Pre-Engagement Documentation
FOR PRE-ENGAGEMENT
Documentation
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E-Solicitors Marketplace
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Solicitor Documentation Obligations
Client Care and Regulatory Compliance Requirements
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Version 1.0 - January 2026
England and Wales
Important Notice to Solicitors
- BY ACCEPTING CLIENTS THROUGH THE PLATFORM, YOU AGREE TO COMPLY WITH THESE TERMS REGARDING PRE-ENGAGEMENT DOCUMENTATION. FAILURE TO PROVIDE REQUIRED DOCUMENTATION MAY RESULT IN REGULATORY ACTION, SUSPENSION FROM THE PLATFORM, AND DIFFICULTIES RECOVERING COSTS.
These Terms and Conditions for Pre-Engagement Documentation ('Documentation Terms') constitute a legally binding agreement between you (the 'Solicitor') and [Platform Name] (the 'Platform') governing your obligations to provide required documentation to Clients before commencing legal work.
By accepting these Documentation Terms, you confirm that:
You understand your regulatory obligations under SRA Code Rules 8.6-8.11
You will provide all mandatory documentation to Clients before commencing work
You will comply with SRA Transparency Rules for covered services
You will verify Client identity in accordance with Money Laundering Regulations 2017, LSAG 2025, and ECCTA 2023
You will provide privacy information in accordance with UK GDPR
You will provide support for vulnerable clients in accordance with SRA Rules 3.4 and 6.2
You will make reasonable adjustments under the Equality Act 2010
You will maintain records demonstrating compliance
You understand the consequences of non-compliance
Relationship to Other Terms
These Documentation Terms supplement and should be read together with:
Solicitor Terms and Conditions V2.0
Pre-Engagement and Conflicts Check Terms V2.0
Client Care Letter Template V2.0
Pre-Engagement Documentation Guidance Note V2.0
ℹ The Pre-Engagement Documentation Guidance Note provides detailed guidance on compliance with these Documentation Terms. Solicitors should read that document carefully.
Part A: General Provisions
1. Definitions and Interpretation
1.1 In these Documentation Terms, unless the context otherwise requires, the following definitions apply in addition to definitions in the main Solicitor Terms and Conditions:
"Buyer" means an individual or entity seeking legal services through the Platform who has not yet become a Client.
"CFA" means a Conditional Fee Agreement within the meaning of the Courts and Legal Services Act 1990 s.58.
"Client" means a Buyer who has completed pre-engagement and been formally accepted as a client through a signed Client Care Letter.
"Client Care Letter" means the letter of engagement issued by the Solicitor to the Client setting out the terms on which they will act, as required by SRA rules.
"Costs Information" means information about the Solicitor's charges, disbursements, and payment terms as required by SRA Code Rules 8.6-8.7.
"Covered Service" means a legal service to which the SRA Transparency Rules apply.
"DBA" means a Damages-Based Agreement within the meaning of the Courts and Legal Services Act 1990 s.58AA.
"ECCTA 2023" means the Economic Crime and Corporate Transparency Act 2023.
"Legal Ombudsman" means the scheme established under the Legal Services Act 2007 to handle complaints about lawyers.
"LSAG 2025" means the Legal Sector Affinity Group Anti-Money Laundering Guidance 2025.
"Mandatory Documentation" means the documentation that must be provided to all Clients as set out in Part B.
"MLR" means the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017.
"Pre-Engagement" means the period between a Buyer's initial inquiry and the formal acceptance of instructions through a signed Client Care Letter.
"Privacy Notice" means the notice required by UK GDPR Article 13 informing data subjects about processing of their personal data.
"SRA Transparency Rules" means the SRA Transparency Rules 2019.
"Substantive Work" means any work on the Client's matter that is chargeable or that would normally be chargeable, excluding initial assessments and pre-engagement checks.
"Vulnerable Client" means a client who has particular needs or circumstances that may make it difficult for them to understand documentation, give instructions, or exercise their rights.
1.2 In these Documentation Terms:
References to SRA Code Rules are to the SRA Code of Conduct for Solicitors, RELs and RFLs 2019 (as amended 2025) unless otherwise stated;
References to statutes and regulations include any amendments, re-enactments, or replacements;
'Including' means 'including without limitation'.
