Solicitor Referral Terms
For Solicitor Referrals
E-Solicitors Marketplace
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Solicitor-to-solicitor Referral Agreement
Regulatory Compliance Warranties and Undertakings
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Version 1.0 - January 2026
England and Wales
Important Notice to Solicitors
- BY USING THE PLATFORM'S SOLICITOR REFERRAL FEATURES AND ACCEPTING THESE TERMS, YOU ARE MAKING BINDING WARRANTIES AND REPRESENTATIONS REGARDING YOUR REGULATORY COMPLIANCE WITH REFERRAL RULES.
These Terms and Conditions for Solicitor Referrals ('Referral Terms') constitute a legally binding agreement between you (the 'Solicitor') and [Platform Name] (the 'Platform') governing the use of the Platform's solicitor-to-solicitor referral features.
By accepting these Referral Terms, you confirm that:
You have read, understood, and agree to be bound by these Referral Terms in their entirety
You are a registered Solicitor on the Platform and have accepted the main Solicitor Terms and Conditions V2.2
You understand and will comply with SRA Code of Conduct Rule 5.1 on referrals
You understand and will comply with LASPO 2012 prohibition on PI/CN referral fees
You will make all required disclosures to clients regarding referrals
You will maintain independence and act in clients' best interests in all referral decisions
You will comply with AML/KYC requirements for referred clients (MLR 2017, LSAG 2025)
You will provide appropriate support to vulnerable clients (SRA Code Rules 3.4, 6.2)
ℹ These Referral Terms incorporate compliance obligations derived from: SRA Standards and Regulations 2025, SRA Code of Conduct for Solicitors Rule 5.1, SRA Code of Conduct for Firms Rule 5, LASPO 2012 Sections 56-60, SRA Principles, Money Laundering Regulations 2017 (as amended), LSAG Anti-Money Laundering Guidance 2025, Economic Crime and Corporate Transparency Act 2023, Consumer Rights Act 2015, and Equality Act 2010.
Relationship to Main Terms
These Referral Terms supplement and should be read together with:
Solicitor Terms and Conditions V1.0
Platform Website Terms and Conditions V1.0
Privacy Policy V1.0
In the event of any conflict between these Referral Terms and the main Solicitor Terms and Conditions, the provisions that provide greater protection for clients and greater regulatory compliance shall prevail.
Part A: General Provisions
1. Definitions and Interpretation
1.1 In these Referral Terms, unless the context otherwise requires, the following definitions apply in addition to definitions in the main Solicitor Terms and Conditions:
"Client" means an individual or entity for whom legal services are being or may be provided.
"Client Consent" means consent from a
Client
to be referred to another Solicitor, which may be express or implied depending on the circumstances.
"Consumer" means an individual acting for purposes wholly or mainly outside their trade, business, craft, or profession.
"LASPO" means the Legal Aid, Sentencing and Punishment of Offenders Act 2012.
"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).
"Professional Courtesy Referral" means a referral made without any fee payable between the Solicitors.
"Receiving Solicitor" means the Solicitor who receives a referral of a
Client
or matter from another Solicitor.
"Referral" means the act of one Solicitor referring or recommending a
Client
or matter to another Solicitor through the Platform.
"Referral Fee" means any payment, whether calculated as a percentage, fixed amount, or otherwise, made by one Solicitor to another in connection with a Referral.
"Referring Solicitor" means the Solicitor who refers or recommends a
Client
or matter to another Solicitor.
"Rule 5.1" means Rule 5.1 of the SRA Code of Conduct for Solicitors, RELs and RFLs regarding referrals, introductions and separate businesses.
"Vulnerable Client" means a client who may need additional support due to age, disability, mental capacity, language barriers, or other factors.
