Skip to main content

Non-UK & Dual Qualified Lawyers

FOR NON-UK QUALIFIED LAWYERS

And Dual Qualified Solicitors​

E-Solicitors Legal Services Marketplace

─────────────────────────────────────

Version 1.0 - January 2026

England and Wales

Important Notice​

  • BY REGISTERING ON THE PLATFORM AND ACCEPTING THESE TERMS, YOU ARE MAKING BINDING WARRANTIES AND REPRESENTATIONS REGARDING YOUR REGULATORY STATUS, QUALIFICATION, AND COMPLIANCE.

Who These Terms Apply To

These Terms apply to legal professionals who are:

Registered Foreign Lawyers (RFLs) registered with the SRA

Registered European Lawyers (RELs) registered with the SRA before 1 January 2021

Dual Qualified Solicitors holding practising qualifications in England and Wales AND one or more other jurisdictions

Foreign lawyers working in SRA-regulated firms without individual SRA registration

Key Points You Must Understand

  • The Platform is a MARKETPLACE connecting you with clients seeking legal services

  • You remain subject to regulation by the SRA (and your home regulator)

  • Your practice rights depend on your registration type

  • The Platform does NOT provide legal advice or legal services

  • When you accept instructions, the contract is with the client - not with us

  • We are NOT a law firm and are NOT regulated by the SRA, Law Society, or FCA

  • Reserved Legal Activities: Only solicitors (and RELs) can conduct reserved legal activities. RFLs and unregistered foreign lawyers CANNOT conduct reserved activities independently.

Contents​

Part A: General Terms​

  1. Definitions and Interpretation

  2. Platform Status and Regulatory Position

  3. Nature of the Service

Part B: Registration Types and Eligibility​

  1. Registered Foreign Lawyers (RFLs)

  2. Registered European Lawyers (RELs)

  3. Dual Qualified Solicitors

  4. Unregistered Foreign Lawyers

  1. Reserved Legal Activities

  2. Unreserved Legal Activities

  3. Practice Restrictions by Registration Type

Part D: Sra Regulatory Compliance​

  1. SRA Principles

  2. SRA Code of Conduct

  3. Client Care Requirements

  4. SRA Transparency Rules

  5. Professional Indemnity Insurance

Part E: Aml/kyc Compliance​

  1. AML Obligations

  2. Customer Due Diligence

  3. Sanctions Screening

  4. Multi-Jurisdictional AML Compliance

Part F: Consumer Protection​

  1. Consumer Rights Act 2015

  2. Consumer Contracts Regulations 2013

  3. Digital Markets, Competition and Consumers Act 2024

Part G: Multi-jurisdictional Practice​

  1. Dual Qualification Obligations

  2. Conflicts of Interest Across Jurisdictions

  3. Multiple Regulatory Obligations

  4. Cross-Border Practice

Part H: Client Relationships​

  1. Client Engagement

  2. Vulnerable Clients

  3. Complaints Handling

  4. Legal Ombudsman

Part I: Fees and Referrals​

  1. Platform Fees

  2. Referral Fee Rules

  3. LASPO Prohibition

Part J: General Provisions​

  1. Term and Termination

  2. Liability

  3. Data Protection

  4. Governing Law

Schedules​

Schedule 1: Practice Rights Comparison Table

Schedule 2: SRA Compliance Checklist

Schedule 3: AML/KYC Compliance Checklist

Schedule 4: Multi-Jurisdictional Compliance Checklist

Part A: General Terms​

1. Definitions and Interpretation​

1.1 In these Terms, the following words have these meanings:

'AML' means anti-money laundering, including compliance with MLR 2017, POCA 2002, TA 2000, ECCTA 2023, and LSAG 2025.

'Dual Qualified Solicitor' means a solicitor holding full practising qualifications in England and Wales AND one or more other jurisdictions.

'E-SOLICITORS' means

Esol

Corporation Limited with Company number 16927988.