2. Purpose and Scope
2.1 The purpose of these Documentation Terms is to ensure that Solicitors using the Platform:
Comply with SRA requirements for client information and client care;
Provide Clients with all information required before commencing legal work;
Provide appropriate support for vulnerable clients;
Make reasonable adjustments for clients with protected characteristics;
Maintain proper documentation of client engagements;
Protect both Clients and themselves through clear documentation.
2.2 These Documentation Terms apply to all matters accepted by the Solicitor from Buyers introduced through the Platform.
3. Regulatory Framework
3.1 The Solicitor acknowledges that pre-engagement documentation obligations derive from multiple regulatory sources:
SRA Code of Conduct Rules 8.6-8.11 - Costs, complaints, client information
SRA Code Rules 3.4, 6.2 - Vulnerable clients
SRA Principle 6 - Equality, diversity, inclusion
SRA Transparency Rules 2019 - Price and service information
SRA Accounts Rules 2019 - Client money information
Money Laundering Regulations 2017 - Client identification
LSAG Anti-Money Laundering Guidance 2025 - AML best practice
ECCTA 2023 - Economic crime prevention
UK GDPR / DPA 2018 - Privacy information
Consumer Rights Act 2015 - Consumer contract information
Digital Markets, Competition and Consumers Act 2024 - Consumer protections
Consumer Contracts Regulations 2013 - Pre-contract information
Equality Act 2010 - Reasonable adjustments
Mental Capacity Act 2005 - Capacity and decision-making
FCA Handbook and Consumer Duty 2023 - FCA-regulated activities
3.2 The Solicitor warrants that they understand and will comply with all applicable regulatory requirements regarding pre-engagement documentation.
Part B: Mandatory Documentation Obligations
- The Solicitor SHALL provide all documentation set out in this Part B to ALL Clients before commencing Substantive Work.
4. Client Care Letter Obligation
4.1 The Solicitor SHALL provide each Client with a Client Care Letter before commencing Substantive Work.
4.2 The Client Care Letter SHALL include, at minimum, the information set out in Schedule 4 (Client Care Letter Minimum Contents).
4.3 The Client Care Letter SHALL be:
In writing (which may include email);
In clear, plain English avoiding unnecessary legal jargon;
Appropriate to the Client's level of understanding;
Tailored to the specific Client and matter (not a generic template without adaptation);
Available in alternative formats where required under the Equality Act 2010.
4.4 The Solicitor warrants that they will not commence Substantive Work until a Client Care Letter has been provided to the Client.
5. Costs Information Obligation
5.1 The Solicitor acknowledges SRA Code Rule 8.6 which requires:
ℹ 'You give clients information in a way they can understand about: (a) the likely overall cost of the matter and any costs incurred; (b) the basis of your charges, including hourly rates if used; (c) how and when they will be billed; (d) any likely payments to others (disbursements).'
5.2 The Solicitor SHALL provide the Client with the following Costs Information before commencing Substantive Work:
The basis of charging (hourly rate, fixed fee, percentage, conditional fee, etc.);
Hourly rates for each fee earner who may work on the matter (if hourly charging);
An estimate of the likely overall cost, or a realistic range if an estimate is not possible;
What is included in the quoted cost or estimate;
What is NOT included (exclusions);
Likely disbursements (payments to third parties) with estimated amounts;
Whether VAT is included or additional, and the applicable rate;
When and how bills will be rendered (billing frequency);
Payment terms (when payment is due);
Any requirement for money on account.
5A. Consumer Rights - Costs Transparency
5A.1 For consumer clients, the Solicitor acknowledges the requirements of the Digital Markets, Competition and Consumers Act 2024:
All mandatory costs must be disclosed upfront;
No hidden fees or 'drip pricing';
Total price must be clear before the client commits.
5A.2 In accordance with the Consumer Rights Act 2015:
Services must be provided with reasonable care and skill;
Services must be provided as described;
Services must be provided within a reasonable time.
6. Complaints Information Obligation
6.1 The Solicitor acknowledges SRA Code Rule 8.9 which requires:
ℹ 'You ensure that clients know: (a) how to make a complaint; (b) their right to complain to the Legal Ombudsman, the time limits for doing so, and that there are restricted categories of complaint.'
