SQE Ethics and Professional Conduct 1 — Questions and Answers
Question 1: Under the SRA Standards and Regulations, what is the overriding duty of a solicitor?
- To the court and the rule of law, above the interests of the client (Correct answer)
- To the client in all circumstances
- To the SRA
- To the opposing party
Correct answer: To the court and the rule of law, above the interests of the client
Principle 1 of the SRA Principles requires solicitors to uphold the rule of law and the proper administration of justice, which overrides all other duties including to the client.
Question 2: When must a solicitor cease acting for a client due to a conflict of interest?
- When there is a significant risk that acting for one client will materially affect the interests of another (Correct answer)
- Only when both clients instruct the solicitor to stop
- Only in contentious matters
- When the solicitor personally dislikes one of the clients
Correct answer: When there is a significant risk that acting for one client will materially affect the interests of another
Under the SRA Codes of Conduct, a solicitor must not act where there is a significant risk of a conflict of interest between two or more clients, subject to limited exceptions with informed consent.
Question 3: What is the duty of 'confidentiality' owed by a solicitor to their client?
- A duty to keep all information relating to the client's matter confidential, even after the retainer ends (Correct answer)
- A duty that ends when the client matter is closed
- A duty to share client information with the court on request
- A duty applicable only to privileged information
Correct answer: A duty to keep all information relating to the client's matter confidential, even after the retainer ends
The duty of confidentiality is permanent and survives the end of the retainer — solicitors must not disclose client information without authority, even years later.
Question 4: What is 'legal professional privilege' (LPP) and who can waive it?
- Protection for confidential lawyer-client communications; only the client can waive it (Correct answer)
- A rule preventing solicitors from giving evidence in court
- A right allowing clients to inspect their solicitor's file
- Protection for all internal firm communications
Correct answer: Protection for confidential lawyer-client communications; only the client can waive it
LPP protects qualifying confidential communications from disclosure; it belongs to the client, not the solicitor, so only the client can choose to waive it.
Question 5: Under the SRA's 'Principles', which Principle requires solicitors to act with integrity?
- Principle 5 (Correct answer)
- Principle 1
- Principle 7
- Principle 3
Correct answer: Principle 5
SRA Principle 5 requires that solicitors act with integrity in all that they do, covering honesty, trustworthiness, and consistency of professional behaviour.
Question 6: What obligation does a solicitor have if they discover that their client has given them false information that has been passed to the court?
- They must cease to act if the client refuses to correct the position, but cannot reveal the false information without consent (Correct answer)
- They must immediately disclose the false information to the court
- They must continue acting and say nothing
- They must report the client to the SRA
Correct answer: They must cease to act if the client refuses to correct the position, but cannot reveal the false information without consent
A solicitor cannot actively mislead the court; if the client refuses to correct false information, the solicitor must cease acting but cannot breach confidentiality by revealing it.
SQE Ethics and Professional Conduct 1
Under the SRA Standards and Regulations, what is the overriding duty of a solicitor?