2. Scope of These Referral Terms
2.1 These Referral Terms govern:
2.1.1 Referrals made by one Solicitor to another Solicitor through the
Platform;
2.1.2 Referral Fee arrangements between Solicitors facilitated through the
Platform;
2.1.3 The parties' respective obligations in connection with such Referrals.
2.2 These Referral Terms do NOT govern:
2.2.1 Referrals from the Platform to Solicitors (covered in main Solicitor Terms
);
2.2.2 Referrals from third parties (e.g., estate agents, financial advisers) to
Solicitors;
2.2.3 Referrals made outside the Platform's referral features.
3. Platform Role in Referrals
3.1 The Platform's role in Solicitor-to-Solicitor Referrals is limited to:
3.1.1 Providing a directory of Solicitors searchable by practice area, location, and other
criteria;
3.1.2 Facilitating communication between Solicitors regarding potential
Referrals;
3.1.3 Providing templates and tools for Referral
documentation;
3.1.4 Facilitating Referral Fee arrangements where
permitted;
3.1.5 Implementing compliance controls including LASPO
safeguards;
3.1.6 Maintaining records of Referrals for compliance purposes.
3.2 The Platform does NOT:
3.2.1 Make recommendations about which Solicitor to refer
to;
3.2.2 Advise on whether a Referral is
appropriate;
3.2.3 Guarantee the quality or competence of any
Solicitor;
3.2.4 Take any responsibility for the referred
matter;
3.2.5 Conduct AML/KYC checks - this remains each Solicitor's
responsibility;
3.2.6 Provide legal advice of any kind.
- Both Referring Solicitor and Receiving Solicitor retain full responsibility for their own regulatory compliance. The Platform is not a party to any Referral arrangement and provides facilitation services only.
Part B: Sra Compliance - Referrals
- SRA CODE RULE 5.1 COMPLIANCE
4.1 Each Solicitor warrants that they understand and will comply with SRA Code of Conduct Rule 5.1, which provides:
ℹ 'In respect of any referral of a client by you to another person, or of a client to you by another person: (a) you do not make any payment to, or receive any payment from, the person who referred them for that referral, except where it is permitted by law and does not compromise the client's interests; (b) you only accept a referral where you have reasonable grounds for believing the client has been informed of any financial or other interest the referrer has in the referral; and (c) referral arrangements do not affect or impair your independence, and do not place you in a position where there is a conflict of interest.'
4.2 The Referring Solicitor warrants that in respect of each Referral made through the Platform:
4.2.1 Any Referral Fee payable is permitted by law (and in particular is not prohibited by LASPO 2012
);
4.2.2 The Referral Fee arrangement does not compromise the Client's
interests;
4.2.3 The Client has been informed of any financial interest the Referring Solicitor has in the
Referral;
4.2.4 The Referral does not affect or impair the Referring Solicitor's
independence;
4.2.5 The Referral does not create a conflict of interest.
4.3 The Receiving Solicitor warrants that in respect of each Referral accepted through the Platform:
4.3.1 Any Referral Fee payable is permitted by
law;
4.3.2 The Receiving Solicitor has reasonable grounds for believing the Client has been informed of any financial
interest;
4.3.3 The Referral arrangement does not affect or impair the Receiving Solicitor's
independence;
4.3.4 The Referral does not create a conflict of interest for the Receiving Solicitor.
5. Sra Principles in Referrals
5.1 Each Solicitor warrants that all Referrals made or accepted through the Platform comply with the SRA Principles, including:
5.1.1 Principle 1 (Rule of Law): Referrals comply with LASPO and all other applicable
laws;
5.1.2 Principle 2 (Public Trust): Referral arrangements do not undermine public trust in the
profession;
5.1.3 Principle 3 (Independence): The Solicitor maintains independence in all Referral
decisions;
5.1.4 Principle 4 (Honesty): All disclosures to Clients are honest and
complete;
5.1.5 Principle 5 (Integrity): Referral arrangements involve no improper
inducements;
5.1.6 Principle 6 (Equality, Diversity and Inclusion): Referrals are made without discrimination on the basis of protected characteristics under the Equality Act
2010;
5.1.7 Principle 7 (Best Interests): Referrals are made in the Client's best interests.
6. Independence and Best Interests
6.1 The Referring Solicitor warrants that each Referral decision is made:
6.1.1 Primarily in the Client's best
interests;
6.1.2 Based on genuine reasons such as specialist expertise, capacity, or
conflict;
6.1.3 Without undue influence from the prospect of receiving a Referral
Fee;
6.1.4 With consideration of whether the Receiving Solicitor is appropriate for the Client.
6.2 The Referring Solicitor confirms that they would make substantially the same Referral recommendation even if no Referral Fee were payable.