'FCA' means the Financial Conduct Authority.

'Foreign Lawyer' means a lawyer qualified in a jurisdiction outside England and Wales.

'Home Jurisdiction' means the jurisdiction in which a Foreign Lawyer obtained their primary legal qualification.

'Home Regulator' means the regulatory body in the Home Jurisdiction.

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

'LSA' means the Legal Services Act 2007.

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

'REL' means a Registered European Lawyer registered with the SRA before 1 January 2021.

'Reserved Legal Activities' means the six activities reserved under section 12 of the LSA.

'RFL' means a Registered Foreign Lawyer registered with the SRA.

'SRA' means the Solicitors Regulation Authority.

'Unreserved Legal Activities' means legal services that are not reserved legal activities.

2. Platform Status and Regulatory Position​

2.1 You acknowledge and agree that:

(a) The Platform is a technology marketplace facilitating introductions between clients and legal

professionals;

(b) The Platform does NOT provide legal advice or legal

services;

(c) The Platform is NOT a law firm, legal practice, or Alternative Business

Structure;

(d) The Platform is NOT regulated by the SRA, Law Society, or

FCA;

(e) The Platform does NOT hold client

money;

(f) The Platform does NOT conduct AML/KYC checks - this is your responsibility.

3. Nature of the Service​

3.1 When you accept instructions through the Platform:

(a) You enter into a contract directly with the

client;

(b) You (or your firm) are solely responsible for providing legal

services;

(c) The Platform is not a party to your retainer with the

client;

(d) Professional duties are owed by you to the client, not by the Platform.

Part B: Registration Types and Eligibility​

  1. REGISTERED FOREIGN LAWYERS (RFLs)

4.1 Eligibility to Register as RFL on the Platform:

(a) You must be registered with the SRA as an

RFL;

(b) Your RFL registration must be current and not subject to conditions preventing Platform

use;

(c) You must be a member of a legal profession approved by the

SRA;

(d) Your home profession must permit practice with England and Wales solicitors.

4.2 RFL Practice Rights - What You CAN Do:

  • All unreserved legal work - English, Welsh, and foreign law

  • Be a manager or owner of an SRA-regulated firm

  • Supervise unreserved legal work

  • Advise on English and Welsh law (unreserved matters)

  • Limited advocacy in chambers hearings when assisting an authorised person

4.3 RFL Practice Restrictions - What You CANNOT Do:

  • Conduct litigation independently

  • Exercise rights of audience in open court

  • Prepare transfer/charge instruments for land independently

  • Prepare probate papers independently

  • Perform notarial activities

  • Administer oaths independently

  • Hold yourself out as a 'solicitor' of England and Wales

  • It is a CRIMINAL OFFENCE under section 14 of the Legal Services Act 2007 to carry on a reserved legal activity unless authorised or exempt.

  1. REGISTERED EUROPEAN LAWYERS (RELs)
  • REL registration closed to new applicants from 1 January 2021. These provisions apply only to existing RELs.

5.1 Existing REL Practice Rights:

(a) Practice under home professional

title;

(b) Provide all reserved and unreserved legal

services;

(c) Be managers and owners of SRA-regulated

firms;

(d) Equivalent rights to solicitors in most respects.

5.2 REL Continuation Requirements:

(a) Maintain registration in home

jurisdiction;

(b) Renew SRA registration annually by 31

October;

(c) Pay annual Compensation Fund

contribution;

(d) Comply with all SRA Standards and

Regulations;

(e) Notify SRA of any changes to practising address.

6. Dual Qualified Solicitors​

6.1 Eligibility as Dual Qualified Solicitor:

(a) You hold a current practising certificate as a solicitor of England and Wales; AND

(b) You hold full practising qualifications in one or more other jurisdictions.

