SQE1 Ethics & Professional Conduct 2 — Questions and Answers
Question 1: What is 'informed consent' in the context of a solicitor-client conflict of interest?
- Agreement by a client after any explanation by the solicitor
- Consent given freely by a client after they have been fully and clearly informed of the nature and implications of the conflict of interest and what it means for their matter (Correct answer)
- Agreement recorded in the initial client care letter regardless of discussion
- Consent given by a third party on the client's behalf
Correct answer: Consent given freely by a client after they have been fully and clearly informed of the nature and implications of the conflict of interest and what it means for their matter
Informed consent to a conflict of interest requires the solicitor to give the client full, clear, and honest information about the conflict, its potential implications for their matter, and alternatives available, so the client can make a genuinely free and informed decision.
Question 2: Under the SRA Code of Conduct, what is the solicitor's duty when a client asks them to do something that the solicitor believes is dishonest?
- Complete the task while noting their concern in the file
- Decline to follow the instruction and, if the client insists, cease acting (Correct answer)
- Follow the instruction if the client provides written authority
- Report the instruction to the SRA before doing anything further
Correct answer: Decline to follow the instruction and, if the client insists, cease acting
A solicitor must never act dishonestly or assist a client in doing so. If a client instructs a solicitor to act dishonestly and insists on it, the solicitor must refuse the instruction and, if the client maintains their position, the solicitor must cease acting and may need to consider reporting obligations.
Question 3: What is the SRA's approach to 'outcomes-focused regulation'?
- Prescribing exact procedures for every situation solicitors may face
- Setting high-level principles and outcomes that solicitors must achieve, leaving flexibility in how they are met, with solicitors exercising professional judgment (Correct answer)
- Requiring solicitors to document every decision they make
- Focusing only on the financial outcomes of legal matters
Correct answer: Setting high-level principles and outcomes that solicitors must achieve, leaving flexibility in how they are met, with solicitors exercising professional judgment
The SRA's approach is outcomes-focused: rather than prescribing detailed rules for every situation, the Standards and Regulations set high-level principles and expected outcomes. Solicitors must use professional judgment to determine how to achieve these in their specific context.
Question 4: Under the Legal Services Act 2007, which body is responsible for oversight regulation of the Solicitors Regulation Authority?
- The Law Society
- The Legal Services Board (LSB) (Correct answer)
- The Ministry of Justice
- The Competition and Markets Authority
Correct answer: The Legal Services Board (LSB)
The Legal Services Board (LSB) is the independent oversight regulator established by the Legal Services Act 2007. It oversees the approved regulators (including the SRA) and ensures they operate in accordance with the regulatory objectives of the Act.
Question 5: What does the SRA Code of Conduct require regarding a solicitor's duty when acting for a client in litigation who informs the solicitor they have committed perjury in their evidence?
- The solicitor must immediately disclose this to the court
- The solicitor cannot correct the position without the client's consent but cannot continue to act unless the client agrees to correct the record; if the client refuses, the solicitor must withdraw (Correct answer)
- The solicitor should continue acting and ignore the admission
- The solicitor must report the client to the police
Correct answer: The solicitor cannot correct the position without the client's consent but cannot continue to act unless the client agrees to correct the record; if the client refuses, the solicitor must withdraw
If a client tells their solicitor they have committed perjury, the solicitor cannot disclose this (confidentiality) but equally cannot allow the misleading position to stand. The solicitor must advise the client to correct the record. If the client refuses, the solicitor must cease acting (without explaining why to the court).
Question 6: Under the SRA Transparency Rules, what information must solicitors publish on their website?
- Full details of every case they have handled in the previous year
- Pricing information for specified services (e.g., residential conveyancing, probate, employment tribunal claims) and certain other prescribed information (Correct answer)
- The names and salaries of all fee earners
- Copies of all client care letters sent in the previous year
Correct answer: Pricing information for specified services (e.g., residential conveyancing, probate, employment tribunal claims) and certain other prescribed information
The SRA Transparency Rules (in force from December 2018) require firms that offer certain specified legal services to publish pricing information and other prescribed information (e.g., complaints procedures, regulatory status, key staff details) on their website to help consumers make informed choices.
SQE1 Ethics & Professional Conduct 2
What is 'informed consent' in the context of a solicitor-client conflict of interest?