6.3 The Receiving Solicitor warrants that acceptance of a Referral and any Referral Fee payable will not influence:
6.3.1 The advice given to the
Client;
6.3.2 The conduct of the Client's
matter;
6.3.3 Any decisions about settlement or case
strategy;
6.3.4 The quality of service provided to the Client.
7. Conflicts of Interest
7.1 The Referring Solicitor warrants that before making any Referral:
7.1.1 They have considered whether any conflict of interest
exists;
7.1.2 The Referral itself does not create a conflict of
interest;
7.1.3 Where the Referral is made due to a conflict, no Referral Fee is charged.
7.2 The Receiving Solicitor warrants that before accepting any Referral:
7.2.1 They have conducted a full conflict check against their own
records;
7.2.2 No conflict of interest exists that would prevent them
acting;
7.2.3 They will decline the Referral if a conflict is identified.
7.3 Where a Referral is made because the Referring Solicitor has a conflict of interest:
7.3.1 No Referral Fee shall be
payable;
7.3.2 The Client shall be informed of the reason for the
Referral;
7.3.3 The Client shall be given genuine choice of alternative
Solicitors;
7.3.4 Special care shall be taken regarding confidential information.
Part C: Laspo Prohibition
- Referral Fees are ABSOLUTELY PROHIBITED for personal injury and clinical negligence matters under LASPO 2012. This prohibition applies to Solicitor-to-Solicitor Referrals.
8. Prohibited Referral Fee Areas
8.1 Both Solicitors acknowledge that Referral Fees are prohibited by law under LASPO 2012 (sections 56-60) in respect of:
8.1.1 Personal injury claims, including but not limited to: road traffic accidents; workplace accidents; accidents in public places; product liability claims; occupational disease claims; industrial illness
claims;
8.1.2 Clinical negligence claims, including but not limited to: medical negligence; surgical negligence; dental negligence; nursing negligence; hospital negligence; GP negligence; prescription errors;
misdiagnosis;
8.1.3 Any claim arising from death or personal injury, including: fatal accident claims; wrongful death claims; dependency claims under the Fatal Accidents Act 1976.
8.2 The prohibition in clause 8.1 applies regardless of:
8.2.1 How the fee is described or
labelled;
8.2.2 The structure or calculation method of the
fee;
8.2.3 Whether the fee is paid directly or
indirectly;
8.2.4 Whether the parties are both Solicitors.
- THE 'IN SUBSTANCE' TEST
9.1 Both Solicitors acknowledge that LASPO 2012 catches fees that are 'in substance' referral fees, regardless of how they are described or structured.
9.2 The following arrangements are PROHIBITED for PI/clinical negligence matters and constitute prohibited Referral Fees 'in substance':
9.2.1 Any percentage fee linked to successful
introductions;
9.2.2 Any fixed fee per successful introduction or
instruction;
9.2.3 Any fee calculated by reference to fees earned from referred
Clients;
9.2.4 Any 'success fee' or 'case fee' arrangement linked to
Referrals;
9.2.5 Any arrangement where payment is contingent on the referred Client instructing the Receiving
Solicitor;
9.2.6 Any reciprocal arrangement that is conditional or linked.
10. Laspo Compliance Warranties
10.1 Each Solicitor warrants that they will NOT:
10.1.1 Pay any Referral Fee to another Solicitor for a PI or clinical negligence
Referral;
10.1.2 Receive any Referral Fee from another Solicitor for a PI or clinical negligence
Referral;
10.1.3 Enter into any arrangement that is 'in substance' a prohibited Referral
Fee;
10.1.4 Attempt to circumvent the LASPO prohibition through any means.
10.2 Each Solicitor acknowledges that breach of LASPO 2012 is:
10.2.1 A CRIMINAL OFFENCE with a maximum penalty of £50,000
fine;
10.2.2 A serious regulatory breach that may result in disciplinary action including strike-
off;
