in any 12-month period: £500.

38.2 You acknowledge these caps reflect the free or low-cost nature of Platform Documents and the comprehensive disclaimers.

Part K: Intellectual Property​

  1. Ownership

39.1 Platform Documents are protected by:

(a) Copyright under Copyright, Designs and Patents Act

1988;

(b) Database

rights;

(c) Other intellectual property rights.

39.2 All intellectual property in Platform Documents remains with the Platform or its licensors.

  1. Licence

40.1 The Platform grants you a limited, non-exclusive, revocable licence to:

(a) Access Platform Documents through the

Platform;

(b) Download Platform Documents for your own

use;

(c) Adapt Platform Documents for use with your

clients;

(d) Use adapted documents in your practice.

40.2 The licence is personal to you and non-transferable.

  1. Restrictions

41.1 You must NOT:

(a) Redistribute Platform Documents to third

parties;

(b) Sell or licence Platform

Documents;

(c) Remove copyright or attribution

notices;

(d) Claim Platform Documents as your original

work;

(e) Use Platform Documents for competing

services;

(f) Create derivative works for

distribution;

(g) Use documents after termination of your registration.

Part L: General Provisions​

  1. Amendments to Documents

42.1 The Platform may:

(a) Amend Platform Documents at any

time;

(b) Withdraw Platform Documents without

notice;

(c) Replace documents with updated

versions;

(d) Add new

documents;

(e) Change document formats.

42.2 You are responsible for ensuring you use current versions.

  1. Feedback and Errors

43.1 If you identify errors in Platform Documents:

(a) You may report errors to the

Platform;

(b) The Platform may but is not obliged to correct

errors;

(c) Any feedback becomes Platform

property;

(d) Error reporting does not create advisory relationship.

  1. Third Party Rights

44.1 The Contracts (Rights of Third Parties) Act 1999 applies.

44.2 Each Indemnified Party may enforce indemnities directly.

44.3 Consent of third parties is not required to vary this Agreement.

  1. Governing Law

45.1 This Agreement is governed by English law.

45.2 The courts of England and Wales have exclusive jurisdiction.

SCHEDULE 1: CATEGORIES OF PLATFORM DOCUMENTS

Category

Document Types

Key Review Requirements

Client Care

Client care letters, engagement terms, fee agreements

SRA Code Rule 8, Transparency Rules

AML/KYC

Policies, risk assessments, CDD forms, EDD checklists

MLR 2017, LSAG 2025

Compliance

Complaints procedures, data protection, GDPR

SRA Code, ICO guidance

Matter Management

File opening, conflict checks, risk assessment

SRA Code, firm procedures

FCA-Related

Consumer Duty, regulated activity documentation

FCA Handbook, Consumer Duty

HR/Employment

Staff policies, training records

Employment law, SRA requirements

Practice Management

Business continuity, supervision, quality

Law Society guidance,

Lexcel

Schedule 2: Document Review Checklist​

Before Using Any Platform Document

Review Step

Completed

Notes

Read entire document

☐

Verify document is current version

☐

Check document date/version

☐

Identify regulatory references

☐

Verify regulatory references are current

☐

Check against current SRA requirements

☐

Check against current Law Society guidance

☐

Check against MLR 2017/LSAG 2025 (if AML)

☐

Check against FCA requirements (if applicable)

☐

Assess suitability for intended use

☐

Identify required adaptations

☐

Adapt for specific client/matter

☐

Update firm-specific information

☐

Review by qualified person

☐

Sign off before use

☐

Reviewed by: _______________________________________________

Date: _______________________________________________

Document: _______________________________________________

Approved for use: ☐ Yes ☐ No (with modifications noted above)

Schedule 3: Regulatory Compliance Verification​

Verification Against Current Regulations

Regulation/Source

Verified Current

Last Check Date

By

SRA Standards and Regulations

☐

SRA Code of Conduct for Solicitors

☐

SRA Code of Conduct for Firms

☐

SRA Transparency Rules

☐

SRA Accounts Rules

☐

Law Society Practice Notes

☐

MLR 2017 (as amended)

☐

LSAG 2025

☐

FCA Handbook (if applicable)

☐

Consumer Duty (if applicable)

☐

Accreditation standards (if applicable)

☐

Overall compliance verified: ☐ Yes ☐ No

Verified by: _______________________________________________

Date: _______________________________________________

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SCHEDULE 5: DOCUMENT ADAPTATION RECORD

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Document Information​

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Legal Framework

Copyright, Designs and Patents Act 1988

Contracts (Rights of Third Parties) Act 1999

Unfair Contract Terms Act 1977

Consumer Rights Act 2015

SRA Standards and Regulations 2019 (as amended 2025)

Money Laundering Regulations 2017 (as amended)

LSAG Anti-Money Laundering Guidance 2025

FCA Handbook and Consumer Duty 2023

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Privacy Policy V1.0

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Document Version: 1.0

Effective Date: January 2026

Last Updated: January 2026

Next Review: July 2026

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  • PLATFORM DOCUMENTS ARE PROVIDED 'AS IS' WITHOUT WARRANTY. You must independently verify all documents before use. You indemnify the Platform for ALL claims arising from your use of Platform Documents. Professional responsibility for documents you

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