Pre-Engagement & Conflicts
FOR PRE-ENGAGEMENT AND
Conflicts Checks
E-Solicitors Marketplace
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SOLICITOR PRE-ENGAGEMENT ASSESSMENT FRAMEWORK
Regulatory Compliance Requirements
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Version 1.0 - January 2026
England and Wales
INTERNAL DOCUMENT - NOT FOR CLIENT DISTRIBUTION
Important Notice to Solicitors
- THESE TERMS GOVERN THE MANDATORY PRE-ENGAGEMENT CHECKS THAT MUST BE COMPLETED BEFORE A SOLICITOR CAN ACCEPT INSTRUCTIONS FROM A BUYER THROUGH THE PLATFORM.
These Terms and Conditions for Pre-Engagement and Conflicts Checks ('Pre-Engagement Terms') constitute a legally binding agreement between you (the 'Solicitor') and [Platform Name] (the 'Platform') governing the pre-engagement assessment process.
By using the Platform's pre-engagement features and accepting these Pre-Engagement Terms, you confirm that:
You have read, understood, and agree to be bound by these Pre-Engagement Terms
You are a registered Solicitor on the Platform and have accepted the main Solicitor Terms and Conditions V2.2
You understand that pre-engagement checks are MANDATORY before accepting any instructions
You will conduct thorough conflicts checks in accordance with SRA Code Rules 6.1-6.2
You will assess competence and capacity before accepting any matter
You will conduct preliminary AML risk assessment in accordance with MLR 2017, LSAG 2025, and ECCTA 2023
You will identify and appropriately support vulnerable clients (SRA Code Rules 3.4, 6.2)
You will comply with consumer protection requirements (CRA 2015, CCR 2013, DMCCA 2024)
You will NOT issue a Client Care Letter until all pre-engagement checks are satisfactorily completed
ℹ These Pre-Engagement Terms incorporate compliance obligations derived from: SRA Standards and Regulations 2019 (as amended 2025), SRA Code of Conduct Rules 6.1-6.2 (Conflicts), SRA Code of Conduct Rules 3.1-3.5 (Competence), SRA Code Rules 3.4 and 6.2 (Vulnerable Clients), Money Laundering Regulations 2017 (as amended), LSAG Anti-Money Laundering Guidance 2025, Economic Crime and Corporate Transparency Act 2023, Consumer Rights Act 2015, Consumer Contracts Regulations 2013, Digital Markets, Competition and Consumers Act 2024, Equality Act 2010, and Mental Capacity Act 2005.
The Pre-Engagement Phase
The pre-engagement phase is the critical period between:
A Buyer expressing interest in instructing a Solicitor through the Platform; and
The Solicitor issuing a Client Care Letter and formally accepting instructions.
- IMPORTANT: No solicitor-client relationship exists during the pre-engagement phase. The Solicitor has no retainer and owes no duties as a retained solicitor until pre-engagement checks are complete and a Client Care Letter is signed.
Relationship to Main Terms
These Pre-Engagement Terms supplement and should be read together with:
Solicitor Terms and Conditions V2.2
Buyer Terms and Conditions V2.2
Platform Website Terms and Conditions V2.0
Privacy Policy V2.0
Part A: General Provisions
1. Definitions and Interpretation
1.1 In these Pre-Engagement Terms, unless the context otherwise requires, the following definitions apply in addition to definitions in the main Solicitor Terms and Conditions:
"AML" means anti-money laundering, including compliance with the Money Laundering Regulations 2017 (as amended), LSAG 2025, and ECCTA 2023.
"Beneficial Owner" means an individual who ultimately owns or controls MORE THAN 25% of a legal entity (per LSAG 2025).
"Buyer" means an individual or entity seeking legal services through the Platform who has not yet become a Client.
"Capacity" means the Solicitor's ability to take on and properly service additional work given existing workload and resources.
"Client" means a Buyer who has completed the pre-engagement process and been formally accepted as a client through a signed Client Care Letter.
"Client Care Letter" means the formal letter of engagement issued by the Solicitor setting out the terms on which they will act, as required by SRA rules.
"Competence" means the knowledge, skills, and experience required to handle a particular matter properly.
"Conflict" or "Conflict of Interest" means a situation where the Solicitor's duties or interests conflict with those of a client or potential client, as defined in SRA Code Rules 6.1-6.2.
"Consumer" means an individual acting for purposes wholly or mainly outside their trade, business, craft, or profession.
"ECCTA 2023" means the Economic Crime and Corporate Transparency Act 2023.
"LSAG 2025" means the Law Society Anti-Money Laundering Guidance for the Legal Sector 2025.
"MLR 2017" means the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (as amended).
"Own Interest Conflict" means any situation where the Solicitor's own interests conflict with their duties to a client, as defined in SRA Code Rule 6.1.
"Pre-Engagement" means the period between a Buyer's initial inquiry and the formal acceptance of instructions through a Client Care Letter.