10.2.3 A material breach of these Referral Terms resulting in immediate termination.
11. Platform Laspo Controls
11.1 The Platform implements the following controls to prevent prohibited Referral Fees:
11.1.1 Practice area identification system that flags PI and clinical negligence
matters;
11.1.2 Automatic warning displayed when PI/CN Referral is
initiated;
11.1.3 Referral Fee functionality DISABLED for PI and clinical negligence
matters;
11.1.4 Mandatory confirmation from both Solicitors that no fee is payable for PI/CN
Referrals;
11.1.5 Audit trail of all PI/CN Referrals for compliance monitoring.
11.2 When making a PI or clinical negligence Referral, both Solicitors must confirm:
ℹ 'I confirm that this Referral relates to a personal injury or clinical negligence matter. I understand that Referral Fees for such matters are PROHIBITED by law (LASPO 2012). I confirm that NO Referral Fee is or will be payable in connection with this Referral. I understand that paying or receiving such a fee is a criminal offence.'
Part D: Making Referrals
12. Eligibility to Make Referrals
12.1 To make Referrals through the Platform, a Solicitor must:
12.1.1 Be a registered Solicitor on the Platform with an active
account;
12.1.2 Have accepted the main Solicitor Terms and Conditions V2.
2;
12.1.3 Have accepted these Referral
Terms;
12.1.4 Maintain current SRA authorisation (or equivalent for RELs/RFLs
);
12.1.5 Not be subject to any SRA restriction preventing Referrals.
13. Types of Permitted Referrals
13.1 Referrals may be made through the Platform for the following reasons:
13.1.1 Specialist Expertise: The matter requires specialist knowledge or experience beyond the Referring Solicitor's
competence;
13.1.2 Conflict of Interest: A conflict prevents the Referring Solicitor from continuing to
act;
13.1.3 Capacity Constraints: The Referring Solicitor lacks capacity to handle the matter
properly;
13.1.4 Geographic Convenience: The Client or matter would be better served by a Solicitor in a different
location;
13.1.5 Practice Area Limitations: The matter falls outside the Referring Solicitor's practice
areas;
13.1.6 Client Preference: The Client has requested a referral to a specific Solicitor or type of Solicitor.
13.2 Regardless of reason, all Referrals must be made in the Client's best interests.
14. Client Consent Requirements
14.1 The Referring Solicitor must obtain Client Consent before making any Referral.
14.2 Express Consent is required where:
14.2.1 A Referral Fee is
payable;
14.2.2 Confidential information will be shared with the Receiving
Solicitor;
14.2.3 The Referring Solicitor has any financial interest in the Receiving
Solicitor;
14.2.4 The Client is a Vulnerable
Client;
14.2.5 The circumstances make implied consent inappropriate.
14.3 Implied Consent may be sufficient where:
14.3.1 The Client has asked for a recommendation and accepts
it;
14.3.2 The Referral is obviously necessary
and in the Client's
interest;
14.3.3 No Referral Fee is payable (Professional Courtesy Referral).
14.4 Where Referral Fees are payable, written consent using the form in Schedule 3 or equivalent is strongly recommended.
15. Disclosure Obligations
15.1 The Referring Solicitor must disclose to the Client before the Referral:
15.1.1 That a Referral is being made and to
whom;
15.1.2 The reason for the
Referral;
15.1.3 Whether a Referral Fee is payable (and if so, that fact
);
15.1.4 That the Client is free to choose a different
Solicitor;
15.1.5 That the Receiving Solicitor will issue their own terms of
engagement;
15.1.6 That the Receiving Solicitor will need to conduct their own AML/identity checks.
15.2 The Referring Solicitor must use disclosure wording substantially in the form set out in Schedule 2 or equivalent clear wording.
15.3 Disclosure must be made in writing or confirmed in writing promptly after oral disclosure.
15.4 The Referring Solicitor must keep a record of the disclosure made and any Client consent obtained.
16. Referral Process
16.1 To make a Referral through the Platform, the Referring Solicitor shall:
16.1.1 Identify an appropriate Receiving Solicitor using the Platform's
directory;
16.1.2 Make required disclosures to the Client and obtain any necessary
consent;
16.1.3 Contact the potential Receiving Solicitor through the Platform to discuss the
Referral;
16.1.4 Confirm the Receiving Solicitor can accept the matter (including conflict check
);
16.1.5 Agree any Referral Fee arrangement (if permitted and applicable
);
16.1.6 Complete the Platform's Referral confirmation
process;
