Ethics and Professional Conduct (SQE1)

A set of practice flashcards covering core topics from Ethics and Professional Conduct for SQE1, including SRA Principles, Codes of Conduct, confidentiality, conflicts, retainer, undertakings, and enforcement.

What are the seven SRA Principles and their general purposes?

They are the mandatory ethical standards for all regulated persons: rule of law, public trust, independence, honesty, integrity, equality/diversity/inclusion, and best interests of the client.

What is Principle 1 (SRA Principles) and what does it require?

Act to uphold the constitutional principle of the rule of law and the proper administration of justice.

What is Principle 2 (SRA Principles) and what does it require?

Uphold public trust and confidence in the solicitors’ profession and in legal services.

What is Principle 3 (SRA Principles) and what does it require?

Maintain independence in conduct and advice.

What is Principle 4 (SRA Principles) and what does it require?

Act with honesty in all professional dealings.

What is Principle 5 (SRA Principles) and what does it require?

Act with integrity in all professional dealings.

What is Principle 6 (SRA Principles) and what does it require?

Encourage equality, diversity and inclusion in conduct and practice.

What is Principle 7 (SRA Principles) and what does it require?

Act in the best interests of each client.

What is the difference between the SRA Code of Conduct for Solicitors and the Code for Firms?

The Codes for Solicitors apply to individuals; the Codes for Firms apply to the firm as an entity. Many core standards are replicated across both.

What are the SRA Accounts Rules about?

Regulate handling of client money and third-party money; detailed rules on financial matters (often not exhaustively covered in manuals).

What is the Legal Ombudsman (LeO) and what does it do?

LeO handles complaints about the services provided by solicitors and other regulated legal service providers; can determine remedies and compensation within limits.

What is the Solicitors Disciplinary Tribunal (SDT)?

An independent tribunal that hears and determines allegations of unbefitting conduct and breaches of professional conduct by solicitors and some other providers.

What are the potential sanctions the SRA can impose for breaches of conduct?

No further action/advice/warning; financial penalties; imposition of controls or suspension; or referral to the SDT for stronger sanctions.

What is the three-step Assessment Threshold Test used by the SRA?

1) Is there a potential breach? 2) Is the breach sufficiently serious to warrant regulatory action? 3) Is the breach capable of proof?

What does ‘professional misconduct’ mean in this context?

Breach of the SRA Principles and/or the Codes of Conduct; serious breaches may lead to sanctions.

What is a ‘retainer’ in the solicitor–client relationship?

A contract between a solicitor and a client, outlining the scope, terms, and expectations of the work.

What should be included in retainer terms?

What work will be done, identity of the client, who may provide instructions, and the scope of the authority.

What is the fiduciary duty in the solicitor–client relationship?

The solicitor must act in the client’s best interests and must not profit at the client’s expense.

When might a gift from a client raise a concern for a solicitor?

If the gift is significant (often considered to be over 1% of the estate or otherwise significant) it may create an own-interest conflict and usually requires independent legal advice for the client.

What should a solicitor do if a client’s instructions appear tainted by duress or undue influence?

Do not act until satisfied that instructions reflect the client’s genuine wishes; consider interviewing the client alone; seek higher protection if needed.

What is confidentiality in the SRA Code and its general scope?

Duty to keep client information confidential, extending after the retainer ends and after the client’s death; protection unless consent, legal obligation, or other exceptions apply.

What are common exceptions to confidentiality?

Consent given in writing; information required by law or to prevent crime or harm; certain privilege scenarios; and other narrowly defined circumstances.

What is the duty of disclosure within confidentiality (the duty to disclose all material information)?

A solicitor must inform the client of all information material to the matter in question, subject to exceptions and the client’s consent.

What conflicts of interest exist and how are they categorized?

Own interest conflicts (solicitor’s own interests) and conflicts between two or more clients; both have strict rules against acting where conflicts exist except under limited exceptions.

What are the two main exceptions allowing a solicitor to act where there is a conflict of interest?

Substantially common interest and competing for the same objective, both require informed written consent and safeguards.

What is a ‘limited retainer’?

A retainer limited to areas where there is no conflict, with separate representation for conflicting areas; safeguards and clear terms needed.

What is an ‘undertaking’ in the legal profession?

A promise (oral or written) to do or not do something, relied upon by beneficiaries; binding on the solicitor and often on the firm; needs client authority.

Who can enforce an undertaking?

Courts can enforce undertakings; the SRA/LeO/SDT do not enforce undertakings as such, but breach may be treated as professional conduct.

What is the duty to the court and what are its key components?

A solicitor is an officer of the court; must not mislead the court; must disclose relevant law/facts; must comply with court orders.

What is the duty to instruct counsel and how should it be handled?

Choose appropriate counsel based on the case; provide clear instructions and supporting materials; avoid discrimination in selection.

What is the role of COLP and COFA?

COLP is the Compliance Officer for Legal Practice; COFA is the Compliance Officer for Finance and Administration; both oversee firm compliance.

What is Money on Account and interim bills?

Money on account is an advance payment of costs; interim bills can be statute bills or bills on account; different enforcement consequences.

What are CFAs and DBAs and their general rules?

Contingent fee arrangements (CFAs) and damages-based agreements (DBAs) are allowed in certain non-criminal contexts; CFAs require specific formalities; DBAs have caps in some contexts.

What do the SRA Transparency Rules require regarding costs information?

Publish minimum costs information for specified services (or provide on request); include totals, basis of charges, disbursements, VAT, timescales, etc.

What is the distinction between Contentious and Non-contentious work for costs/remuneration?

Contentious work is litigation-related and often tax- or court-regulated; non-contentious work is typically governed by the Non-Contentious Remuneration Order.

What are the key advertising restrictions for solicitors under the Code?

Publicity must be accurate, not misleading; comply with GDPR/data protection; no unsolicited approaches to members of the public (except certain exceptions).

What are the rules around referral fees, introducers, and fee-sharing?

Solicitors can refer to third parties and have fee-sharing with introducers if disclosed in writing and compliant with LASPO restrictions where applicable.

What is a ‘separate business’ in the SRA Codes?

A business connected to a regulatorily authorized firm that is not itself authorized; must not mislead users into thinking it is regulated by the SRA.

What is the general purpose of the SRA’s Enforcement Strategy?

To explain how seriousness of conduct is assessed and what sanctions may follow; emphasizes protecting the public.