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PII Verification

For Qualified Solicitors​

SRA Compliance Validation and PII Verification

E-Solicitors Legal Services Marketplace

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Mandatory Compliance Gateway​

Validation | Verification | Ongoing Compliance

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Version 1.0 - January 2026

England and Wales

Important Notice to Solicitors​

  • BY REGISTERING ON THE PLATFORM, YOU MUST VALIDATE YOUR SRA COMPLIANCE AND VERIFY YOUR PROFESSIONAL INDEMNITY INSURANCE BEFORE PROVIDING ANY LEGAL ADVICE OR SERVICES THROUGH THE PLATFORM.

Mandatory Pre-Registration Requirements

  • REQUIRED: Valid SRA authorisation as a solicitor or authorised firm

  • REQUIRED: Current practising certificate without restrictions preventing Platform use

  • REQUIRED: Professional Indemnity Insurance meeting SRA minimum requirements

  • REQUIRED: Compliance with SRA Standards and Regulations

  • REQUIRED: AML policies and procedures in place

  • REQUIRED: Complaints procedure compliant with SRA requirements

What This Agreement Requires

This Agreement establishes the mandatory compliance gateway for solicitors wishing to provide legal services through the Platform. You must:

Validate your SRA registration and authorisation status

Provide evidence of Professional Indemnity Insurance

Confirm compliance with all SRA regulatory requirements

Undertake ongoing compliance monitoring

Notify the Platform immediately of any changes to your regulatory status

Consequences of Non-Compliance

  • You CANNOT provide legal advice through the Platform without validated SRA compliance

  • You CANNOT provide legal services without verified PII in place

  • Non-compliance will result in immediate suspension from the Platform

  • Regulatory breaches will be reported to the SRA

Contents​

Part A: General Terms​

  1. Definitions

  2. Platform Status

  3. Scope of This Agreement

Part B: Sra Compliance Validation​

  1. SRA Authorisation Validation

  2. Practising Certificate Requirements

  3. SRA Principles Compliance

  4. SRA Code of Conduct Compliance

  5. Firm Authorisation (Where Applicable)

Part C: Professional Indemnity Insurance Verification​

  1. PII Requirements

  2. Minimum Cover Levels

  3. PII Evidence Requirements

  4. Ongoing PII Monitoring

  5. Run-Off Cover

Part D: Additional Sra Requirements​

  1. SRA Transparency Rules

  2. SRA Accounts Rules

  3. Client Care Requirements

  4. Complaints Handling

  5. COLP and COFA Obligations

Part E: Aml/kyc Compliance​

  1. AML Supervisory Status

  2. Risk Assessment Requirements

  3. CDD Obligations

  4. Sanctions Screening

Part F: Law Society Requirements​

  1. Law Society Membership

  2. Practice Management Standards

  3. Accreditation and Quality Marks

Part G: Fca Requirements​

  1. FCA Regulated Activities

  2. Consumer Duty Compliance

  3. Insurance Mediation

  4. Claims Management

Part H: Referral Fee Compliance​

  1. SRA Rule 5.1 Compliance

  2. LASPO Prohibition

  3. Disclosure Requirements

Part I: Ongoing Compliance Monitoring​

  1. Continuous Validation

  2. Annual Verification

  3. Change Notification

  4. Audit Rights

Part J: General Provisions​

  1. Warranties and Representations

  2. Suspension and Termination

  3. Liability

  4. Data Protection

  5. Governing Law

Schedules​

Schedule 1: SRA Compliance Declaration

Schedule 2: PII Verification Checklist

Schedule 3: AML Compliance Checklist

Schedule 4: FCA Regulated Activities Checklist

Schedule 5: Annual Compliance Certificate

Part A: General Terms​

  1. Definitions

1.1 In these Terms, the following definitions apply:

'Authorised Body' means a body authorised by the SRA to provide reserved legal activities (Recognised Body, Licensed Body, or Recognised Sole Practice).

'COFA' means Compliance Officer for Finance and Administration.

'COLP' means Compliance Officer for Legal Practice.

'Compliance Gateway' means the mandatory validation and verification process required before providing services through the Platform.

'FCA' means the Financial Conduct Authority.

'Firm' means an Authorised Body through which you practise (where applicable).