"Vulnerable Client" means a Buyer or Client who may be at greater risk of harm due to personal circumstances including age, disability, mental capacity, language barriers, or other factors.
- PURPOSE OF PRE-ENGAGEMENT CHECKS
2.1 The purpose of pre-engagement checks is to ensure that before accepting any instructions:
2.1.1 No conflict of interest exists that would prevent the Solicitor from acting;
2.1.2 The Solicitor has the competence to handle the matter;
2.1.3 The Solicitor has the capacity and resources to service the matter properly;
2.1.4 Initial AML risk assessment indicates no unacceptable risks;
2.1.5 Any vulnerability is identified and appropriate adjustments considered;
2.1.6 Consumer protection requirements are understood and will be met;
2.1.7 The scope of the matter is understood and can be properly advised upon.
2.2 Pre-engagement checks protect:
2.2.1 The Buyer - by ensuring they receive competent, conflict-free representation;
2.2.2 The Solicitor - by preventing acceptance of unsuitable instructions;
2.2.3 Existing clients - by preventing conflicts that could harm their interests;
2.2.4 The profession - by maintaining regulatory compliance and public trust.
3. Regulatory Framework
3.1 Pre-engagement checks are required by the following regulatory provisions:
Conflicts check - SRA Code Rules 6.1-6.2: Must identify and assess conflicts before acting
Competence assessment - SRA Code Rules 3.1-3.5: Only act if competent to do so
AML risk assessment - MLR 2017 Reg 18, LSAG 2025: Risk-based approach to client acceptance
Vulnerable clients - SRA Code Rules 3.4, 6.2: Identify and support vulnerable clients
Client care - SRA Code Rule 8.6: Information before engagement
Best interests - SRA Principle 7: Act in client's best interests
Consumer protection - CRA 2015, CCR 2013, DMCCA 2024: Consumer rights compliance
Equality - Equality Act 2010, SRA Principle 6: Non-discrimination, reasonable adjustments
- STATUS DURING PRE-ENGAGEMENT
4.1 During the pre-engagement phase:
4.1.1 No solicitor-client relationship exists;
4.1.2 The Solicitor has no retainer;
4.1.3 The Buyer is NOT yet a Client;
4.1.4 The Solicitor owes no duties as a retained solicitor.
4.2 However, the Solicitor does owe certain obligations during pre-engagement:
4.2.1 Duty of confidentiality in respect of information disclosed;
4.2.2 Duty not to mislead;
4.2.3 Duty to act with integrity;
4.2.4 Professional obligations under SRA rules;
4.2.5 Equality Act 2010 obligations (non-discrimination).
- A Solicitor must NOT provide substantive legal advice during pre-engagement. General information may be provided, but specific advice should wait until the Client Care Letter is signed and the retainer established.
4.3 The Solicitor should make clear to the Buyer that:
4.3.1 Pre-engagement checks must be completed before instructions can be accepted;
4.3.2 No solicitor-client relationship exists until a Client Care Letter is signed;
4.3.3 The Solicitor may decline to act following pre-engagement assessment;
4.3.4 Any preliminary discussions do not constitute legal advice.
Part B: Conflicts of Interest Checks
- SRA CODE RULES 6.1-6.2 REQUIREMENTS
5.1 The Solicitor acknowledges and warrants compliance with SRA Code Rule 6.1:
ℹ 'You do not act if there is an own interest conflict or a significant risk of such a conflict.'
5.2 The Solicitor acknowledges and warrants compliance with SRA Code Rule 6.2:
ℹ 'You do not act in relation to a matter or particular aspect of it if you have a conflict of interest or a significant risk of such a conflict in relation to that matter or aspect of it, unless: (a) the clients have a substantially common interest in relation to the matter or the aspect of it, as the case may be; or (b) the clients are competing for the same objective, and the conditions set out in Rule 6.2 are met, and (i) all the clients have given informed consent, given or evidenced in writing, to you acting; (ii) where appropriate, you put in place effective safeguards to protect your clients' confidential information; and (iii) you are satisfied it is reasonable for you to act for all the clients.'
5.3 The Solicitor must conduct a conflicts check BEFORE accepting any instructions from a Buyer.
6. Own Interest Conflicts
6.1 An own interest conflict exists where the Solicitor's personal interests conflict with their duties to the client. Examples include:
6.1.1 Financial interest in the outcome of the matter;
6.1.2 Personal relationship with an adverse party;
6.1.3 Business relationship that could affect advice;
6.1.4 Personal views that could affect objectivity;
6.1.5 Referral fee arrangements that could influence advice.
6.2 Own interest conflicts are ABSOLUTE - they cannot be waived or consented to by the client.
- If an own interest conflict exists or there is a significant risk of one, the Solicitor MUST decline to act. There is no exception.