6.2 Dual Qualified Solicitor Practice Rights:

  • Full reserved and unreserved legal activities in England and Wales

  • Practice rights in your other jurisdiction(s) as permitted by those jurisdictions

  • Cross-border transaction advice covering multiple legal systems

6.3 Dual Qualification Warranties:

(a) You hold valid practising certificates in all jurisdictions

claimed;

(b) You are in good standing with all relevant

regulators;

(c) You comply with the regulatory requirements of each

jurisdiction;

(d) You maintain required insurance in each

jurisdiction;

(e) You will notify the Platform if any qualification lapses or is restricted.

  • Holding dual qualification does not automatically permit practice in both jurisdictions. You must maintain valid practising certificates in each.

7. Unregistered Foreign Lawyers​

7.1 If you are a foreign lawyer working without SRA registration:

(a) You may only provide unreserved legal

services;

(b) You must work within an SRA-regulated

firm;

(c) You cannot hold yourself out as a

solicitor;

(d) You cannot be a manager or owner of a recognised

body;

(e) You cannot supervise reserved legal work.

7.2 Platform Registration for Unregistered Foreign Lawyers:

(a) You must register through your employing SRA-regulated

firm;

(b) Your firm takes responsibility for your

compliance;

(c) Your services must be clearly described as unreserved

only;

(d) Your home qualification must be accurately disclosed.

8.1 The six reserved legal activities under the Legal Services Act 2007 are:

  1. Exercise of a Right of Audience

Appearing before and addressing a court in legal proceedings.

  1. Conduct of Litigation

Issuing, prosecuting, and defending court proceedings on behalf of clients.

  1. Reserved Instrument Activities

Preparing transfers, charges, and other instruments relating to registered or unregistered land.

  1. Probate Activities

Preparing papers for the purposes of obtaining probate or letters of administration.

  1. Notarial Activities

Activities traditionally performed by notaries public.

  1. Administration of Oaths

Administering oaths, taking affidavits, and statutory declarations.

  • Only authorised persons may conduct reserved legal activities. Conducting reserved activities without authorisation is a CRIMINAL OFFENCE punishable by fine and/or imprisonment.

9.1 Unreserved legal activities can be provided by anyone. These include:

  • Legal advice on any area of law (including English law)

  • Contract drafting and negotiation

  • Commercial negotiations and transactions

  • Corporate and M&A advisory work

  • Employment advice and tribunal representation

  • Tax advice and planning

  • Immigration advice (if OISC registered or exempt)

  • Intellectual property advice

  • Regulatory compliance advice

  • International arbitration

  • Mediation and alternative dispute resolution

10. Practice Restrictions by Registration Type​

Activity

Solicitor

REL

RFL

Unregistered

Conduct of litigation

YES

YES

NO

NO

Rights of audience (open court)

YES

YES

NO

NO

Conveyancing (transfer deeds)

YES

YES

Supervised only

NO

Probate activities

YES

YES

NO

NO

Notarial activities

Notaries only

Notaries only

NO

NO

Administration of oaths

YES

YES

NO

NO

Advise on English law

YES

YES

YES

YES

Manager of SRA firm

YES

YES

YES

NO

Owner of SRA firm

YES

YES

YES

NO

Supervise reserved work

YES

YES

NO

NO

  • You must not accept instructions for work outside your practice rights. Doing so is both a regulatory breach and a criminal offence.

Part D: Sra Regulatory Compliance​

  • THE WARRANTIES IN THIS PART ARE FUNDAMENTAL. BREACH MAY RESULT IN IMMEDIATE SUSPENSION OR TERMINATION AND REGULATORY CONSEQUENCES.

11. Sra Principles​

11.1 All RFLs, RELs, and Dual Qualified Solicitors must comply with the seven SRA Principles:

(a) Principle 1: Uphold the rule of law and proper administration of

justice;

(b) Principle 2: Uphold public trust and confidence in the

profession;

(c) Principle 3: Act with

independence;

(d) Principle 4: Act

honestly;

(e) Principle 5: Act with

integrity;

(f) Principle 6: Encourage equality, diversity and

inclusion;

(g) Principle 7: Act in the best interests of each client.