16.1.7 Facilitate file transfer to the Receiving Solicitor.
Part E: Receiving Referrals
17. Eligibility to Receive Referrals
17.1 To receive Referrals through the Platform, a Solicitor must:
17.1.1 Meet all eligibility requirements in clause
12.1;
17.1.2 Have appropriate competence and expertise for the referred
matter;
17.1.3 Have capacity to handle the matter
properly;
17.1.4 Have no conflict of
interest;
17.1.5 Have appropriate AML policies and procedures in place (MLR 2017, LSAG 2025).
18. Conflict Check Obligations
18.1 The Receiving Solicitor MUST conduct their own independent conflict check before accepting any Referral.
18.2 The conflict check must include:
18.2.1 Full conflict search against the Receiving Solicitor's
records;
18.2.2 Check for conflicts with the Client, any adverse parties, and the
matter;
18.2.3 Check for any conflict with the Referring
Solicitor;
18.2.4 Documentation of the conflict check undertaken and result.
18.3 The Receiving Solicitor must decline the Referral if any conflict is identified that cannot be properly managed.
- The Receiving Solicitor cannot rely on the Referring Solicitor's conflict check. An independent conflict check is mandatory.
19. Verification of Disclosure
19.1 Before accepting a Referral where a Referral Fee is payable, the Receiving Solicitor must have reasonable grounds for believing that the Client has been informed of the Referral Fee arrangement.
19.2 The Receiving Solicitor may rely on:
19.2.1 Written confirmation from the Referring Solicitor that disclosure has been
made;
19.2.2 Copy of the disclosure provided to the
Client;
19.2.3 Signed Client consent
form;
19.2.4 Platform confirmation that disclosure requirements have been completed.
19.3 If the Receiving Solicitor has any doubt about whether proper disclosure has been made, they must:
19.3.1 Request confirmation from the Referring Solicitor; or
19.3.2 Make the disclosure themselves to the Client.
- CLIENT ENGAGEMENT - AML/KYC REQUIREMENTS
20.1 Upon accepting a Referral, the Receiving Solicitor shall:
20.1.1 Issue their own client care letter and terms of
engagement;
20.1.2 Conduct their own AML/KYC checks on the Client (MLR 2017, LSAG 2025
);
20.1.3 Obtain their own retainer from the
Client;
20.1.4 NOT rely on any AML/KYC checks conducted by the Referring
Solicitor;
20.1.5 Treat the Client as a new client for all compliance purposes.
- The Receiving Solicitor must conduct their own independent AML/KYC checks. You cannot rely on the Referring Solicitor's checks. This is a regulatory requirement under MLR 2017 Regulations 27-28 and LSAG 2025.
20.2 AML/KYC checks must include:
20.2.1 Client identification and verification (Regulation 28
);
20.2.2 Beneficial ownership checks (MORE THAN 25% threshold per LSAG 2025
);
20.2.3 Source of funds and source of wealth (where appropriate
);
20.2.4 Sanctions
screening;
20.2.5 Risk assessment.
20.3 The Receiving Solicitor's client care letter should acknowledge the Referral and confirm the Referral Fee arrangement (if any) where appropriate.
Part F: Referral Fee Arrangements
21. Permitted Fee Arrangements
21.1 Subject to the LASPO prohibition in Part C, Referral Fees may be agreed between Solicitors for Referrals in practice areas where such fees are not prohibited by law.
21.2 A Referral Fee arrangement is only valid if:
21.2.1 The matter is NOT personal injury or clinical
negligence;
21.2.2 The Client has been informed of the
arrangement;
21.2.3 The arrangement does not compromise Client
interests;
21.2.4 Both Solicitors' independence is
maintained;
21.2.5 The arrangement is documented in writing.
22. Fee Structure Options
22.1 Referral Fees may be structured as:
22.1.1 Percentage of Fees: A percentage of the professional fees billed by the Receiving Solicitor to the referred
Client;
22.1.2 Fixed Fee: A fixed sum per successful
Referral;
22.1.3 First Matter Fee: A fee for the first matter from a referred Client
only;
22.1.4 No Fee: A Professional Courtesy Referral with no fee payable.
22.2 The Platform provides a template Referral Fee Agreement at Schedule 4 which may be used.
22.3 Indicative fee ranges by practice area are set out in Schedule 1, but parties are free to agree different terms.
23. Payment Terms
23.1 Unless otherwise agreed in writing:
23.1.1 Percentage-based fees become payable when the Receiving Solicitor bills the
Client;
23.1.2 Fixed fees become payable when the Client instructs the Receiving
Solicitor;
23.1.3 The Receiving Solicitor shall pay the Referring Solicitor within 30 days of invoice.
23.2 The Receiving Solicitor shall provide the Referring Solicitor with reasonable information to verify fee calculations upon request.