7. Client Conflicts
7.1 A client conflict exists where the Solicitor's duties to one client conflict with duties to another client. This includes:
7.1.1 Acting for opposing parties in a dispute;
7.1.2 Acting for parties with conflicting commercial interests;
7.1.3 Acting where confidential information from one client could benefit another;
7.1.4 Acting where loyalty to one client could compromise duties to another.
7.2 Client conflicts may sometimes be managed with informed consent, but only where:
7.2.1 The clients have a substantially common interest; OR
7.2.2 The clients are competing for the same objective;
7.2.3 AND all clients give informed consent in writing;
7.2.4 AND effective safeguards are put in place;
7.2.5 AND it is reasonable to act for all clients.
8. Conflicts Check Process
8.1 The Solicitor shall conduct the following conflicts check process for each potential new matter:
8.1.1 Identify all parties to the matter (including adverse parties, related parties, and connected persons);
8.1.2 Search the Solicitor's conflicts database for all identified parties;
8.1.3 Review any matches for potential conflicts;
8.1.4 Consider whether any own interest conflict exists;
8.1.5 Document the conflicts check and outcome;
8.1.6 Obtain approval from supervisor/COLP where required.
8.2 The conflicts check must be conducted by a suitably qualified person within the Solicitor's firm.
8.3 The conflicts check must be completed and documented BEFORE any Client Care Letter is issued.
9. Conflicts Database Requirements
9.1 The Solicitor warrants that they maintain a conflicts database that:
9.1.1 Contains details of all current and former clients;
9.1.2 Contains details of all matters (current and closed within retention period);
9.1.3 Contains details of adverse parties and related parties;
9.1.4 Is searchable and up-to-date;
9.1.5 Is accessible to all fee earners who conduct conflicts checks;
9.1.6 Is updated promptly when new matters are opened.
9.2 The Solicitor shall add information from Platform inquiries to the conflicts database promptly, even if the matter does not proceed.
10. Outcome of Conflicts Check
10.1 Following the conflicts check, the Solicitor shall determine one of the following outcomes:
10.1.1 CLEAR - No conflict identified; may proceed to next pre-engagement check;
10.1.2 POTENTIAL CONFLICT - Further investigation required before determination;
10.1.3 MANAGEABLE CONFLICT - Conflict exists but may be managed with informed consent and safeguards;
10.1.4 UNMANAGEABLE CONFLICT - Conflict exists and cannot be managed; must decline to act.
10.2 Where the outcome is UNMANAGEABLE CONFLICT or the Buyer does not consent to management of a MANAGEABLE CONFLICT, the Solicitor shall:
10.2.1 Decline to act;
10.2.2 Explain to the Buyer (without breaching confidentiality) that they cannot act due to a conflict;
10.2.3 Offer to refer the Buyer to another solicitor if appropriate;
10.2.4 Document the decision and reasons.
11. Waivers and Informed Consent
11.1 Where a conflict is potentially manageable, the following conditions must ALL be met before proceeding:
11.1.1 All affected clients must be informed of the nature of the conflict;
11.1.2 All affected clients must give informed consent in writing;
11.1.3 Effective safeguards must be implemented (e.g., information barriers);
11.1.4 It must be objectively reasonable for the Solicitor to act;
11.1.5 The arrangement must be kept under review.
11.2 Informed consent requires that clients understand:
11.2.1 The nature of the conflict;
11.2.2 The potential implications;
11.2.3 The safeguards to be implemented;
11.2.4 Their right to refuse consent and instruct another solicitor;
11.2.5 Their right to withdraw consent at any time.
11.3 Own interest conflicts CANNOT be waived or consented to.
Part C: Competence Assessment
12. Sra Competence Requirements
12.1 The Solicitor acknowledges SRA Code Rule 3.2:
ℹ 'You ensure that the service you provide to clients is competent and delivered in a timely manner.'
12.2 The Solicitor acknowledges SRA Code Rule 3.3:
ℹ 'You maintain your competence to carry out your role and keep your professional knowledge and skills up to date.'