11.2 Where Principles conflict, those safeguarding the wider public interest (Principles 1 and 2) take precedence over individual client interests.

12. Sra Code of Conduct​

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

(a) Rule 1.4: Only act on proper instructions from

clients;

(b) Rule 3.2: Ensure service provided is competent and delivered

timely;

(c) Rule 3.4: Consider and take account of client's attributes and

circumstances;

(d) Rule 6.1: Do not act where own interest conflicts with

client;

(e) Rule 6.2: Provide services taking account of

vulnerability;

(f) Rule 8.1: Identify who you are acting for in a

matter;

(g) Rule 8.6: Give clients information to make informed

decisions;

(h) Rule 8.7: Ensure clients receive best possible costs

information;

(

i

) Rule 8.9: Inform clients of their right to complain.

13. Client Care Requirements​

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

(a) Clear description of work to be

done;

(b) Name and status of person responsible for the

matter;

(c) Costs information - basis of charges,

estimates;

(d) Complaints

procedure;

(e) Legal Ombudsman contact details (including

THREE time

limits

);

(f) SRA contact

details;

(g) Data protection notice.

13.2 You must clearly disclose your registration status to clients:

(a) RFLs must disclose they are Registered Foreign

Lawyers;

(b) RELs must disclose they are Registered European

Lawyers;

(c) Dual Qualified Solicitors should clarify under which qualification they are

acting;

(d) Practice restrictions must be explained where relevant.

14. Sra Transparency Rules​

14.1 For specified services, you must publish pricing information:

(a) Residential conveyancing (where authorised

);

(b) Probate (uncontested estates) (where authorised

);

(c) Motoring offences (summary only

);

(d) Employment tribunal

claims;

(e) Immigration

matters;

(f) Debt recovery (up to £100,000

);

(g) Licensing applications.

ℹ RFLs cannot provide conveyancing or probate services independently, so Transparency Rules for those services would not apply.

15. Professional Indemnity Insurance​

15.1 You warrant that you (or your firm) hold PII that:

(a) Complies with SRA Indemnity Insurance

Rules;

(b) Covers all services provided through the

Platform;

(c) Meets minimum cover

requirements;

(d) Is provided by a qualifying

insurer;

(e) Remains in force throughout this agreement.

15.2 Minimum PII requirements:

Entity Type

Minimum Cover

Recognised Bodies

£2 million

Licensed Bodies (ABS)

£1 million

Recognised Sole Practices

£500,000

15.3 Dual Qualified Solicitors must also consider:

(a) Insurance requirements in other

jurisdictions;

(b) Whether UK PII covers foreign law

advice;

(c) Maintaining adequate coverage across all jurisdictions.

Part E: Aml/kyc Compliance​

  • AML OBLIGATIONS ARE LEGAL REQUIREMENTS. BREACH MAY CONSTITUTE A CRIMINAL OFFENCE.

16. Aml Obligations​

16.1 You must comply with MLR 2017 when conducting:

(a) Buying/selling real property or business

entities;

(b) Managing client money, securities, or

assets;

(c) Opening or managing bank

accounts;

(d) Creating, operating, or managing

companies;

(e) Creating, operating, or managing

trusts;

(f) Tax advice.

16.2 The Platform does NOT conduct AML checks. You are solely responsible for AML compliance.

17. Customer Due Diligence​

17.1 You must conduct CDD including:

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

address;

(b) Verify identity from reliable, independent

source;

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

);

(d) Understand purpose of

relationship;

(e) Verify source of

funds;

(f) Conduct ongoing monitoring.

  • LSAG 2025: Beneficial owner threshold changed from '25% or more' to 'MORE THAN 25%'.

17.2 Enhanced Due Diligence is MANDATORY for:

(a) Politically Exposed Persons (PEPs) - foreign and

domestic;

(b) High-risk third countries (FATF lists

);

(c) Complex or unusually large

transactions;

(d) Any higher-risk situation identified in your risk assessment.