24. Vat and Tax
24.1 Referral Fees are subject to VAT at the prevailing rate.
24.2 The paying Solicitor shall issue or obtain a proper VAT invoice for all Referral Fee payments.
24.3 Each Solicitor is responsible for their own tax compliance in respect of Referral Fees received or paid.
25. Payment From Office Account
- Referral Fees must NEVER be paid from client account or client money.
25.1 Both Solicitors warrant that all Referral Fees will be paid from the paying Solicitor's office account (own funds) and NOT from:
25.1.1 Client
account;
25.1.2 Client
money;
25.1.3 Funds held on trust for any client.
25.2 Breach of clause 25.1 is a serious breach of the SRA Accounts Rules 2019 and these Referral Terms.
26. Records and Reporting
26.1 Both Solicitors shall maintain records of all Referral Fee arrangements including:
26.1.1 Copy of written fee
agreement;
26.1.2 Invoices issued and payments made/
received;
26.1.3 Confirmation of disclosure to
Clients;
26.1.4 Evidence that fees were paid from office account.
26.2 Records shall be retained for at least 6 years after the Referral or conclusion of the fee arrangement.
26.3 Records shall be available for inspection by the Solicitor's COLP and for any SRA inquiry.
Part G: Client Protection
- CLIENT'S BEST INTERESTS
27.1 Both Solicitors warrant that all Referrals shall be made and accepted with the Client's best interests as the primary consideration.
27.2 The Referring Solicitor shall not make a Referral:
27.2.1 Primarily motivated by the prospect of receiving a Referral
Fee;
27.2.2 To a Receiving Solicitor known to be unsuitable for the
matter;
27.2.3 Without genuine belief that the Referral benefits the Client.
27.3 The Receiving Solicitor shall not accept a Referral:
27.3.1 If they lack competence for the
matter;
27.3.2 If they lack capacity to handle the matter
properly;
27.3.3 If acceptance would not be in the Client's interests.
28. Client Choice
28.1 The Client must be informed that they are free to choose a different Solicitor.
28.2 The Client shall not be pressured or required to accept the Referral.
28.3 If the Client requests alternatives, the Referring Solicitor should offer other options where possible.
29. Consumer Protection
29.1 Where the Client is a Consumer (as defined in the Consumer Rights Act 2015), both Solicitors must ensure:
29.1.1 Services are provided with reasonable care and skill (CRA 2015 s.49
);
29.1.2 All fees and charges are disclosed upfront (Digital Markets, Competition and Consumers Act 2024
);
29.1.3 Pre-contract information is provided (Consumer Contracts Regulations 2013
);
29.1.4 Cancellation rights are explained where applicable.
29.2 Consumer Clients retain all statutory rights under consumer protection legislation, which cannot be excluded.
30. Vulnerable Clients
30.1 Where a
Client
may be Vulnerable, both Solicitors must comply with SRA Code Rules 3.4 and 6.2 and ensure:
30.1.1 The Client understands the Referral and any fee
arrangement;
30.1.2 The Client's consent is genuine and
informed;
30.1.3 The Referral is genuinely in the Client's best
interests;
30.1.4 The Receiving Solicitor is made aware of any vulnerability
issues;
30.1.5 Reasonable adjustments are made to support the Client.
30.2 Vulnerability factors include but are not limited to:
30.2.1 Age (older or younger clients
);
30.2.2 Disability (physical, sensory, learning, or mental health
);
30.2.3 Mental capacity issues (Mental Capacity Act 2005
);
30.2.4 Language
barriers;
30.2.5 Bereavement or emotional
distress;
30.2.6 Financial difficulties.
30.3 Where there are concerns about a
Client's
mental capacity:
30.3.1 The presumption of capacity applies (MCA 2005 s.1
);
30.3.2 Practicable steps should be taken to help the Client make their own
decision;
30.3.3 Consent to Referral from a person lacking capacity may require consideration of a Lasting Power of Attorney or Court of Protection Deputy.