'LSAG 2025' means the Legal Sector Affinity Group Anti-Money Laundering Guidance 2025.

'MLR 2017' means the Money Laundering Regulations 2017 (as amended).

'PII' means Professional Indemnity Insurance complying with SRA Indemnity Insurance Rules 2023.

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

'Practising Certificate' means a practising certificate issued by the SRA.

'Qualifying Insurer' means an insurer meeting SRA requirements.

'SRA' means the Solicitors Regulation Authority.

'SRA Code' means the SRA Code of Conduct for Solicitors, RELs and RFLs and the SRA Code of Conduct for Firms.

'SRA Principles' means the seven SRA Principles.

'SRA Register' means the public register of solicitors maintained by the SRA at www.sra.org.uk/consumers/register/.

'You/Your' means the solicitor or Authorised Body registering on the Platform.

  1. Platform Status

2.1 You acknowledge that the Platform:

(a) Is a technology marketplace facilitating connections with clients;

(b) Is NOT a law firm or Authorised Body;

(c) Is NOT regulated by the SRA;

(d) Is NOT a member of The Law Society;

(e) Is NOT authorised by the FCA (unless separately stated);

(f) Does NOT provide legal services;

(g) Does NOT hold client money.

  1. Scope of This Agreement

3.1 This Agreement establishes:

(a) The mandatory Compliance Gateway requirements;

(b) Validation requirements for SRA authorisation;

(c) Verification requirements for PII;

(d) Ongoing compliance obligations;

(e) Consequences of non-compliance.

3.2 You CANNOT provide legal advice or services through the Platform until:

(a) Your SRA authorisation has been validated;

(b) Your PII has been verified;

(c) You have completed all Compliance Gateway requirements;

(d) Your registration has been approved.

Part B: Sra Compliance Validation​

⛔ You Must Validate Your Sra Compliance Before Providing Any Legal Services Through the Platform.​

  1. SRA Authorisation Validation

4.1 You must provide evidence of SRA authorisation:

(a) Your full name as it appears on the SRA Register;

(b) Your SRA ID number;

(c) Date of admission to the Roll;

(d) Current practising certificate status;

(e) Any conditions on your practising certificate;

(f) Your practising address.

4.2 The Platform will verify your details against the SRA Register.

4.3 You warrant that the information provided is accurate and complete.

4.4 Validation will be REJECTED if:

(a) You do not appear on the SRA Register;

(b) Your practising certificate is suspended;

(c) You have been struck off the Roll;

(d) You have conditions preventing the services you wish to offer;

(e) Your details do not match the SRA Register.

  1. Practising Certificate Requirements

5.1 You warrant that you hold a current practising certificate that:

(a) Is valid and in force;

(b) Has been renewed for the current practising year;

(c) Is not subject to conditions preventing Platform use;

(d) Permits the type of work you intend to undertake.

5.2 Practising certificate types:

Certificate Type

Permitted Activities

Platform Eligibility

Full practising certificate

All legal services

Yes

Certificate with conditions

As permitted by conditions

Subject to conditions

Non-practising (suspended)

None

No

Struck off

None

No

5.3 You must notify the Platform within 7 days if:

(a) Your practising certificate is not renewed;

(b) Conditions are imposed on your certificate;

(c) Your certificate is suspended or revoked;

(d) You are subject to SRA regulatory action.

  1. SRA Principles Compliance

6.1 You warrant ongoing compliance with the seven SRA Principles:

Principle 1: You act in a way that upholds the constitutional principle of the rule of law, and the proper administration of justice.

Principle 2: You act in a way that upholds public trust and confidence in the solicitors' profession and in legal services provided by authorised persons.

Principle 3: You act with independence.

Principle 4: You act honestly.

Principle 5: You act with integrity.

Principle 6: You act in a way that encourages equality, diversity and inclusion.

Principle 7: You act in the best interests of each client.

6.2 Where Principles conflict, Principles 1 and 2 (wider public interest) take precedence over Principle 7 (individual client interests).

  1. SRA Code of Conduct Compliance

7.1 You warrant compliance with the SRA Code of Conduct, including:

Maintaining Trust and Acting Fairly

Rule 1.1: Not unfairly discriminate;

Rule 1.2: Not abuse your position;

Rule 1.4: Only act on proper instructions.

