SQE1 Legal Services — Questions and Answers
Question 1: Under the Solicitors Regulation Authority (SRA) Standards and Regulations, which of the following is a core principle that all solicitors must uphold?
- Maximise the firm's profitability
- Act in a way that upholds the constitutional principle of the rule of law and the proper administration of justice (Correct answer)
- Prioritise the interests of the firm over those of the client
- Refuse to act for clients who cannot pay in advance
Correct answer: Act in a way that upholds the constitutional principle of the rule of law and the proper administration of justice
The SRA Principles include upholding the rule of law and the proper administration of justice, acting with independence, integrity, and in the best interests of clients, while maintaining public trust in the profession.
Question 2: What is a solicitor's duty of confidentiality under the SRA Code of Conduct?
- Confidentiality applies only during the retainer and ends when the client relationship terminates
- The duty is absolute and can never be overridden
- The duty continues after the retainer ends and is subject to limited exceptions (Correct answer)
- Confidentiality only applies to information received in writing
Correct answer: The duty continues after the retainer ends and is subject to limited exceptions
A solicitor's duty of confidentiality continues indefinitely, even after the client relationship ends. It is subject to limited exceptions, such as where disclosure is required by law or court order, or where the client gives informed consent.
Question 3: Under the Legal Services Act 2007, which body is the oversight regulator for all approved legal regulators?
- The Solicitors Regulation Authority
- The Legal Services Board (Correct answer)
- The Bar Standards Board
- The Law Society
Correct answer: The Legal Services Board
The Legal Services Board (LSB) was established by the Legal Services Act 2007 as the oversight regulator. It oversees approved regulators including the SRA (solicitors), BSB (barristers), and CILEx Regulation (legal executives).
Question 4: What is the purpose of the SRA Accounts Rules regarding client money?
- To ensure solicitors invest client money for maximum returns
- To ensure client money is kept separate from the firm's own money and properly safeguarded (Correct answer)
- To allow solicitors to use client money for office expenses temporarily
- To regulate the fees solicitors can charge
Correct answer: To ensure client money is kept separate from the firm's own money and properly safeguarded
The SRA Accounts Rules require that client money is kept separate from the firm's money in a designated client account. This protects client funds from being mixed with the firm's finances and ensures they are available when needed.
Question 5: A solicitor discovers that their client intends to use the solicitor's services to commit fraud. What must the solicitor do?
- Continue acting as normal to protect client confidentiality
- Cease acting for the client and consider making a report under the Proceeds of Crime Act 2002 (Correct answer)
- Report the client to the police immediately without any further consideration
- Advise the client on how to avoid detection
Correct answer: Cease acting for the client and consider making a report under the Proceeds of Crime Act 2002
If a solicitor discovers that their services are being used to facilitate fraud, they must cease acting. They should also consider their obligations under the Proceeds of Crime Act 2002 (POCA) to make a suspicious activity report (SAR) to the National Crime Agency.
Question 6: What is the significance of legal professional privilege in the context of solicitor-client communications?
- It allows solicitors to withhold documents from discovery in all circumstances
- It protects confidential communications between solicitor and client made for the purpose of giving or receiving legal advice from disclosure (Correct answer)
- It only applies to communications during litigation
- It can be waived by the court at any time
Correct answer: It protects confidential communications between solicitor and client made for the purpose of giving or receiving legal advice from disclosure
Legal professional privilege (comprising legal advice privilege and litigation privilege) protects confidential communications between solicitor and client made for the purpose of giving or receiving legal advice. It is a fundamental right that cannot be overridden by the court except in very limited circumstances.
SQE1 Legal Services
Under the Solicitors Regulation Authority (SRA) Standards and Regulations, which of the following is a core principle that all solicitors must uphold?