12.3 Before accepting instructions, the Solicitor must assess whether they have the competence to handle the matter.
13. Practice Area Assessment
13.1 The Solicitor shall assess whether the matter falls within their practice areas by considering:
13.1.1 Whether the matter type is one the Solicitor regularly handles;
13.1.2 Whether the Solicitor has relevant recent experience;
13.1.3 Whether the Solicitor has the required specialist knowledge;
13.1.4 Whether relevant accreditations or panel memberships are held (if required).
13.2 If the matter is outside the Solicitor's usual practice areas:
13.2.1 The Solicitor should generally decline and refer to a specialist;
13.2.2 The Solicitor may accept only if they can acquire the necessary competence in time;
13.2.3 Appropriate supervision must be available if needed.
14. Complexity Assessment
14.1 The Solicitor shall assess the complexity of the matter against their experience level:
14.1.1 Routine/standard matters within usual experience;
14.1.2 Moderate complexity requiring careful handling;
14.1.3 High complexity requiring specialist expertise;
14.1.4 Novel issues requiring research or external input.
14.2 Complexity factors to consider include:
14.2.1 Legal complexity of issues involved;
14.2.2 Factual complexity;
14.2.3 Number of parties involved;
14.2.4 Value or significance of the matter to the Buyer;
14.2.5 Time pressures or urgency;
14.2.6 Cross-border or multi-jurisdictional elements.
15. Jurisdictional Considerations
15.1 The Solicitor shall confirm that they are authorised and competent to advise on the relevant law:
15.1.1 Matters governed by the law of England and Wales - standard authorisation;
15.1.2 Matters with Scottish law elements - may require referral or specialist input;
15.1.3 Matters with Northern Ireland law elements - may require referral;
15.1.4 Matters with foreign law elements - must not advise on foreign law unless qualified.
15.2 For cross-border matters, the Solicitor must be clear about:
15.2.1 Which jurisdiction's law they are advising on;
15.2.2 Limitations on their advice;
15.2.3 Need for local counsel in other jurisdictions.
16. Supervision Requirements
16.1 If the Solicitor requires supervision for the type of matter:
16.1.1 Appropriate supervision must be available;
16.1.2 The supervisor must be identified before accepting instructions;
16.1.3 The supervision arrangement must be documented;
16.1.4 The Buyer should be informed who will be supervising if relevant.
Part D: Capacity and Resource Assessment
17. Capacity Check
17.1 Before accepting instructions, the Solicitor must assess whether they have capacity to take on the matter.
17.2 Capacity assessment should consider:
17.2.1 Current caseload and utilisation;
17.2.2 Availability of the proposed fee earner;
17.2.3 Upcoming commitments (trials, holidays, other matters);
17.2.4 Ability to meet the Buyer's timeline requirements;
17.2.5 Ability to provide a responsive service.
17.3 The Solicitor should NOT accept instructions if:
17.3.1 Current workload prevents proper attention to the matter;
17.3.2 The Buyer's timeline cannot realistically be met;
17.3.3 Service standards are likely to be compromised.
18. Resource Availability
18.1 The Solicitor shall confirm availability of necessary resources:
18.1.1 Appropriate fee earner to handle the matter;
18.1.2 Support staff as required;
18.1.3 Specialist expertise within the firm or available externally;
18.1.4 Technology and systems required for the matter type.
19. Timeline Assessment
19.1 The Solicitor shall assess whether the Buyer's timeline can be met:
19.1.1 Understand any deadlines or time constraints;
19.1.2 Assess whether the timeline is realistic;
19.1.3 Identify any potential conflicts with existing commitments;
19.1.4 Advise the Buyer if the timeline cannot be met.
19.2 Relevant timeline considerations include:
19.2.1 Limitation periods;
19.2.2 Court or tribunal deadlines;
19.2.3 Commercial deadlines (e.g., completion dates);
19.2.4 Regulatory filing deadlines.
20. Fee Earner Allocation
20.1 The Solicitor shall identify the proposed fee earner before accepting instructions:
20.1.1 The fee earner must have appropriate competence;
20.1.2 The fee earner must have available capacity;
20.1.3 No personal conflict should exist for the fee earner;
20.1.4 Supervision arrangements must be confirmed if required.
20.2 The identity of the principal fee earner should be communicated to the Buyer in the Client Care Letter.
Part E: Preliminary Aml Assessment
21. Aml Risk Assessment Obligations
21.1 The Solicitor acknowledges their obligations under MLR 2017, LSAG 2025, and ECCTA 2023 to take a risk-based approach to client acceptance.
21.2 Before accepting instructions, the Solicitor shall conduct a preliminary AML risk assessment to determine:
21.2.1 The likely AML risk level of the Buyer and matter;
21.2.2 The level of Customer Due Diligence (CDD) likely to be required;
21.2.3 Whether any red flags suggest the matter should not be accepted.
21.3 The preliminary AML assessment does NOT replace full CDD, which must be completed before establishing the business relationship.
- Full Customer Due Diligence (CDD) must be completed BEFORE the business relationship is established. The preliminary assessment only determines whether to proceed to full CDD.