Dispute Resolution and Proceedings

Rule 2.1: Not misuse court/tribunal processes;

Rule 2.2: Not make misleading submissions;

Rule 2.4: Not place yourself in contempt of court.

Service and Competence

Rule 3.2: Ensure service is competent and delivered in a timely manner;

Rule 3.3: Maintain competence and legal knowledge;

Rule 3.4: Consider client's attributes, needs and circumstances;

Rule 3.5: Ensure supervision arrangements are effective.

Client Money and Assets

Rule 4.2: Safeguard client money and assets;

Rule 4.3: Not personally hold client money without appropriate authorisation.

Referrals, Introductions and Third Parties

Rule 5.1: Ensure referral arrangements do not compromise interests;

Rule 5.2: Not pay prohibited referral fees.

Conflict of Interest

Rule 6.1: Not act where own interest conflicts with client;

Rule 6.2: Not act where there is a conflict between clients.

Confidentiality and Disclosure

Rule 6.3: Keep client affairs confidential;

Rule 6.4: Make clients aware of material information.

Client Information and Publicity

Rule 8.6: Give clients information to make informed decisions;

Rule 8.7: Ensure clients receive best possible costs information;

Rule 8.9: Inform clients of their right to complain;

Rule 8.11: Ensure communications are not misleading.

  1. Firm Authorisation (Where Applicable)

8.1 If you practise through an Authorised Body, you must also provide:

(a) Firm name and SRA ID;

(b) Firm authorisation type (Recognised Body, Licensed Body, RSP);

(c) COLP and COFA details;

(d) Confirmation of firm's PII arrangements;

(e) Confirmation firm has no conditions preventing Platform use.

Part C: Professional Indemnity Insurance Verification​

  • YOU MUST VERIFY YOUR PROFESSIONAL INDEMNITY INSURANCE BEFORE PROVIDING ANY LEGAL ADVICE THROUGH THE PLATFORM. PROVIDING LEGAL SERVICES WITHOUT ADEQUATE PII IS A SERIOUS REGULATORY BREACH.
  1. PII Requirements

9.1 You warrant that you/your firm hold PII that:

(a) Complies with SRA Indemnity Insurance Rules 2023;

(b) Meets minimum cover requirements for your practice type;

(c) Is provided by a Qualifying Insurer;

(d) Covers all services you provide through the Platform;

(e) Remains in force throughout your registration.

9.2 PII must cover:

(a) Civil liability arising from legal practice;

(b) Claims for breach of professional duty;

(c) Claims for negligent advice;

(d) Loss of documents;

(e) Dishonesty of employees (with appropriate cover).

  1. Minimum Cover Levels

10.1 Minimum indemnity cover required:

Practice Type

Minimum Cover

SRA Rule Reference

Recognised Bodies

£2,000,000

Rule 4.1

Licensed Bodies

£1,000,000

Rule 4.1

Recognised Sole Practices

£500,000

Rule 4.1

Freelance Solicitors

Per SRA Requirements

Individual cover

10.2 These are MINIMUM requirements. You must ensure cover is adequate for:

(a) The nature of work undertaken;

(b) The value of matters handled;

(c) The risk profile of your practice;

(d) Any specific client requirements.

  1. PII Evidence Requirements

11.1 You must provide the following PII evidence:

  • REQUIRED: Certificate of insurance or policy schedule

  • REQUIRED: Name of insurer (must be Qualifying Insurer)

  • REQUIRED: Policy number

  • REQUIRED: Indemnity limit

  • REQUIRED: Policy period (inception and expiry dates)

  • REQUIRED: Confirmation cover extends to Platform services

11.2 You must provide updated evidence:

(a) At initial registration;

(b) On each policy renewal;

(c) If the insurer or cover changes;

(d) On request by the Platform.

11.3 The Platform may verify PII directly with insurers where permitted.

  1. Ongoing PII Monitoring

12.1 You warrant that throughout your registration:

(a) PII cover will remain continuously in force;

(b) Cover will meet or exceed minimum requirements;

(c) You will notify the Platform immediately of any lapse or reduction;

(d) You will provide renewal evidence within 14 days of renewal.

12.2 The Platform will monitor PII status and may:

(a) Request evidence of cover at any time;

(b) Suspend your registration if evidence is not provided;

(c) Verify cover with insurers where permitted;

(d) Terminate registration if cover lapses.