18. Sanctions Screening​

18.1 You must screen all clients and transactions against:

(a) UK Sanctions List (OFSI

);

(b) UN sanctions

lists;

(c) EU sanctions

lists

(where relevant

);

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

  • If a sanctions match is found - DO NOT proceed. Report to your MLRO immediately. Providing services to sanctioned persons is a criminal offence.
  1. MULTI-JURISDICTIONAL AML COMPLIANCE

19.1 Dual Qualified Solicitors may be subject to multiple AML regimes:

(a) UK: MLR 2017, LSAG

2025;

(b) US: Bank Secrecy

Act;

(c) Australia: AML/CTF

Act;

(d) Hong Kong:

AMLO;

(e) EU: AML Directives (via Ireland, etc.).

19.2 Best Practice: Apply the MOST STRINGENT CDD requirements across all applicable jurisdictions.

Part F: Consumer Protection​

  1. CONSUMER RIGHTS ACT 2015

20.1 When acting for consumers (individuals outside trade/business), you warrant:

(a) Services are performed with reasonable care and

skill;

(b) Services are provided as

described;

(c) Services are provided within a reasonable

time;

(d) Contract terms are fair and

transparent;

(e) Consumers are protected from unfair terms.

  1. CONSUMER CONTRACTS REGULATIONS 2013

21.1 For distance/off-premises contracts with consumers:

(a) 14-day cancellation right applies (unless waived for immediate service

);

(b) Pre-contract information must be

provided;

(c) Model cancellation form must be

available;

(d) If not informed of cancellation right, period extends to 12 months + 14 days.

  1. DIGITAL MARKETS, COMPETITION AND CONSUMERS ACT 2024

22.1 Under DMCCA 2024:

  • Drip pricing - all mandatory costs must be disclosed upfront

  • Fake or misleading reviews

  • Unfair commercial practices

(a) Total price must be stated at first point prices are

displayed;

(b) No hidden fees may be added during the transaction.

Part G: Multi-jurisdictional Practice​

23. Dual Qualification Obligations​

23.1 If you are Dual Qualified, you are subject to requirements of EACH jurisdiction:

(a) Multiple codes of

conduct;

(b) Multiple CPD/CLE

requirements;

(c) Multiple practising certificate

renewals;

(d) Multiple annual

fees;

(e) Multiple insurance requirements.

23.2 You must maintain compliance in ALL jurisdictions simultaneously.

23.3 Managing Multiple Obligations:

(a) Maintain calendar reminders for all renewal

deadlines;

(b) Ensure CPD records satisfy multiple

jurisdictions;

(c) Insurance must cover all applicable

requirements;

(d) Good standing certificates available for all

regulators;

(e) Notify all regulators of changes promptly.

24. Conflicts of Interest Across Jurisdictions​

24.1 Conflict rules vary between jurisdictions:

Issue

England & Wales

US (Typical)

Current client conflicts

Generally prohibited

Waivable sometimes

Former client conflicts

Prohibited if confidential info

Similar

Conflict waivers

Limited acceptance

More commonly accepted

  • A conflict waiver valid in one jurisdiction may NOT be valid in another. Apply the STRICTER standard.

24.2 You must:

(a) Conduct conflict checks against the standards of ALL applicable

jurisdictions;

(b) Apply the most restrictive conflict

rules;

(c) Disclose multi-jurisdictional practice to

clients;

(d) Decline instructions where conflicts cannot be resolved under any applicable standard.

25. Multiple Regulatory Obligations​

25.1 You warrant that:

(a) You will comply with the regulatory requirements of each

jurisdiction;

(b) You will notify all relevant regulators of material

changes;

(c) You will cooperate with regulatory investigations in any

jurisdiction;

(d) You will disclose any regulatory findings in any jurisdiction.