22. Preliminary Client Screening
22.1 Preliminary client screening should include:
22.1.1 Identification of the Buyer and any connected parties;
22.1.2 Identification of beneficial owners (individuals owning MORE THAN 25% per LSAG 2025);
22.1.3 Consideration of the Buyer's background and profile;
22.1.4 Assessment of source of wealth/funds if relevant;
22.1.5 Consideration of geographic risk factors;
22.1.6 Initial sanctions screening;
22.1.7 PEP screening (Politically Exposed Persons).
22.2 Full verification and documentary CDD will be completed after pre-engagement if instructions are accepted.
23. Matter Risk Assessment
23.1 The Solicitor shall assess the AML risk profile of the matter itself:
23.1.1 Type of matter (higher risk: property transactions, company formations, trust structures);
23.1.2 Value of transaction;
23.1.3 Geographic elements (high-risk jurisdictions);
23.1.4 Complexity and structure;
23.1.5 Source and destination of funds;
23.1.6 Corporate complexity and beneficial ownership structures (ECCTA 2023).
24. Red Flag Identification
24.1 The Solicitor shall identify any AML red flags during pre-engagement:
- Red flags may include (non-exhaustive): Reluctance to provide identification; Unusual urgency with no clear reason; Instruction through unusual intermediaries; Cash transactions or payments from third parties; Connections to high-risk jurisdictions; Requests for unusual payment arrangements; Inconsistencies in information provided; Adverse media about the Buyer; Complex corporate structures with no apparent commercial rationale; Discrepancies between stated source of funds and client profile.
24.2 If red flags are identified:
24.2.1 Further investigation may be required before proceeding;
24.2.2 Enhanced Due Diligence may be indicated;
24.2.3 In serious cases, the Solicitor may need to decline instructions;
24.2.4 Suspicious activity reporting obligations may apply (NCA).
25. Decision to Proceed
25.1 Following preliminary AML assessment, the Solicitor shall determine:
25.1.1 GREEN - Standard risk; proceed with standard CDD;
25.1.2 AMBER - Elevated risk; Enhanced Due Diligence required; proceed with caution;
25.1.3 RED - High risk or red flags; further investigation required; may need to decline.
25.2 If the decision is to decline on AML grounds:
25.2.1 The Solicitor shall decline without providing detailed reasons;
25.2.2 Tipping off provisions must be observed (POCA 2002 s.333A);
25.2.3 SAR may be required to the National Crime Agency;
25.2.4 The decision shall be documented.
Part F: Vulnerable Client Assessment
26. Vulnerability Identification
26.1 During pre-engagement, the Solicitor shall be alert to indicators that the Buyer may be vulnerable, in accordance with SRA Code Rules 3.4 and 6.2.
26.2 A vulnerable client is someone who, due to personal circumstances, may be at greater risk of harm or may need additional support to engage with legal services effectively.
26.3 Identification of vulnerability does NOT mean the Solicitor cannot act. It means appropriate adjustments should be considered.
27. Types of Vulnerability
27.1 Vulnerability may arise from various circumstances including (non-exhaustive):
27.1.1 Age (very young or elderly);
27.1.2 Physical disability or illness;
27.1.3 Mental health conditions;
27.1.4 Learning difficulties;
27.1.5 Language barriers;
27.1.6 Bereavement or trauma;
27.1.7 Financial distress;
27.1.8 Coercion or undue influence from others;
27.1.9 Cognitive impairment or capacity issues;
27.1.10 Domestic abuse situations.
27.2 Vulnerability may be temporary or permanent, and may fluctuate.
28. Mental Capacity Considerations
28.1 Where there may be concerns about a Buyer's mental capacity, the Solicitor must consider the Mental Capacity Act 2005:
28.1.1 The presumption of capacity applies (MCA 2005 s.1(2));
28.1.2 Capacity is decision-specific and time-specific;
28.1.3 Practicable steps should be taken to help the person make their own decision (s.1(3));
28.1.4 An unwise decision does not mean a person lacks capacity (s.1(4)).
28.2 If the Buyer lacks capacity to give instructions:
28.2.1 Consider whether a Lasting Power of Attorney (LPA) exists;
28.2.2 Consider whether a Court of Protection Deputy is appointed;
28.2.3 Instructions may need to be taken from the appropriate attorney/deputy;
28.2.4 The Solicitor must act in the person's best interests.
29. Adjustments and Support
29.1 Where vulnerability is identified or suspected, the Solicitor shall consider:
29.1.1 Whether the Buyer has capacity to give instructions;
29.1.2 Whether a litigation friend or deputy is required;
29.1.3 Whether an interpreter or communication support is needed;
29.1.4 Whether adjustments to communication methods are needed;
29.1.5 Whether additional time or explanation is required;
29.1.6 Whether safeguarding concerns need to be addressed;
29.1.7 Whether referral to specialist services is appropriate.
29.2 Reasonable adjustments should be made in accordance with the Equality Act 2010 for disabled clients.
29.3 Adjustments should be discussed with the Buyer and documented.
30. Documentation
30.1 Where vulnerability is identified, the Solicitor shall document:
30.1.1 The nature of the vulnerability (as understood);
30.1.2 Any adjustments to be made;
30.1.3 Any capacity assessment undertaken;
30.1.4 Communication preferences;
30.1.5 Any safeguarding concerns and actions taken.
30.2 This documentation should inform ongoing service delivery if instructions are accepted.
Part G: Consumer Protection Assessment
31. Consumer Identification
31.1 The Solicitor shall identify during pre-engagement whether the Buyer is a Consumer (individual acting for purposes wholly or mainly outside their trade, business, craft, or profession).