  • If your PII lapses, you must immediately cease providing legal services through the Platform. Continued practice without PII is a serious regulatory breach.
  1. Run-Off Cover

13.1 If you cease practising or leave the Platform:

(a) Run-off cover must be maintained in accordance with SRA Rules;

(b) You must notify the Platform of run-off arrangements;

(c) Run-off cover must extend to work done through the Platform.

Part D: Additional Sra Requirements​

  1. SRA Transparency Rules

14.1 You warrant compliance with SRA Transparency Rules 2019 for specified services:

Service

Pricing Info Required

Additional Requirements

Residential conveyancing

Yes - price/range

Key stages, timescales

Probate (uncontested)

Yes - price/range

Key stages, timescales

Motoring offences (summary)

Yes - price/range

Key stages

Employment tribunals

Yes - price/range

Key stages

Immigration

Yes - price/range

Key stages

Debt recovery (up to £100k)

Yes - price/range

Key stages

Licensing applications

Yes - price/range

Key stages

14.2 Where you offer these services through the Platform, you must:

(a) Publish pricing information as required;

(b) Provide information about service stages and timescales;

(c) Publish complaints procedure and Legal Ombudsman details;

(d) Provide regulatory status information.

  1. SRA Accounts Rules

15.1 Where you hold client money, you warrant compliance with SRA Accounts Rules 2019:

(a) Client money held in client account at appropriate bank;

(b) Proper accounting records maintained;

(c) Client money kept separate from office money;

(d) Accountant's reports obtained where required;

(e) COFA oversight of financial compliance.

ℹ Freelance Solicitors CANNOT hold client money. If you are a Freelance Solicitor, confirm this restriction applies.

  1. Client Care Requirements

16.1 Under SRA Code Rule 8, you must provide clients with:

(a) Name and status of person responsible for the matter;

(b) Name of supervising partner/manager (if applicable);

(c) Clear description of work to be done;

(d) Costs information (basis, estimate, updates);

(e) Complaints procedure;

(f) Legal Ombudsman contact details INCLUDING TIME LIMITS;

(g) SRA contact details;

(h) Data protection notice.

16.2 Legal Ombudsman time limits that MUST be communicated:

  • REQUIRED: Within 1 YEAR of the date of the act or omission

  • REQUIRED: Within 6 YEARS of the act or omission (longstop)

  • REQUIRED: Within 6 MONTHS of receiving your final response

  1. Complaints Handling

17.1 You warrant that you have a complaints procedure that:

(a) Is in writing and available to clients;

(b) Allows complaints to be made by any reasonable means;

(c) Provides for acknowledgment within a reasonable time;

(d) Provides for investigation and response;

(e) Provides for final response within 8 weeks;

(f) Informs clients of the Legal Ombudsman.

  1. COLP and COFA Obligations

18.1 If you practise through an Authorised Body:

(a) COLP must have approved this arrangement;

(b) COLP is responsible for compliance monitoring;

(c) COFA must ensure financial compliance;

(d) Material breaches must be reported to the SRA.

Part E: Aml/kyc Compliance​

  • AML COMPLIANCE IS A LEGAL REQUIREMENT. THE PLATFORM DOES NOT CONDUCT AML CHECKS - YOU ARE SOLELY RESPONSIBLE.
  1. AML Supervisory Status

19.1 You warrant that:

(a) The SRA is your AML supervisor;

(b) You are subject to MLR 2017 for relevant legal activities;

(c) You have registered with the SRA for AML supervision;

(d) You have not been subject to AML enforcement action.

  1. Risk Assessment Requirements

20.1 You warrant that you have:

(a) A written firm-wide/practice-wide risk assessment;

(b) Risk assessment reviewed within the last 12 months;

(c) Policies, controls and procedures based on risk assessment;

(d) Independent audit function or review (where required).

  1. CDD Obligations

21.1 You warrant compliance with CDD requirements:

(a) Identify the client - full name, DOB, address;

(b) Verify identity from reliable, independent source;

(c) Identify beneficial owners (MORE THAN 25% per LSAG 2025);

(d) Understand the purpose of the business relationship;

(e) Conduct ongoing monitoring.

  • LSAG 2025: Beneficial owner threshold changed from '25% or more' to 'MORE THAN 25%'. Ensure your procedures reflect this change.

