SQE2 Client Interview — Questions and Answers
Question 1: During an initial client interview, what should a solicitor do first before discussing the substantive legal issues?
- Immediately advise the client on the merits of their case
- Establish the client's identity, explain the retainer terms, and confirm there are no conflicts of interest (Correct answer)
- Ask the client to sign a blank engagement letter
- Begin drafting court documents
Correct answer: Establish the client's identity, explain the retainer terms, and confirm there are no conflicts of interest
Before substantive discussion, a solicitor must verify the client's identity (for AML compliance), explain the basis of the retainer including costs, and conduct a conflict check. These are professional obligations under the SRA Code of Conduct.
Question 2: A client becomes visibly distressed during an interview when discussing a sensitive family matter. What is the most appropriate response?
- Continue questioning without acknowledging the distress to maintain professional distance
- Acknowledge the client's feelings, offer a brief pause, and proceed at their pace (Correct answer)
- Terminate the interview immediately
- Tell the client they need to control their emotions to proceed
Correct answer: Acknowledge the client's feelings, offer a brief pause, and proceed at their pace
Effective client care requires empathy and sensitivity. Acknowledging the client's distress, offering a pause, and adjusting the pace demonstrates good communication skills while maintaining the professional relationship and obtaining necessary information.
Question 3: When taking instructions from a client who has limited English proficiency, what should the solicitor arrange?
- Ask a family member present to translate
- Proceed slowly and use simple English only
- Arrange for a professional interpreter and confirm the client consents to the interpreter's presence (Correct answer)
- Decline to act for the client
Correct answer: Arrange for a professional interpreter and confirm the client consents to the interpreter's presence
A professional interpreter should be arranged to ensure accurate communication. Using family members raises confidentiality and accuracy concerns. The client should consent to the interpreter's presence, and the interpreter should be made aware of confidentiality obligations.
Question 4: A prospective client asks a solicitor for advice during an initial interview but the matter falls outside the solicitor's area of expertise. What should the solicitor do?
- Accept the instructions and research the area of law later
- Advise the client honestly that the matter is outside their expertise and refer them to a specialist (Correct answer)
- Provide general advice and hope it is sufficient
- Decline to engage with the client at all
Correct answer: Advise the client honestly that the matter is outside their expertise and refer them to a specialist
Under SRA Principle 7 and the Code of Conduct, solicitors must act in the best interests of each client and only provide services they are competent to deliver. If a matter is outside their expertise, they should be honest and refer the client appropriately.
Question 5: During a client interview, the client reveals information that suggests a third party may be at imminent risk of serious harm. What should the solicitor consider?
- The duty of confidentiality is absolute and prevents any disclosure
- Whether the exception to confidentiality for preventing serious harm applies, and whether disclosure to appropriate authorities is justified (Correct answer)
- Immediately calling the police without further assessment
- Ignoring the information as it is not relevant to the retainer
Correct answer: Whether the exception to confidentiality for preventing serious harm applies, and whether disclosure to appropriate authorities is justified
While client confidentiality is fundamental, it is not absolute. Where there is a risk of serious harm to a third party, the solicitor should consider whether the exception to confidentiality applies, balancing the duty to the client against the duty to prevent serious harm.
Question 6: What is the purpose of providing a client care letter following the initial interview?
- To market the firm's other services to the client
- To confirm the instructions, explain the scope of work, costs, complaints procedure, and regulatory information (Correct answer)
- To serve as a binding contract that cannot be varied
- To satisfy the court that the solicitor has been instructed
Correct answer: To confirm the instructions, explain the scope of work, costs, complaints procedure, and regulatory information
A client care letter confirms instructions received, sets out the scope of work, explains costs and billing arrangements, provides details of the complaints procedure, and includes required regulatory information. It is a key client care requirement under the SRA Code of Conduct.
SQE2 Client Interview
During an initial client interview, what should a solicitor do first before discussing the substantive legal issues?