  1. CROSS-BORDER PRACTICE

26.1 When advising on cross-border matters:

(a) Clearly identify which jurisdiction's law you are advising

on;

(b) Ensure you are qualified and authorised to advise on that

law;

(c) Disclose any limitations on your

advice;

(d) Recommend local counsel where appropriate.

Part H: Client Relationships​

27. Client Engagement​

27.1 When accepting instructions through the Platform:

(a) You must clearly disclose your registration status (RFL, REL, Dual Qualified

);

(b) You must explain any practice

restrictions;

(c) You must issue a client care letter complying with SRA

requirements;

(d) You must ensure the client understands under which qualification you are acting.

27.2 Your retainer is directly with the client:

(a) The Platform is not a party to your

retainer;

(b) Professional duties are owed to the client, not the

Platform;

(c) You bear full professional responsibility for your services.

28. Vulnerable Clients​

28.1 Under SRA Code Rules 3.4 and 6.2:

(a) Consider client's attributes, needs, and

circumstances;

(b) Make reasonable adjustments for vulnerable

clients;

(c) Do not take unfair advantage of

clients;

(d) Comply with Mental Capacity Act 2005 where relevant.

28.2 Language and Cultural Considerations:

(a) Consider whether clients may need translation or

interpretation;

(b) Ensure clients genuinely understand advice regardless of language

barriers;

(c) Be sensitive to cultural differences in legal understanding.

29. Complaints Handling​

29.1 You must have a complaints procedure that:

(a) Is in writing and available to

clients;

(b) Allows complaints to be made

easily;

(c) Provides for acknowledgment within specified

timeframes;

(d) Provides for final response within 8

weeks;

(e) Informs clients of the Legal Ombudsman.

30.1 Clients may complain to the Legal Ombudsman about your services.

30.2 Time limits - Clients must complain:

(a) Within ONE YEAR of the act or omission; AND

(b) Within SIX YEARS of the act or omission (longstop); AND

(c) Within SIX MONTHS of receiving your final response.

  • These time limits are STRICT. Ensure clients are informed of them.

30.3 Contact: www.legalombudsman.org.uk

Part I: Fees and Referrals​

31. Platform Fees​

31.1 Platform fees may include:

(a) Registration/subscription

fees;

(b) Referral fees for client

introductions;

(c) Transaction or success

fees;

(d) Premium listing or visibility fees.

31.2 Platform fees are separate from legal fees charged to clients.

32. Referral Fee Rules​

32.1 Under SRA Code Rule 5.1, for referrals received:

(a) Any referral fee must be permitted by

law;

(b) The fee must not compromise client

interests;

(c) Clients must be informed of the referral

arrangement;

(d) Your independence must not be affected.

32.2 You must disclose to clients:

(a) That you were referred by the

Platform;

(b) That a referral fee is payable to the

Platform;

(c) That this does not increase the client's

fees;

(d) That your independence is unaffected.

33. Laspo Prohibition​

  • Referral fees are PROHIBITED for personal injury and clinical negligence matters under LASPO 2012 sections 56-60.

33.1 You warrant that you will NOT:

(a) Pay any referral fee for a PI or clinical negligence

matter;

(b) Receive any referral fee for a PI or clinical negligence

matter;

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

33.2 Breach of LASPO is:

(a) A CRIMINAL OFFENCE with maximum £50,000

fine;

(b) A serious regulatory

breach;

(c) Grounds for immediate termination.

Part J: General Provisions​

34. Term and Termination​

34.1 These Terms commence on registration and continue until terminated.

34.2 Either party may terminate on 30 days' written notice.

34.3 We may terminate immediately if:

(a) You breach any material

warranty;

(b) Your SRA registration lapses or is

revoked;

(c) You lose your home jurisdiction

qualification;

(d) You are subject to regulatory

intervention;

(e) You provide reserved services without

authorisation;

(f) You breach AML or LASPO requirements.

35. Liability​

35.1 We are not liable for:

(a) The quality of legal services you

provide;

(b) Any advice given by

you;

(c) Your regulatory

breaches;

(d) Indirect or consequential losses.