21.2 Enhanced Due Diligence is MANDATORY for:

(a) Politically Exposed Persons (PEPs) - foreign AND domestic;

(b) High-risk third countries (per FATF/HMT lists);

(c) Complex or unusually large transactions;

(d) Any situation presenting higher money laundering risk.

  1. Sanctions Screening

22.1 You warrant that you screen all clients against:

(a) UK Consolidated List (OFSI);

(b) UN Sanctions Lists;

(c) EU Sanctions Lists (where relevant);

(d) OFAC Lists (for US-connected matters).

  • Providing services to sanctioned persons is a CRIMINAL OFFENCE under SAMLA 2018. If you identify a sanctions match, you must NOT proceed and must report appropriately.

Part F: Law Society Requirements​

  1. Law Society Membership

23.1 You acknowledge that:

(a) Membership of The Law Society is separate from SRA regulation;

(b) The Platform does not require Law Society membership;

(c) If you are a member, you should comply with member obligations;

(d) Certain accreditations require Law Society membership.

  1. Practice Management Standards

24.1 You warrant that you maintain appropriate practice management including:

(a) Proper file management and record keeping;

(b) Supervision arrangements for staff;

(c) Conflict checking procedures;

(d) Risk management procedures;

(e) Business continuity arrangements;

(f) Cyber security measures.

  1. Accreditation and Quality Marks

25.1 If you hold any Law Society accreditations or quality marks:

(a) You may display these on your Platform profile;

(b) You must maintain the requirements of each accreditation;

(c) You must remove accreditations if they lapse;

(d) You must not misrepresent accreditation status.

25.2 Common accreditations include:

(a) Conveyancing Quality Scheme (CQS);

(b) Lexcel Practice Management Standard;

(c) Family Law Accreditation;

(d) Criminal Litigation Accreditation;

(e) Immigration and Asylum Accreditation;

(f) Personal Injury Accreditation.

Part G: Fca Requirements​

  1. FCA Regulated Activities

26.1 Certain activities require FCA authorisation or exemption:

Activity

FCA Regulated?

Solicitor Position

Insurance mediation

Yes

Exempt if incidental to legal services

Consumer credit

Yes

Exempt for certain legal activities

Claims management

Yes

Authorisation required if principal activity

Debt activities

Yes

Exempt for certain legal activities

Investment advice

Yes

Exempt if incidental to legal services

26.2 You warrant that:

(a) You understand which activities are FCA regulated;

(b) You operate within applicable exemptions;

(c) If you conduct regulated activities, you are appropriately authorised;

(d) You will notify the Platform if your FCA status changes.

  1. Consumer Duty Compliance

27.1 Where FCA Consumer Duty applies, you warrant compliance with:

(a) The Consumer Principle - act to deliver good outcomes for retail customers;

(b) Products and Services Outcome - products meet customer needs;

(c) Price and Value Outcome - fair value provided;

(d) Consumer Understanding Outcome - customers can make informed decisions;

(e) Consumer Support Outcome - customers supported throughout relationship.

  1. Insurance Mediation

28.1 If you arrange insurance (including ATE/BTE insurance):

(a) Insurance Distribution Directive requirements may apply;

(b) You must disclose commission arrangements;

(c) You must provide Insurance Product Information Document (IPID) where required;

(d) You must act in the customer's best interests.

  1. Claims Management

29.1 If you conduct claims management activities:

(a) FCA authorisation is required unless exempt;

(b) Claims management rules apply;

(c) Fee caps apply to financial services and PPI claims;

(d) Customer outcomes must be prioritised.

Part H: Referral Fee Compliance​

  1. SRA Rule 5.1 Compliance

30.1 Under SRA Code Rule 5.1, any referral arrangement must:

(a) Not compromise client interests;

(b) Ensure clients are informed of the arrangement;

(c) Not affect your independence;

(d) Be permitted by law.

30.2 You must disclose to clients:

(a) That you may pay/receive referral fees;

(b) The source of the referral;

(c) That the fee does not increase their costs;

(d) That your independence is not affected.

  1. LASPO Prohibition
  • Referral fees for personal injury and clinical negligence claims are PROHIBITED by LASPO 2012 sections 56-60. Breach is a CRIMINAL OFFENCE with maximum £50,000 fine.

