SQE1 Ethics & Professional Conduct 1 — Questions and Answers
Question 1: Under the SRA Standards and Regulations 2019, what are the two Codes of Conduct that solicitors must comply with?
- The SRA Code of Conduct for Firms and the SRA Code of Conduct for Individuals (Correct answer)
- The Bar Standards Board Code and the Law Society Code
- The Legal Services Act Code and the SRA Handbook
- The SRA Principles and the SRA Accounts Rules
Correct answer: The SRA Code of Conduct for Firms and the SRA Code of Conduct for Individuals
The SRA Standards and Regulations 2019 include two separate Codes of Conduct: the SRA Code of Conduct for Solicitors, RELs and RFLs (for individuals) and the SRA Code of Conduct for Firms. Both apply cumulatively to solicitors working in authorised firms.
Question 2: The SRA's seven Principles (2019) include acting with integrity. Which Principle requires solicitors to act with independence?
- Principle 2
- Principle 3
- Principle 4 (Correct answer)
- Principle 5
Correct answer: Principle 4
Principle 4 of the SRA Principles 2019 requires solicitors to act with honesty. Principle 3 requires them to act with independence. The SRA Principles rank in priority order: the first two (public interest and rule of law) take precedence over all others.
Question 3: A solicitor acts for both the buyer and seller in a property transaction. Under the SRA Code of Conduct, when is this permissible?
- Never — it is always prohibited
- Only where both clients give informed consent and the solicitor is satisfied there is no conflict of interest, or only a limited conflict that can be managed (Correct answer)
- Only in residential conveyancing where both clients are individuals
- Whenever both clients agree, regardless of any conflict
Correct answer: Only where both clients give informed consent and the solicitor is satisfied there is no conflict of interest, or only a limited conflict that can be managed
Acting for both buyer and seller is generally prohibited due to conflict of interest. However, the SRA Code permits it in limited circumstances: both clients give informed consent, the solicitor considers they can act impartially, and there is no conflict of interest or only a limited conflict that can be managed appropriately.
Question 4: What is 'legal professional privilege' and what does it protect?
- A solicitor's right to charge higher fees for complex matters
- The right to withhold confidential communications between solicitor and client made for the purpose of legal advice or litigation from compulsory disclosure (Correct answer)
- A solicitor's immunity from personal liability for negligent advice
- The right to refuse to answer court questions about any client matter
Correct answer: The right to withhold confidential communications between solicitor and client made for the purpose of legal advice or litigation from compulsory disclosure
Legal professional privilege (LPP) protects confidential communications between solicitor and client from compulsory disclosure. It covers legal advice privilege (advice/instructions) and litigation privilege (communications made for the dominant purpose of actual or reasonably anticipated litigation).
Question 5: Under the SRA Code of Conduct, what must a solicitor do if they discover they have made a mistake in handling a client's matter?
- Conceal the mistake to avoid embarrassment and potential claims
- Inform the client promptly of the mistake and any steps being taken to remedy it, and consider whether to refer the client to independent legal advice about the error (Correct answer)
- Only disclose the mistake if the client directly asks
- Wait until the end of the matter before disclosing any errors
Correct answer: Inform the client promptly of the mistake and any steps being taken to remedy it, and consider whether to refer the client to independent legal advice about the error
The SRA Code of Conduct requires solicitors to be honest with clients about issues affecting their matter. Where a mistake occurs, the solicitor must inform the client promptly, explain what has happened, what remedial steps are being taken, and consider whether the client should obtain independent advice about the error.
Question 6: What is the 'cab rank rule' in the context of professional conduct and to which branch of the legal profession does it primarily apply?
- A solicitor's obligation to accept any client who attends their office
- A barrister's obligation to accept any brief in their field of practice at a proper professional fee, unless specific permitted exceptions apply — it does not apply to solicitors (Correct answer)
- A rule preventing solicitors from refusing legal aid clients
- A rule requiring all lawyers to offer pro bono services
Correct answer: A barrister's obligation to accept any brief in their field of practice at a proper professional fee, unless specific permitted exceptions apply — it does not apply to solicitors
The cab rank rule applies to barristers (under the Bar Standards Board Code) and requires them to accept any brief within their field of practice at a proper fee, unless specific exceptions apply (e.g., conflict of interest, capacity). It does not apply to solicitors, who have greater freedom to decline instructions.
SQE1 Ethics & Professional Conduct 1
Under the SRA Standards and Regulations 2019, what are the two Codes of Conduct that solicitors must comply with?