31. File Transfer
31.1 Where a Referral involves transfer of an existing file, the Referring Solicitor shall:
31.1.1 Obtain the Client's written authority to release the
file;
31.1.2 Prepare a summary or handover note for the Receiving
Solicitor;
31.1.3 Transfer relevant documents securely and
promptly;
31.1.4 Retain copies as required by the firm's retention
policy;
31.1.5 Remain available to assist with any queries during transition.
31.2 File transfer should be completed within 14 days of the Referral unless agreed otherwise or exceptional circumstances apply.
32. Confidentiality
32.1 Both Solicitors shall handle all Client information shared in connection with a Referral in accordance with their professional duties of confidentiality.
32.2 The Referring Solicitor shall only share information with the Receiving Solicitor that is:
32.2.1 Necessary for the
Referral;
32.2.2 Authorised by the Client (expressly or impliedly
);
32.2.3 Not subject to legal professional privilege unless the Client consents.
32.3 Where a Referral is made due to conflict of interest, special care shall be taken not to disclose confidential information that could benefit any other client.
Part H: Equality, Diversity and Inclusion
33. Edi in Referrals
33.1 Both Solicitors shall comply with SRA Principle 6 and the Equality Act 2010 in all Referral activities.
33.2 Protected characteristics under the Equality Act 2010 are:
Age
Disability
Gender reassignment
Marriage and civil partnership
Pregnancy and maternity
Race
Religion or belief
Sex
Sexual orientation
33.3 Neither Solicitor shall:
33.3.1 Discriminate in deciding whether to make or accept a Referral based on protected
characteristics;
33.3.2 Make assumptions about Client needs based on protected
characteristics;
33.3.3 Provide a lesser service to Clients with protected characteristics.
33.4 Both Solicitors shall make reasonable adjustments for disabled Clients in accordance with the Equality Act 2010.
Part I: Compliance and Oversight
34. Colp Oversight
34.1 Each Solicitor's COLP (or equivalent compliance officer) has oversight responsibility for Referral arrangements including:
34.1.1 Ensuring Referral procedures comply with SRA
rules;
34.1.2 Monitoring LASPO compliance for PI/CN
matters;
34.1.3 Reviewing disclosure
practices;
34.1.4 Including Referral arrangements in compliance
reviews;
34.1.5 Reporting material breaches to the SRA where required.
34.2 Each Solicitor's COFA (or equivalent) has oversight of financial aspects including:
34.2.1 Ensuring Referral Fees are paid from office
account;
34.2.2 Proper accounting for Referral Fees received and
paid;
34.2.3 VAT compliance.
35. Sra Reporting Obligations
35.1 Each Solicitor acknowledges their obligation to report material breaches of SRA rules to the SRA, including:
35.1.1 Payment or receipt of prohibited PI/CN Referral
Fees;
35.1.2 Systematic failure to make required
disclosures;
35.1.3 Referral arrangements that have compromised Client
interests;
35.1.4 AML failures in relation to referred Clients.
35.2 The Platform may report to the SRA any suspected breach of LASPO or SRA rules that comes to its attention.
36. Complaints Handling
36.1 Complaints from Clients about Referrals shall be handled under the relevant Solicitor's complaints procedure in accordance with SRA Code of Conduct for Firms Rule 7.
36.2 If a
Client
is dissatisfied with the resolution of a complaint, they may escalate to:
36.2.1 The Legal Ombudsman (for service issues
);
36.2.2 The SRA (for conduct issues).
36.3 Legal Ombudsman Time Limits:
36.3.1 Within 1 YEAR of the act or omission complained
about;
36.3.2 Within 6 YEARS of the act or
omission;
36.3.3 Within 6 MONTHS of the Solicitor's final response.
36.4 Disputes between Solicitors about Referral Fee arrangements may be referred to the Platform's dispute resolution process.
36.5 The Platform shall investigate any complaint alleging breach of these Referral Terms and may
take action
including suspension of Referral privileges.