31.1 You warrant that you will NOT:

(a) Pay any referral fee for a personal injury matter;

(b) Pay any referral fee for a clinical negligence matter;

(c) Receive any referral fee for these matters;

(d) Enter into any arrangement 'in substance' a prohibited referral fee.

31.2 Excluded matters (no referral fee payable):

  • Personal injury claims (all types)

  • Clinical/medical negligence claims

  • Industrial disease claims

  • Road traffic accident injury claims

  • Employers' liability claims

  • Public liability injury claims

  1. Disclosure Requirements

32.1 You warrant that you will disclose referral arrangements:

(a) In your client care letter;

(b) Before or at the time of engagement;

(c) In writing;

(d) In plain language the client can understand.

Part I: Ongoing Compliance Monitoring​

  1. Continuous Validation

33.1 The Platform will conduct ongoing monitoring including:

(a) Periodic verification against the SRA Register;

(b) Monitoring for SRA regulatory announcements;

(c) PII renewal tracking;

(d) Response to complaints or concerns.

33.2 You must cooperate with monitoring and provide information promptly.

  1. Annual Verification

34.1 You must complete annual verification including:

(a) Confirmation of continued SRA authorisation;

(b) Updated PII evidence following renewal;

(c) Confirmation of continued compliance with these Terms;

(d) Disclosure of any regulatory issues during the year;

(e) Completion of Annual Compliance Certificate (Schedule 5).

34.2 Annual verification must be completed within 30 days of:

(a) The anniversary of your registration; OR

(b) Your practising certificate renewal date.

  1. Change Notification

35.1 You must notify the Platform IMMEDIATELY (within 7 days) of:

(a) Any change to your SRA authorisation status;

(b) Any conditions imposed on your practising certificate;

(c) Any SRA investigation or disciplinary proceedings;

(d) Any lapse or change in PII cover;

(e) Any material change to your practice;

(f) Any change to COLP or COFA (for firms);

(g) Any intervention or administration.

  1. Audit Rights

36.1 The Platform reserves the right to:

(a) Request evidence of compliance at any time;

(b) Verify information provided with regulators and insurers;

(c) Conduct compliance audits;

(d) Suspend registration pending verification.

Part J: General Provisions​

  1. Warranties and Representations

37.1 By accepting these Terms, you warrant and represent that:

(a) All information provided is true, accurate, and complete;

(b) You are authorised to enter into this Agreement;

(c) You hold all required authorisations and insurance;

(d) You are in compliance with all regulatory requirements;

(e) You will maintain compliance throughout your registration;

(f) You will notify the Platform of any material changes.

37.2 These warranties are fundamental terms. Breach may result in immediate termination and regulatory reporting.

  1. Suspension and Termination

38.1 The Platform may suspend your registration immediately if:

(a) Your SRA authorisation lapses or is suspended;

(b) Your PII lapses or is inadequate;

(c) You fail to provide required evidence;

(d) You breach any material term;

(e) You are subject to SRA regulatory action;

(f) There are concerns about your compliance.

38.2 The Platform may terminate your registration:

(a) On 30 days' notice for any reason;

(b) Immediately for material breach;

(c) Immediately if you are struck off or disbarred;

(d) Immediately for LASPO breach.

38.3 On suspension or termination:

(a) You must cease using the Platform immediately;

(b) You must complete or transfer existing matters;

(c) You must comply with run-off requirements;

(d) Accrued obligations remain in force.

  1. Liability

39.1 The Platform is not liable for:

(a) The quality of your legal services;

(b) Any advice you give;

(c) Your regulatory breaches;

(d) Indirect or consequential losses.

39.2 You indemnify the Platform against claims arising from:

(a) Your breach of these Terms;

(b) Your provision of legal services;

(c) Your regulatory breaches;

(d) Misrepresentation of your compliance status.