31.2 Consumer status affects:
31.2.1 Information that must be provided before engagement;
31.2.2 Cancellation rights that may apply;
31.2.3 Terms that may be considered unfair;
31.2.4 Price transparency requirements.
- CONSUMER RIGHTS ACT 2015 REQUIREMENTS
32.1 For Consumer Buyers, the Solicitor must ensure:
32.1.1 Services will be provided with reasonable care and skill (s.49);
32.1.2 Services will be provided as described (s.50);
32.1.3 Services will be provided within a reasonable time if no time agreed (s.52);
32.1.4 Contract terms are fair and not excluded by the 'grey list' (s.62-63).
32.2 Consumer statutory rights cannot be excluded or limited.
- CONSUMER CONTRACTS REGULATIONS 2013
33.1 For contracts concluded at a distance (online/phone), the Solicitor must provide pre-contract information including:
33.1.1 Main characteristics of the services;
33.1.2 Identity and contact details of the Solicitor;
33.1.3 Total price including taxes, or how calculated;
33.1.4 Arrangements for payment, performance, and complaints;
33.1.5 Existence and conditions of any deposit or financial guarantee;
33.1.6 Information about cancellation rights (14-day right to cancel).
33.2 The 14-day cancellation period applies unless the Consumer has expressly requested that performance begin and acknowledged loss of cancellation right.
- DIGITAL MARKETS, COMPETITION AND CONSUMERS ACT 2024
34.1 The Solicitor must comply with DMCCA 2024 price transparency requirements:
34.1.1 No drip pricing - all mandatory costs must be disclosed upfront;
34.1.2 Total price must be clearly stated before commitment;
34.1.3 VAT must be included or clearly stated if additional;
34.1.4 No hidden fees may be added during the transaction.
34.2 Fee information provided during pre-engagement must be accurate and complete.
Part H: Equality and Accessibility
- EQUALITY ACT 2010 COMPLIANCE
35.1 The Solicitor shall comply with the Equality Act 2010 during pre-engagement and must not discriminate on the basis of protected characteristics:
Age
Disability
Gender reassignment
Marriage and civil partnership
Pregnancy and maternity
Race
Religion or belief
Sex
Sexual orientation
35.2 The Solicitor must make reasonable adjustments for disabled Buyers to ensure they can access services on an equal basis.
35.3 Reasonable adjustments may include:
35.3.1 Providing information in alternative formats;
35.3.2 Allowing extra time for communication;
35.3.3 Adjusting communication methods;
35.3.4 Making physical accessibility adjustments for meetings;
35.3.5 Providing interpreter services.
- SRA PRINCIPLE 6 - EDI
36.1 The Solicitor must comply with SRA Principle 6, which requires solicitors to act in a way that encourages equality, diversity and inclusion.
36.2 This includes:
36.2.1 Not discriminating in decisions about whether to accept instructions;
36.2.2 Not making assumptions about Buyers based on protected characteristics;
36.2.3 Providing equal quality of service regardless of characteristics;
36.2.4 Training staff on EDI obligations.
Part I: Matter Scoping
37. Information Gathering
37.1 During pre-engagement, the Solicitor should gather sufficient information to:
37.1.1 Conduct the required pre-engagement checks;
37.1.2 Understand the nature and scope of the matter;
37.1.3 Assess whether they can assist;
37.1.4 Provide an indication of fees.
37.2 Information gathering should be proportionate to the matter and should not constitute taking instructions before pre-engagement checks are complete.
