Ethics & Professional Conduct Flashcards
6 cards from real SQE1 practice questions. Tap to flip, then mark Knew It or Still Learning — missed cards come back until you master them.
Read the first 6 Ethics & Professional Conduct flashcards as text
Under the SRA Standards and Regulations 2019, what are the two Codes of Conduct that solicitors must comply with?
Answer: The SRA Code of Conduct for Firms and the SRA Code of Conduct for Individuals
The SRA Standards and Regulations 2019 include two separate Codes of Conduct: the SRA Code of Conduct for Solicitors, RELs and RFLs (for individuals) and the SRA Code of Conduct for Firms. Both apply cumulatively to solicitors working in authorised firms.
The SRA's seven Principles (2019) include acting with integrity. Which Principle requires solicitors to act with independence?
Answer: Principle 4
Principle 4 of the SRA Principles 2019 requires solicitors to act with honesty. Principle 3 requires them to act with independence. The SRA Principles rank in priority order: the first two (public interest and rule of law) take precedence over all others.
A solicitor acts for both the buyer and seller in a property transaction. Under the SRA Code of Conduct, when is this permissible?
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
Acting for both buyer and seller is generally prohibited due to conflict of interest. However, the SRA Code permits it in limited circumstances: both clients give informed consent, the solicitor considers they can act impartially, and there is no conflict of interest or only a limited conflict that can be managed appropriately.
What is 'legal professional privilege' and what does it protect?
Answer: The right to withhold confidential communications between solicitor and client made for the purpose of legal advice or litigation from compulsory disclosure
Legal professional privilege (LPP) protects confidential communications between solicitor and client from compulsory disclosure. It covers legal advice privilege (advice/instructions) and litigation privilege (communications made for the dominant purpose of actual or reasonably anticipated litigation).
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?
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
The SRA Code of Conduct requires solicitors to be honest with clients about issues affecting their matter. Where a mistake occurs, the solicitor must inform the client promptly, explain what has happened, what remedial steps are being taken, and consider whether the client should obtain independent advice about the error.
What is the 'cab rank rule' in the context of professional conduct and to which branch of the legal profession does it primarily apply?
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
The cab rank rule applies to barristers (under the Bar Standards Board Code) and requires them to accept any brief within their field of practice at a proper fee, unless specific exceptions apply (e.g., conflict of interest, capacity). It does not apply to solicitors, who have greater freedom to decline instructions.