6.2 The Solicitor SHALL provide the Client with the following complaints information before commencing Substantive Work:
How to make a complaint to the firm (including name and contact details of the complaints handler);
The firm's complaints procedure or where to find it;
The right to complain to the Legal Ombudsman;
Legal Ombudsman contact details (address, telephone, email, website);
Time limits for complaining to the Legal Ombudsman;
That there are restricted categories of complaint the Legal Ombudsman can deal with;
Whether the Solicitor agrees to use Alternative Dispute Resolution (ADR);
Support available for vulnerable clients making complaints (SRA Rules 3.4, 6.2).
6.3 The Solicitor SHALL include the following Legal Ombudsman time limit information:
- 'You must refer your complaint to the Legal Ombudsman within ONE YEAR of the act or omission being complained about AND within SIX MONTHS of receiving our final written response to your complaint AND within SIX YEARS of the act or omission (longstop). ALL time limits apply.'
6A. Financial Ombudsman Service (If Applicable)
6A.1 Where the Solicitor conducts FCA-regulated activities, the Solicitor SHALL additionally inform the Client of:
The right to complain to the Financial Ombudsman Service;
Financial Ombudsman Service contact details;
Time limits for complaining to the Financial Ombudsman (SIX MONTHS from final response AND SIX YEARS from the event).
7. Regulatory Protection Information
7.1 The Solicitor acknowledges SRA Code Rule 8.8 which requires:
ℹ 'You ensure that clients understand any regulatory protections available to them.'
7.2 The Solicitor SHALL provide the Client with the following regulatory information:
Confirmation that the firm is authorised and regulated by the SRA;
The firm's SRA ID number;
How to verify the firm's regulatory status (www.sra.org.uk);
Information about the SRA Compensation Fund (up to £2 million);
Information about professional indemnity insurance coverage.
7.3 Where the Solicitor conducts FCA-regulated activities, the Solicitor SHALL additionally provide:
Confirmation of FCA authorisation or exempt professional firm status;
FCA registration number;
Information about FSCS protection (if applicable);
Information about the Financial Ombudsman Service.
8. Right to Challenge Bill Information
8.1 The Solicitor acknowledges SRA Code Rule 8.10 which requires:
ℹ 'You inform clients about any right they have to challenge your bill and the procedures for doing so.'
8.2 The Solicitor SHALL inform the Client of:
The right to request a detailed breakdown of the bill;
The right to apply to the court for assessment of the bill under the Solicitors Act 1974 Part III;
Time limits for applying for assessment (one month without court permission, up to 12 months with permission);
The right to complain to the Legal Ombudsman about costs;
The right to complain to the Financial Ombudsman Service about costs (if FCA-regulated activities).
9. Identity Verification Obligation
9.1 The Solicitor acknowledges their obligations under the Money Laundering Regulations 2017, LSAG Anti-Money Laundering Guidance 2025, and ECCTA 2023 to verify client identity before establishing a business relationship.
9.2 The Solicitor SHALL, before commencing Substantive Work:
Inform the Client of the requirement to verify their identity;
Specify what identity documents are required;
Explain why verification is required (legal requirement);
Obtain and verify the required documentation;
Verify source of funds and source of wealth where required;
Identify beneficial owners where MORE THAN 25% ownership (per LSAG 2025).
9.3 The Solicitor warrants that they will not commence Substantive Work until satisfactory identity verification has been completed in accordance with the Money Laundering Regulations.
9A. Tipping Off
9A.1 The Solicitor acknowledges that if they suspect money laundering or terrorist financing, they are required to report to the National Crime Agency (NCA).
- 'Tipping off' is a criminal offence under the Proceeds of Crime Act 2002. The Solicitor must not inform the Client if a report has been made to the NCA.
10. Privacy Notice Obligation
10.1 The Solicitor acknowledges their obligations under UK GDPR Article 13 to provide privacy information to data subjects.
