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Compliance

eSolicitors is designed to help you meet your regulatory obligations - not create additional ones. This page summarises the key compliance requirements for lawyers on the platform.

Your Regulator Governs You - Not eSolicitors​

eSolicitors is a technology marketplace. We are not a law firm and are not regulated by the SRA, BSB, or any other legal regulatory body. Your obligations to your regulator are unchanged by using this platform.

What the platform does is provide infrastructure that makes compliance easier:

  • Mandatory recording consent screens (logged with timestamp)
  • KYC/AML document collection from clients
  • Immutable audit trails of all platform activity
  • Mandatory AI disclaimers on all scope reports
  • Jurisdiction-verified lawyer profiles

Recording Consent - UK Law (Mandatory)​

Before any consultation recording begins, both you and the client must explicitly click a consent button. This is not optional.

Legal basis: Investigatory Powers Act 2016 - recording telephone and video calls without consent is unlawful in the UK.

The platform:

  • Blocks recording from starting until both consents are logged
  • Records the consent with a database timestamp
  • Includes the consent log in the matter audit trail

International lawyers: Check the recording consent requirements in your jurisdiction. The platform always requires both-party consent regardless of jurisdiction.

AI Disclosure (Mandatory)​

Every AI-generated scope report carries a mandatory disclaimer that cannot be removed:

"This scope was generated with AI assistance and has been reviewed and approved by your solicitor. It does not constitute legal advice."

SRA guidance: The SRA has indicated that AI tools can be used in legal practice provided that: (1) the lawyer retains professional responsibility for the output, and (2) clients are informed. The platform's review-and-approve workflow and mandatory disclaimer satisfy both requirements.

You review every scope report before it is sent to a client. By clicking "Approve," you confirm you have reviewed and take professional responsibility for the content.

AML / KYC Obligations​

As a regulated lawyer, you have statutory Anti-Money Laundering (AML) and Know Your Client (KYC) obligations before accepting instructions.

The platform facilitates - but does not replace - your AML/KYC process:

  • Clients provide identity documents and source of funds declarations via the platform
  • You can view these documents in the matter dashboard
  • The platform logs when documents are submitted and reviewed
  • You remain responsible for conducting your own risk assessment and CDD (Customer Due Diligence)

Money Laundering Regulations 2017 (UK): You must conduct CDD before establishing a business relationship with a client. Do not proceed with a matter until your AML checks are complete, regardless of what the platform status shows.

Source of Funds​

The UK Client Terms & Conditions require clients to complete a Source of Funds declaration. This is collected via the platform before a matter can commence.

You are still required to conduct your own source of funds checks in accordance with your firm's AML policy and the Money Laundering Regulations.

Conflict of Interest Checks​

The platform does not currently run automated conflict of interest checks (this is a planned future feature). You remain responsible for conducting conflict checks before accepting instructions from a new client, in accordance with your regulatory requirements (SRA Code of Conduct principle 6.1 for solicitors; BSB Handbook rC21 for barristers).

GDPR and Data Protection​

Client data accessed through the platform is subject to UK GDPR. As a data controller for client data you process in the course of providing legal services, you must:

  • Have a lawful basis for processing personal data
  • Provide clients with a privacy notice (the platform provides your clients with its own privacy notice covering platform data; you are responsible for your own practice's data)
  • Not retain personal data longer than necessary
  • Maintain appropriate technical and organisational security measures

The platform provides a Privacy Notice Template in the Lawyer Templates section that you can adapt for your practice.

GDPR for UK Solicitors​

Consultation recordings are automatically deleted after 30 days by the platform. This applies to all recordings regardless of matter status. If you need to retain a record of the consultation content, download and store it in your own client management system before the 30-day window expires.

Billing Transparency (SRA Transparency Rules)​

The SRA's Transparency Rules require solicitors to publish price information for certain services. The platform's service listing system is designed to support compliance:

  • Service listings show your fee or fee range
  • The scope report shows the agreed matter price before the client commits
  • Disbursements are disclosed to clients before collection

Practising Certificate Renewal​

Your verification status will be paused if your practising certificate expires. Upload your renewed certificate as soon as you receive it from your regulatory body:

Go to Lawyer Portal → Verify → Step 2 (Practising Certificate) → Upload New Certificate

You receive an email reminder before your certificate expires.

PII Insurance Renewal​

Similarly, upload your renewed PII certificate before expiry. A lapse in PII will pause your account.

Jurisdiction-Specific Compliance​

England & Wales Solicitors (SRA)​

  • SRA Code of Conduct 2019 applies in full
  • Accounts Rules apply to client money - the platform's escrow is not client money for the purposes of the Accounts Rules
  • SRA Transparency Rules - service listings should reflect accurate pricing
  • Indemnity insurance: SRA minimum terms apply

England & Wales Barristers (BSB)​

  • BSB Handbook applies in full
  • Direct access work through the platform is permitted for Public Access barristers
  • PII via Bar Mutual Indemnity Fund (BMIF)

Scotland (Law Society of Scotland)​

  • Law Society of Scotland Practice Rules apply
  • The platform treats Scottish solicitors the same as SRA-regulated solicitors for verification purposes

United States Attorneys​

  • State bar rules of professional conduct apply (varies by state)
  • Model Rules of Professional Conduct (ABA) provide baseline
  • Confirm that your state bar rules permit the fee arrangements used on the platform

International Lawyers​

  • Your local regulatory framework applies
  • Confirm with your regulatory body that using an international platform is permitted under your rules