37. Breach and Consequences
37.1 Breach of these Referral Terms may result in:
37.1.1 Suspension of the Solicitor's Referral
privileges;
37.1.2 Termination of the Solicitor's Platform
registration;
37.1.3 Reporting to the
SRA;
37.1.4 Legal action for damages or indemnity.
37.2 Breach of LASPO 2012 (prohibited Referral Fees) is treated as a material breach resulting in immediate suspension and mandatory reporting to the SRA.
Part J: Fca Considerations
- REFERRALS INVOLVING FCA-REGULATED ACTIVITIES
38.1 Some legal services may involve FCA-regulated activities, including:
38.1.1 Insurance
mediation;
38.1.2 Certain investment
activities;
38.1.3 Consumer credit
activities;
38.1.4 Claims management activities.
38.2 Where a Referral involves FCA-regulated activities:
38.2.1 The Receiving Solicitor must hold appropriate FCA authorisation or operate under a relevant
exemption;
38.2.2 Additional FCA disclosure requirements may
apply;
38.2.3 FCA complaints handling rules (DISP) may
apply;
38.2.4 The Financial Ombudsman Service may have jurisdiction.
38.3 Both Solicitors warrant that they will ensure compliance with any applicable FCA requirements in respect of Referrals involving regulated activities.
38.4 Financial Ombudsman Service:
38.4.1 Website: www.financial-ombudsman.org.uk
38.4.2 Phone: 0800 023 4567
Part K: General Provisions
39. Term and Termination
39.1 These Referral Terms remain in effect for as long as the Solicitor maintains a Platform registration and uses the Referral features.
39.2 A Solicitor may cease using the Referral features at any time but remains bound by these Referral Terms in respect of any Referrals already made.
39.3 Termination does not affect:
39.3.1 Referral Fee obligations for Referrals made before
termination;
39.3.2 Record keeping
obligations;
39.3.3 Obligations to Clients in respect of existing
Referrals;
39.3.4 Liability for breaches occurring before termination.
40. Liability
40.1 The Platform's liability under these Referral Terms is limited as set out in the main Solicitor Terms and Conditions V2.2.
40.2 The Platform is not liable for:
40.2.1 The conduct of any
Solicitor;
40.2.2 The quality of services provided by any
Solicitor;
40.2.3 Any loss arising from a
Referral;
40.2.4 Non-payment of Referral Fees by one Solicitor to another.
40.3 Nothing in these Referral Terms limits liability for fraud, death or personal injury caused by negligence, or any other liability that cannot be limited by law.
41. Indemnity
41.1 Each Solicitor shall indemnify the Platform against all claims, losses, damages, costs, and expenses arising from:
41.1.1 Breach of these Referral Terms by the
Solicitor;
41.1.2 Breach of SRA rules or LASPO in connection with
Referrals;
41.1.3 Any claim by a Client in connection with a
Referral;
41.1.4 Any claim by another Solicitor in connection with a Referral.
41.2 The Referring Solicitor shall indemnify the Receiving Solicitor against claims arising from the Referring Solicitor's failure to make required disclosures.
42. Governing Law
42.1 These Referral Terms are governed by and construed in accordance with the laws of England and Wales.
42.2 The courts of England and Wales have exclusive jurisdiction to settle any dispute arising from these Referral Terms.
43. Entire Agreement
43.1 These Referral Terms, together with the main Solicitor Terms and Conditions V2.2 and any documents referred to in them, constitute the entire agreement regarding Solicitor-to-Solicitor Referrals through the Platform.
43.2 Each Solicitor acknowledges that they have not relied on any statement, promise, representation, or warranty not set out in these documents.
Document Information
These Terms and Conditions for Solicitor Referrals 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 - Rule 5.1
SRA Code of Conduct for Firms - Rule 5, Rule 7
SRA Principles (including Principle 6 - EDI)
SRA Accounts Rules 2019
Legal Aid, Sentencing and Punishment of Offenders Act 2012 (LASPO)
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
FCA Handbook (where applicable)
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[Platform Name]
Operated by: [Company Name]
Company registration number: [X]
Registered address: [Address]
SRA Authorisation: NOT APPLICABLE (Platform is not a law firm)
ICO Registration: [X]