35.2 You indemnify us against claims arising from:

(a) Your breach of these

Terms;

(b) Your provision of legal

services;

(c) Your regulatory

breaches;

(d) Your breach of practice restrictions.

36. Data Protection​

36.1 Each party complies with UK GDPR and the Data Protection Act 2018.

36.2 Your personal data is processed in accordance with our Privacy Policy.

36.3 You remain responsible for client data protection compliance.

37. Governing Law​

37.1 These Terms are governed by English law.

37.2 The courts of England and Wales have exclusive jurisdiction.

SCHEDULE 1: PRACTICE RIGHTS COMPARISON TABLE

Registration Type

Reserved Activities

Unreserved Activities

Firm Ownership

Supervision of Reserved

Solicitor (E&W)

All

All

Yes

Yes

REL (existing)

All

All

Yes

Yes

RFL

Limited/Supervised

All

Yes

No

Dual Qualified

All (E&W capacity)

All

Yes

Yes

Unregistered Foreign

None

All

No

No

Schedule 2: Sra Compliance Checklist​

Confirm the following by accepting these Terms:

Requirement

RFL

REL

Dual Qualified

Current SRA registration/PC

☐

☐

☐

No conditions preventing Platform use

☐

☐

☐

Home qualification current

☐

☐

☐

PII compliant with SRA Rules

☐

☐

☐

Complaints procedure in place

☐

☐

☐

Client care letters issued

☐

☐

☐

Costs information provided

☐

☐

☐

Legal Ombudsman info provided

☐

☐

☐

Registration status disclosed to clients

☐

☐

☐

Practice restrictions understood

☐

☐

☐

Schedule 3: Aml/kyc Compliance Checklist​

Requirement

Confirmed

CDD procedures documented

☐

Beneficial ownership (>25%) verification

☐

Source of funds verification

☐

EDD for PEPs and high-risk

☐

OFSI sanctions screening

☐

UN/EU sanctions screening

☐

SAR reporting procedures

☐

5-year record retention

☐

Staff AML training

☐

MLRO designated

☐

Schedule 4: Multi-jurisdictional Compliance Checklist​

For Dual Qualified Solicitors - confirm for EACH jurisdiction:

Requirement

Jurisdiction 1

Jurisdiction 2

Jurisdiction 3

Practising certificate current

☐

☐

☐

In good standing

☐

☐

☐

CPD requirements met

☐

☐

☐

Annual fees paid

☐

☐

☐

Insurance requirements met

☐

☐

☐

AML requirements complied with

☐

☐

☐

Regulator notified of changes

☐

☐

☐

Conflict rules applied

☐

☐

☐

Document Information​

─────────────────────────────────────

Regulatory Framework

Legal Services Act 2007

SRA Standards and Regulations 2019 (as amended 2025)

SRA Code of Conduct for Solicitors, RELs and RFLs

SRA Accounts Rules 2019

SRA Transparency Rules 2019

SRA Indemnity Insurance Rules 2023

Money Laundering Regulations 2017 (as amended)

LSAG Anti-Money Laundering Guidance 2025

Proceeds of Crime Act 2002

Economic Crime and Corporate Transparency Act 2023

Sanctions and Anti-Money Laundering Act 2018

Legal Aid, Sentencing and Punishment of Offenders Act 2012

Consumer Rights Act 2015

Consumer Contracts Regulations 2013

Digital Markets, Competition and Consumers Act 2024

─────────────────────────────────────

Related Documents

Solicitor Terms and Conditions V1.0

Platform Terms for Law Firms V1.0

Non-UK Qualified Lawyers Practice Guide V1.0

Dual Qualified Solicitors Guide V1.0

Privacy Policy V1.0

─────────────────────────────────────

Document Version: 1.0

Effective Date: January 2026

Last Updated: January 2026

Next Review: July 2026

─────────────────────────────────────