SQE1 Ethics & Professional Conduct

Question 1

Under the SRA Standards and Regulations 2019, what are the two Codes of Conduct that solicitors must comply with?

Accepted Answer

The SRA Code of Conduct for Firms and the SRA Code of Conduct for Individuals

Answer

The Bar Standards Board Code and the Law Society Code

Answer

The Legal Services Act Code and the SRA Handbook

Answer

The SRA Principles and the SRA Accounts Rules

Question 2

The SRA's seven Principles (2019) include acting with integrity. Which Principle requires solicitors to act with independence?

Accepted Answer

Principle 4

Answer

Principle 2

Answer

Principle 3

Answer

Principle 5

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?

Accepted 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

Answer

Never — it is always prohibited

Answer

Only in residential conveyancing where both clients are individuals

Answer

Whenever both clients agree, regardless of any conflict

Question 4

What is 'legal professional privilege' and what does it protect?

Accepted Answer

The right to withhold confidential communications between solicitor and client made for the purpose of legal advice or litigation from compulsory disclosure

Answer

A solicitor's right to charge higher fees for complex matters

Answer

A solicitor's immunity from personal liability for negligent advice

Answer

The right to refuse to answer court questions about any client matter

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?

Accepted 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

Answer

Conceal the mistake to avoid embarrassment and potential claims

Answer

Only disclose the mistake if the client directly asks

Answer

Wait until the end of the matter before disclosing any errors

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?

Accepted 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

Answer

A solicitor's obligation to accept any client who attends their office

Answer

A rule preventing solicitors from refusing legal aid clients

Answer

A rule requiring all lawyers to offer pro bono services