10.2 The Solicitor SHALL provide the Client with a Privacy Notice at or before the time personal data is collected. The Privacy Notice SHALL include:
Identity and contact details of the data controller;
Contact details of the Data Protection Officer (if applicable);
Purposes of processing and lawful basis;
Categories of personal data processed;
Recipients or categories of recipients;
International transfers (if applicable);
Retention period or criteria for determining it;
Data subject rights;
Right to complain to the ICO.
10.3 The Privacy Notice may be included in the Client Care Letter, provided as a separate document, or made available on the firm's website with clear reference in the Client Care Letter.
Part B Continued: Accessibility and Support
10A. SUPPORT FOR VULNERABLE CLIENTS
10A.1 The Solicitor acknowledges SRA Code Rules 3.4 and 6.2 which require identification and support for vulnerable clients.
10A.2 The Solicitor SHALL:
Identify clients who may be vulnerable due to age, disability, mental health, language barriers, bereavement, financial difficulties, or other circumstances;
Provide documentation in a way the client can understand;
Offer additional time for the client to read and consider documentation;
Allow support persons to assist the client;
Arrange interpreter or translation services if needed;
Make reasonable adjustments to the documentation process;
Document any adjustments made.
10A.3 Vulnerability support must be offered proactively, not only when requested by the Client.
10B. MENTAL CAPACITY
10B.1 The Solicitor acknowledges the requirements of the Mental Capacity Act 2005.
10B.2 Where a Client may lack capacity to understand documentation or give instructions:
The Solicitor SHALL apply the presumption of capacity;
The Solicitor SHALL take steps to support the Client to make their own decisions where possible;
Where the Client lacks capacity, documentation may be provided to and instructions taken from:
An attorney under a Lasting Power of Attorney;
A Court of Protection Deputy;
In appropriate circumstances, a family member or carer acting in the Client's best interests.
10B.3 The Solicitor SHALL document any capacity concerns and the steps taken to address them.
10C. EQUALITY AND ACCESSIBILITY
10C.1 The Solicitor acknowledges SRA Principle 6 and the Equality Act 2010.
10C.2 The Solicitor SHALL:
Not discriminate against Clients on the basis of any protected characteristic (age, disability, gender reassignment, marriage/civil partnership, pregnancy/maternity, race, religion/belief, sex, sexual orientation);
Make reasonable adjustments for disabled Clients;
Provide documentation in alternative formats on request (large print, audio, easy read, other languages).
10C.3 The duty to make reasonable adjustments is anticipatory - Solicitors should have arrangements in place before a Client requests them.
Part C: Conditional Documentation Obligations
The following documentation obligations apply only where the relevant circumstances exist.
11. Referral Fee Disclosure
11.1 Where the Client was referred to the Solicitor through an arrangement involving a referral fee (including referral through the Platform where a fee is payable), the Solicitor SHALL disclose to the Client before commencing Substantive Work:
That a referral fee is payable;
To whom the fee is payable (e.g., the Platform, another solicitor, an introducer);
That the referral fee does not increase the amount the Client pays;
That the referral fee does not affect the advice given.
- REMINDER: Referral fees are PROHIBITED for personal injury and clinical negligence matters under LASPO 2012. This disclosure obligation does not apply to prohibited areas because no fee may be charged.
12. Conditional Fee Agreements
12.1 Where the Solicitor proposes to act under a Conditional Fee Agreement (CFA), the Solicitor SHALL:
Ensure the CFA is in writing and signed by the Client before commencing Substantive Work;
Ensure the CFA specifies the proceedings or matter to which it relates;
Ensure the CFA specifies the circumstances in which fees are payable;
Ensure the CFA specifies the success fee percentage (if any) and how it is calculated;
Explain what happens if the Client loses;
Explain what happens if the Client terminates the agreement;
Comply with the Conditional Fee Agreements Order 2013.
- DAMAGES-BASED AGREEMENTS
13.1 Where the Solicitor proposes to act under a Damages-Based Agreement (DBA), the Solicitor SHALL:
Ensure the DBA is in writing and signed by the Client before commencing Substantive Work;
Ensure the DBA specifies the claim or proceedings;
Ensure the DBA specifies the payment percentage;
Ensure the percentage does not exceed statutory caps (25% PI, 35% employment, 50% other);
Explain circumstances in which payment is due;
Explain what happens if the claim is unsuccessful;
Comply with the Damages-Based Agreements Regulations 2013.