  1. Data Protection

40.1 Each party shall comply with UK GDPR and Data Protection Act 2018.

40.2 Your personal data is processed per our Privacy Policy.

40.3 You remain responsible for your clients' data protection.

  1. Governing Law

41.1 These Terms are governed by English law.

41.2 The courts of England and Wales have exclusive jurisdiction.

Schedule 1: Sra Compliance Declaration​

I hereby declare and confirm that:

Declaration

Confirmed

I am admitted as a solicitor of England and Wales

☐

I hold a current practising certificate

☐

My practising certificate has no conditions preventing Platform use

☐

I am in good standing with the SRA

☐

I am not subject to any ongoing SRA investigation

☐

I have not been subject to disciplinary findings in the last 5 years

☐

I will comply with all SRA Principles

☐

I will comply with the SRA Code of Conduct

☐

I have appropriate PII in place

☐

I have appropriate AML policies and procedures

☐

I have a complaints procedure in place

☐

I will notify the Platform of any regulatory changes

☐

If you have been subject to regulatory findings or have conditions on your practising certificate, please provide details:

Schedule 2: Pii Verification Checklist​

PII Requirement

Evidence Provided

Certificate of insurance or policy schedule

☐

Name of Qualifying Insurer

☐

Policy number

☐

Indemnity limit (meets SRA minimum)

☐

Policy inception date

☐

Policy expiry date

☐

Excess/deductible amount

☐

Confirmation cover extends to Platform services

☐

Confirmation no material exclusions

☐

Run-off cover arrangements (if applicable)

☐

PII Details

Insurer name: _______________________________________________

Policy number: _______________________________________________

Indemnity limit: £_______________________________________________

Policy period: From _______________ To _______________

Schedule 3: Aml Compliance Checklist​

AML Requirement

Confirmed

Registered with SRA for AML supervision

☐

Firm-wide/practice-wide risk assessment completed

☐

Risk assessment reviewed within last 12 months

☐

Written AML policies and procedures in place

☐

CDD procedures documented

☐

Beneficial ownership verification (>25% threshold)

☐

EDD procedures for PEPs and high-risk

☐

OFSI sanctions screening procedures

☐

SAR reporting procedures understood

☐

5-year record retention system in place

☐

Staff AML training completed

☐

MLRO designated (or sole practitioner responsible)

☐

Schedule 4: Fca Regulated Activities Checklist​

Activity

Do You Conduct This?

Basis for Conducting

Insurance mediation (incl. ATE/BTE)

☐ Yes ☐ No

☐ Exempt ☐ Authorised

Consumer credit activities

☐ Yes ☐ No

☐ Exempt ☐ Authorised

Claims management

☐ Yes ☐ No

☐ Exempt ☐ Authorised

Debt administration

☐ Yes ☐ No

☐ Exempt ☐ Authorised

Investment advice

☐ Yes ☐ No

☐ Exempt ☐ Authorised

Mortgage advice

☐ Yes ☐ No

☐ Exempt ☐ Authorised

If authorised by the FCA, provide FRN: _______________________________________________

Schedule 5: Annual Compliance Certificate​

Annual Verification - Year: _______

I confirm that as at the date of this certificate:

Confirmation

Tick

My SRA authorisation remains valid and unrestricted

☐

My practising certificate is current

☐

I have not been subject to any SRA regulatory action this year

☐

My PII remains in force and meets SRA requirements

☐

I remain compliant with SRA Principles and Code

☐

My AML risk assessment has been reviewed this year

☐

My complaints procedure is operational

☐

I have disclosed all material changes to the Platform

☐

I have not breached LASPO referral fee prohibition

☐

I have complied with all terms of this Agreement

☐

Signed: _______________________________________________

Name: _______________________________________________

SRA ID: _______________________________________________

Date: _______________________________________________

Document Information​

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Regulatory Framework

Legal Services Act 2007

Solicitors Act 1974

SRA Standards and Regulations 2019 (as amended 2025)

SRA Principles

SRA Code of Conduct for Solicitors, RELs and RFLs

SRA Code of Conduct for Firms

SRA Indemnity Insurance Rules 2023

SRA Accounts Rules 2019

SRA Transparency Rules 2019

Money Laundering Regulations 2017 (as amended)

LSAG Anti-Money Laundering Guidance 2025

LASPO 2012 (ss.56-60)

FCA Consumer Duty 2023

UK GDPR and Data Protection Act 2018

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Related Documents

Solicitor Terms and Conditions V1.0

Platform Terms for Law Firms V1.0

Freelance Solicitor Terms V1.0

Referral Agreement V1.0

Privacy Policy V1.0

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Document Version: v.0

Effective Date: January 2026

Last Updated: January 2026

Next Review: July 2026

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