38. Scope Definition
38.1 Before issuing a Client Care Letter, the Solicitor should define the scope of the proposed retainer:
38.1.1 What services will be provided;
38.1.2 What is expressly excluded from the scope;
38.1.3 Key milestones or stages;
38.1.4 Expected timeframes;
38.1.5 Likely involvement of other professionals.
38.2 Clear scope definition helps prevent scope creep and client misunderstanding.
39. Fee Estimation
39.1 During pre-engagement, the Solicitor should provide fee information as required by SRA Transparency Rules:
39.1.1 Basis of charging (hourly, fixed fee, conditional, etc.);
39.1.2 Estimated total costs or range;
39.1.3 Likely disbursements;
39.1.4 VAT position;
39.1.5 Payment terms and any retainer required.
39.2 Fee estimates provided during pre-engagement should be confirmed in the Client Care Letter.
39.3 For Consumer Buyers, DMCCA 2024 requirements on price transparency apply - no drip pricing.
40. Terms Discussion
40.1 Pre-engagement may include discussion of:
40.1.1 The Solicitor's standard terms of business;
40.1.2 Key terms the Buyer should be aware of;
40.1.3 Any terms that may need to be negotiated;
40.1.4 Requirements for the Client Care Letter.
40.2 The Client Care Letter should not be signed until all pre-engagement checks are complete.
Part J: Pre-engagement Outcomes
41. Acceptance of Instructions
41.1 The Solicitor may accept instructions and issue a Client Care Letter only when ALL pre-engagement checks are satisfactorily completed:
☐ Conflicts check completed - CLEAR or MANAGEABLE with consent
☐ Competence assessment completed - COMPETENT to act
☐ Capacity assessment completed - CAPACITY available
☐ Preliminary AML assessment completed - PROCEED (with appropriate CDD)
☐ Vulnerable client assessment completed - Any adjustments identified
☐ Consumer protection assessment completed - Requirements understood
☐ Equality assessment completed - No discrimination, adjustments identified
☐ Matter scoping completed - Scope and fees understood
41.2 Upon acceptance, the Solicitor shall:
41.2.1 Issue a Client Care Letter setting out full terms of engagement;
41.2.2 Conduct full CDD/AML verification;
41.2.3 Obtain signed engagement and any required retainer;
41.2.4 Open the matter on the Solicitor's practice management system;
41.2.5 Confirm acceptance through the Platform.
42. Conditional Acceptance
42.1 In some cases, acceptance may be conditional on:
42.1.1 Successful completion of full CDD;
42.1.2 Receipt of retainer payment;
42.1.3 Resolution of a potential conflict;
42.1.4 Provision of additional information;
42.1.5 Availability of a particular fee earner.
42.2 The conditions must be clearly communicated to the Buyer.
42.3 The retainer is not established until conditions are satisfied and the Client Care Letter is signed.
43. Decline of Instructions
43.1 The Solicitor may decline instructions for any lawful reason, including:
43.1.1 Unresolvable conflict of interest;
43.1.2 Lack of competence for the matter;
43.1.3 Lack of capacity;
43.1.4 AML concerns;
43.1.5 Commercial reasons (e.g., matter value too low);
43.1.6 Breakdown of trust or confidence.
43.2 The Solicitor must NOT decline instructions on the basis of protected characteristics under the Equality Act 2010.
43.3 When declining instructions, the Solicitor should:
43.3.1 Inform the Buyer promptly;
43.3.2 Provide a reason where appropriate (but not if it would breach confidentiality or tipping off rules);
43.3.3 Offer to refer to another solicitor where appropriate;
43.3.4 Document the decision and reasons;
43.3.5 Update the Platform.
43.4 A template decline letter is provided at Schedule 6.
44. Referral to Another Solicitor
44.1 If the Solicitor cannot act but the Buyer needs assistance, the Solicitor may:
44.1.1 Suggest the Buyer search for other solicitors on the Platform;
44.1.2 Refer to a specific solicitor (in accordance with the Solicitor-to-Solicitor Referral Terms V2.0);
44.1.3 Suggest the Law Society Find a Solicitor service.
44.2 Referral is not mandatory but is good practice where the Buyer would otherwise be without assistance.
Part K: Complaints
- COMPLAINTS DURING PRE-ENGAGEMENT
45.1 If a Buyer has a complaint about the pre-engagement process, they may:
45.1.1 Complain to the Solicitor using the Solicitor's complaints procedure;
45.1.2 Complain to the Platform about Platform services;
45.1.3 Report conduct concerns to the SRA.
45.2 The Legal Ombudsman generally has jurisdiction only after a solicitor-client relationship exists, but may consider complaints about pre-engagement in some circumstances.