14. Legal Aid Documentation
14.1 Where the Solicitor proposes to act under legal aid, the Solicitor SHALL:
Provide the Client with information about legal aid eligibility and application;
Complete required Legal Aid Agency application forms;
Explain contribution requirements (if applicable);
Explain the statutory charge;
Provide the Client with their rights and responsibilities under legal aid;
Comply with the Legal Aid Agency Contract requirements.
- FCA-REGULATED ACTIVITIES
15.1 Where the Solicitor conducts activities regulated by the Financial Conduct Authority (FCA), including insurance mediation, consumer credit activities, claims management, mortgage advice, or investment activities, the Solicitor SHALL:
Confirm FCA authorisation status or exempt professional firm status;
Provide FCA registration number (if authorised);
Provide information about FSCS protection (if applicable);
Comply with FCA Handbook disclosure requirements;
Comply with the FCA Consumer Duty 2023;
Provide information about the Financial Ombudsman Service.
Part D: Sra Transparency Rules Compliance
16. Covered Services
16.1 The Solicitor acknowledges that the SRA Transparency Rules impose additional requirements for the following services provided to individuals (and certain small businesses):
Residential conveyancing - Freehold and leasehold sale and purchase
Probate (uncontested) - Obtaining grant and administering estate
Motoring offences - Summary only offences, plea in magistrates' court
Employment tribunal - Unfair or wrongful dismissal (employee claims)
Immigration - Certain visa and leave applications
Debt recovery - Pursuing debts up to £100,000
16.2 The Solicitor SHALL comply with clauses 17-19 for all Covered Services.
17. Price Transparency Requirements
17.1 For Covered Services, the Solicitor SHALL provide Clients with:
Total cost, or if not possible, average cost or range of costs;
Basis for charges (fixed fee, hourly rate, or other);
If hourly rate, the hourly rate and likely number of hours;
Likely disbursements with amounts or estimates;
Whether VAT is included or additional;
If estimate, what might cause it to change;
Typical timescales for each key stage.
18. Service Transparency Requirements
18.1 For Covered Services, the Solicitor SHALL provide Clients with:
Description of the services included in the price;
Key stages of the matter and typical timescales;
Name of who will carry out the work (or description if not yet known);
Qualifications and experience of those who will do the work;
Supervision arrangements (if applicable).
19. Regulatory Transparency Requirements
19.1 For Covered Services, the Solicitor SHALL provide Clients with:
SRA authorisation confirmation and how to verify it;
Professional indemnity insurance arrangements;
Complaints procedure information;
Legal Ombudsman details and time limits (including SIX YEAR longstop);
SRA Compensation Fund information.
Part E: Timing and Delivery
20. When Documentation Must Be Provided
20.1 The Solicitor SHALL provide all Mandatory Documentation BEFORE commencing Substantive Work.
20.2 The timing requirements for specific documentation are:
Client Care Letter - Before Substantive Work - As soon as practicable after instructions
Costs Information - At time of engagement - Update if circumstances change
Complaints Information - At time of engagement - Include in Client Care Letter
Regulatory Information - At time of engagement - Include in Client Care Letter
ID Verification Request - Before establishing relationship - Cannot proceed without
Privacy Notice - At or before data collection - Before collecting personal data
Vulnerable Client Assessment - At first contact - Document any support needed
Alternative Formats - When requested - Anticipatory duty under Equality Act
20.3 The Solicitor warrants that no Substantive Work will be undertaken until all applicable documentation has been provided.
21. Method of Delivery
21.1 Documentation may be provided by:
Email;
Post;
Secure client portal;
In person (with written copy provided);
Alternative formats where required (large print, audio, etc.).
21.2 The Solicitor SHALL:
Confirm the Client's contact details before sending;
Consider security for sensitive information;
Retain proof of sending;
Follow up if no acknowledgment is received;
Consider whether the format is accessible to the specific Client.
22. Client Acknowledgment
22.1 The Solicitor SHALL obtain acknowledgment from the Client that they have received and understood the documentation.
22.2 Acceptable methods of acknowledgment include:
Signed and returned copy of Client Care Letter;
Email confirmation of acceptance;
Electronic signature;
Oral confirmation followed by written confirmation from the Solicitor.
22.3 For vulnerable clients, the Solicitor SHALL take additional steps to ensure the Client genuinely understands the documentation, not merely that they have signed it.
22.4 For CFAs and DBAs, written signature (which may be electronic) is mandatory.
22.5 The Solicitor SHALL retain the acknowledgment on the client file.
23. Updating Documentation
23.1 The Solicitor SHALL update documentation provided to the Client when:
The scope of instructions changes;
Costs are likely to exceed any estimate previously given;
The fee earner handling the matter changes;
Terms of business are updated (for new matters);
Any material change in circumstances occurs.
23.2 The Solicitor acknowledges SRA Code Rule 8.7 requires ongoing communication about costs as the matter progresses.
Part F: Platform Verification
24. Platform Monitoring Rights
24.1 The Platform reserves the right to monitor Solicitor compliance with these Documentation Terms.
24.2 Monitoring may include:
Requesting confirmation that documentation has been provided;
Requesting copies of documentation provided to Clients (on a sample basis);
Client feedback regarding documentation received;
Auditing documentation practices;
Checking compliance with vulnerable client support requirements.
25. Documentation Confirmation
25.1 The Platform may require the Solicitor to confirm, for each matter accepted through the Platform, that:
A Client Care Letter has been provided;
Costs Information has been provided;
Complaints Information has been provided (including correct Legal Ombudsman time limits);
Identity verification has been completed;
Privacy Notice has been provided;
Vulnerable client assessment has been completed;
Reasonable adjustments have been made where required;
Client acknowledgment has been obtained.
25.2 The Solicitor SHALL provide such confirmation promptly when requested, using the form at Schedule 6 or equivalent.
26. Audit and Inspection
26.1 The Platform may conduct audits of Solicitor documentation practices, including requesting sample documentation.
26.2 The Solicitor SHALL cooperate with any reasonable audit request.
26.3 Audit findings may be shared with the Solicitor's COLP and, in serious cases, reported to the SRA.
Part H: Breach and Consequences
35. Breach of Documentation Obligations
35.1 The following constitute breaches of these Documentation Terms:
Failure to provide a Client Care Letter before Substantive Work;
Failure to provide required Costs Information;
Failure to provide Complaints Information;
Failure to provide correct Legal Ombudsman time limits (including SIX YEAR longstop);
Failure to provide Regulatory Protection Information;
Failure to complete identity verification before Substantive Work;
Failure to provide Privacy Notice;
Failure to comply with SRA Transparency Rules for Covered Services;
Failure to obtain required CFA/DBA signatures;
Failure to provide support for vulnerable clients (SRA Rules 3.4, 6.2);
Failure to make reasonable adjustments (Equality Act 2010);
Provision of materially inaccurate or misleading information;
Systematic failure to provide required documentation.
36. Platform Remedies
36.1 In the event of breach of these Documentation Terms, the Platform may:
Issue a warning to the Solicitor;
Require the Solicitor to take remedial action;
Suspend the Solicitor's ability to accept new matters through the Platform;
Terminate the Solicitor's registration on the Platform;
Report serious or systematic breaches to the SRA;
Report to the Solicitor's COLP.
36.2 The Platform will generally follow a graduated approach, starting with warnings for minor breaches, but reserves the right to take immediate action for serious breaches.
37. Regulatory Consequences
37.1 The Solicitor acknowledges that failure to comply with pre-engagement documentation requirements may result in:
SRA investigation and disciplinary action;
Fines (up to £25,000 for individuals, unlimited for firms);
Conditions on practising certificate;
Suspension or strike off;
Professional negligence claims from Clients;
Difficulties recovering costs from Clients;
Adverse findings on assessment of bills.
38. Indemnity
38.1 The Solicitor shall indemnify the Platform against any claims, losses, damages, costs, or expenses arising from:
Failure to provide required documentation to Clients;
Failure to provide support for vulnerable clients;
Failure to make reasonable adjustments;
Provision of inaccurate or misleading documentation;
Any claim by a Client relating to documentation failures.