45.3 Legal Ombudsman Time Limits (where applicable):
45.3.1 Within 1 YEAR of the act or omission complained about;
45.3.2 Within 6 YEARS of the act or omission;
45.3.3 Within 6 MONTHS of the Solicitor's final response to the complaint.
45.4 Legal Ombudsman Contact:
Website: www.legalombudsman.org.uk
Email: enquiries@legalombudsman.org.uk
Phone: 0300 555 0333
45.5 SRA Contact (for conduct issues):
Website: www.sra.org.uk
Phone: 0370 606 2555
Part L: Platform Obligations
- PLATFORM PRE-ENGAGEMENT FEATURES
46.1 The Platform provides the following features to support pre-engagement:
46.1.1 Initial inquiry capture with basic matter information;
46.1.2 Secure messaging between Buyer and Solicitor;
46.1.3 Pre-engagement checklist and workflow tools;
46.1.4 Template documents (conflict check forms, decline letters, etc.);
46.1.5 Status tracking (inquiry, pre-engagement, accepted, declined);
46.1.6 Record keeping for compliance purposes.
47. Platform Limitations
47.1 The Platform does NOT:
47.1.1 Conduct conflicts checks on behalf of Solicitors;
47.1.2 Assess Solicitor competence for any particular matter;
47.1.3 Conduct AML checks or verification;
47.1.4 Assess Buyer vulnerability;
47.1.5 Advise on whether a Solicitor should accept instructions;
47.1.6 Guarantee the accuracy of information provided by Buyers or Solicitors.
47.2 All pre-engagement checks are the sole responsibility of the Solicitor.
Part M: Compliance and Oversight
48. Colp Oversight
48.1 The Solicitor's COLP has oversight responsibility for pre-engagement procedures including:
48.1.1 Ensuring conflicts checking procedures are adequate;
48.1.2 Monitoring compliance with pre-engagement requirements;
48.1.3 Reviewing declined matters for any systemic issues;
48.1.4 Ensuring staff are trained on pre-engagement procedures;
48.1.5 Reporting material compliance failures to the SRA.
49. Audit and Review
49.1 The Solicitor shall periodically audit pre-engagement procedures to ensure:
49.1.1 Conflicts checks are being conducted properly;
49.1.2 Documentation is adequate;
49.1.3 All pre-engagement checks are completed before Client Care Letters issued;
49.1.4 Declined matters are properly handled;
49.1.5 Vulnerable clients are being properly identified and supported;
49.1.6 Consumer protection requirements are being met.
49.2 Audit frequency should be at least annual, or more frequently for high-volume practices.
50. Breach and Consequences
50.1 Failure to conduct proper pre-engagement checks may result in:
50.1.1 Acting with a conflict of interest (SRA disciplinary breach);
50.1.2 Acting without competence (SRA disciplinary breach);
50.1.3 AML compliance failures (regulatory breach);
50.1.4 Consumer protection breaches;
50.1.5 Professional negligence claims;
50.1.6 Harm to clients (existing or new);
50.1.7 Suspension or termination from the Platform.
50.2 The Platform may suspend a Solicitor's access if there is evidence of systematic failure to conduct proper pre-engagement checks.
Part N: General Provisions
51. Data Protection
51.1 Personal data processed during pre-engagement includes:
51.1.1 Buyer's name, contact details, and basic identification;
51.1.2 Matter description and details;
51.1.3 Information relevant to conflicts checks;
51.1.4 Information relevant to AML screening;
51.1.5 Vulnerability information;
51.1.6 Communications between Buyer and Solicitor.
51.2 Lawful bases for processing include:
51.2.1 Legitimate interests (assessing whether to provide services);
51.2.2 Legal obligation (AML requirements);
51.2.3 Contract (steps prior to entering into a contract).
51.3 Both Platform and Solicitor have data protection obligations under UK GDPR and DPA 2018 and should have appropriate privacy notices.
52. Retention
52.1 If instructions are accepted, pre-engagement data becomes part of the client file and is retained accordingly.
52.2 If instructions are NOT accepted:
52.2.1 Conflicts check records - retain indefinitely in conflicts database;
52.2.2 Pre-engagement assessment notes - retain for 12 months minimum;
52.2.3 AML screening records - retain in accordance with MLR requirements (5 years).
53. Term and Termination
53.1 These Pre-Engagement Terms remain in effect for as long as the Solicitor maintains a Platform registration.
53.2 Termination of Platform registration does not affect obligations in respect of pre-engagement processes already commenced.
54. Liability
54.1 The Platform's liability under these Pre-Engagement Terms is limited as set out in the main Solicitor Terms and Conditions V2.2.
54.2 The Solicitor is solely responsible for the conduct and outcome of all pre-engagement checks.
54.3 The Solicitor shall indemnify the Platform against claims arising from failure to conduct proper pre-engagement checks.
55. Governing Law
55.1 These Pre-Engagement Terms are governed by the laws of England and Wales.
55.2 The courts of England and Wales have exclusive jurisdiction.
Document Information
These Terms and Conditions for Pre-Engagement and Conflicts Checks are issued by [Platform Name].
- INTERNAL DOCUMENT - NOT FOR CLIENT DISTRIBUTION
Document Version: 2.0
Effective Date: January 2026
Last Updated: January 2026
Next Review: July 2026
─────────────────────────────────────
Regulatory Framework
SRA Standards and Regulations 2019 (as amended 2025)
SRA Code of Conduct for Solicitors - Rules 6.1-6.2 (Conflicts)
SRA Code of Conduct for Solicitors - Rules 3.1-3.5 (Competence)
SRA Code of Conduct for Solicitors - Rules 3.4, 6.2 (Vulnerable Clients)
SRA Code of Conduct for Solicitors - Rule 8.6 (Client Information)
SRA Principles (including Principle 6 - EDI)
Money Laundering Regulations 2017 (as amended)
LSAG Anti-Money Laundering Guidance 2025
Economic Crime and Corporate Transparency Act 2023
Consumer Rights Act 2015
Consumer Contracts Regulations 2013
Digital Markets, Competition and Consumers Act 2024
Equality Act 2010
Mental Capacity Act 2005
Proceeds of Crime Act 2002
Related Documents
Solicitor Terms and Conditions V1.0
Buyer Terms and Conditions V1.0
Solicitor-to-Solicitor Referral Terms V1.0
AML/KYC Compliance Verification V1.0
Privacy Policy V1.0
Website Terms and Conditions V1.0
Buyer Complaints About Solicitors Process V1.0
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[Platform Name]
Operated by: [Company Name]
Company registration number: [X]
Registered address: [Address]