Part I: General Provisions
39. Term and Termination
39.1 These Documentation Terms remain in effect for as long as the Solicitor maintains a Platform registration.
39.2 Termination does not affect documentation obligations for matters already accepted.
40. Liability
40.1 The Platform's liability under these Documentation Terms is limited as set out in the main Solicitor Terms and Conditions.
40.2 The Solicitor is solely responsible for ensuring compliance with all documentation requirements.
41. Governing Law
41.1 These Documentation Terms are governed by the laws of England and Wales.
41.2 The courts of England and Wales have exclusive jurisdiction.
Schedule 1: Mandatory Documentation Checklist
Complete for Every Matter
Client Care Letter
☐ Client Care Letter prepared
☐ Tailored to specific client and matter
☐ Written in clear, plain English
☐ Alternative format offered/provided if needed
☐ Sent before Substantive Work
Vulnerable Client Assessment
☐ Vulnerability assessment completed
☐ Support needs identified
☐ Reasonable adjustments documented
☐ Alternative formats offered
Scope of Instructions
☐ Matter description included
☐ What is included clearly stated
☐ What is NOT included clearly stated
☐ Client's objectives recorded
Costs Information
☐ Basis of charging stated
☐ Hourly rates stated (if applicable)
☐ Estimate or range provided
☐ Disbursements identified with estimates
☐ VAT position stated
☐ Billing frequency stated
☐ Payment terms stated
☐ Money on account requirements stated
☐ Consumer Rights Act 2015 / DMCCA 2024 compliance (if consumer)
Complaints Information
☐ How to complain to firm
☐ Name and contact of complaints handler
☐ Legal Ombudsman details (address, tel, email, web)
☐ Legal Ombudsman time limits (ONE YEAR, SIX MONTHS, SIX YEARS)
☐ Financial Ombudsman details (if FCA-regulated)
☐ Support for vulnerable clients making complaints
☐ ADR statement
Regulatory Information
☐ SRA authorisation confirmed
☐ SRA ID number
☐ How to verify (www.sra.org.uk)
☐ Compensation Fund information (up to £2 million)
☐ PII information
☐ FCA status (if applicable)
Other Mandatory
☐ Right to challenge bill explained
☐ ID verification request sent
☐ Privacy Notice provided or referenced
Client Acknowledgment
☐ Acknowledgment obtained
☐ Client understanding verified (especially for vulnerable clients)
☐ Retained on file
Document Information
These Terms and Conditions for Pre-Engagement Documentation are issued by [Platform Name].
Document Version: 1.0
Effective Date: January 2026
Last Updated: January 2026
Next Review: July 2026
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Regulatory Framework
SRA Standards and Regulations 2019 (as amended 2025)
SRA Code of Conduct for Solicitors, RELs and RFLs - Rules 3.4, 6.2, 8.6-8.11
SRA Principle 6 (Equality, Diversity and Inclusion)
SRA Transparency Rules 2019
SRA Accounts Rules 2019
Money Laundering Regulations 2017 (as amended)
LSAG Anti-Money Laundering Guidance 2025
Economic Crime and Corporate Transparency Act 2023 (ECCTA 2023)
Proceeds of Crime Act 2002
UK GDPR / Data Protection Act 2018
Consumer Rights Act 2015
Digital Markets, Competition and Consumers Act 2024
Consumer Contracts Regulations 2013
Equality Act 2010
Mental Capacity Act 2005
FCA Handbook and Consumer Duty 2023
Solicitors Act 1974 Part III
Courts and Legal Services Act 1990 (CFAs, DBAs)
Related Documents
Pre-Engagement Documentation Guidance Note V1.0
Client Care Letter Template V1.0
Pre-Engagement and Conflicts Check Terms V1.0
Solicitor Terms and Conditions V1.0
Buyer Terms and Conditions V1.0
Complaints Procedure Template V1.0
Legal Ombudsman Information Template V1.0
Identity Verification Request Template V1.0
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- DISCLAIMER: These terms set out Platform requirements. Solicitors remain solely responsible for ensuring compliance with all applicable regulatory requirements. Requirements may change - verify current position with the SRA.
[Platform Name]
Operated by: [Company Name]