SQE2 Client Interviewing & Attendance Notes 3 — Questions and Answers
Question 1: In an SQE2 client interview, closing the meeting should include:
- Summarising next steps and confirming the client's instructions (Correct answer)
- Providing a detailed written advice memorandum on the spot
- Asking the client to read and sign the attendance note immediately
- Requesting payment before the meeting ends
Correct answer: Summarising next steps and confirming the client's instructions
Closing an interview effectively involves summarising what has been agreed, confirming next steps and ensuring the client leaves with a clear understanding of the process ahead.
Question 2: A prospective client reveals during an initial interview that the matter involves potential money laundering. The solicitor should:
- Proceed if the client is known to them personally
- Conduct customer due diligence (CDD) and consider reporting to the MLRO (Correct answer)
- Decline to take notes to avoid creating evidence
- Advise the client informally without taking on the matter
Correct answer: Conduct customer due diligence (CDD) and consider reporting to the MLRO
Where money laundering is suspected, the solicitor must conduct enhanced CDD and must report to the firm's MLRO under the Proceeds of Crime Act 2002 and Money Laundering Regulations.
Question 3: A file note differs from a formal attendance note in that a file note:
- Can be used in court but an attendance note cannot
- Records information from internal communications or document reviews rather than client meetings (Correct answer)
- Is only required in transactional matters
- Does not need a date or author
Correct answer: Records information from internal communications or document reviews rather than client meetings
File notes capture internal events such as research findings, telephone calls to opponents or document reviews, while attendance notes record meetings with clients.
Question 4: If a client insists on taking a course of action the solicitor believes is unwise but lawful, the solicitor should:
- Refuse to act under any circumstances
- Advise fully of the risks, record those advice discussions and follow the client's lawful instructions (Correct answer)
- Proceed without advising to avoid confrontation
- Seek a court order overriding the client's decision
Correct answer: Advise fully of the risks, record those advice discussions and follow the client's lawful instructions
A solicitor must respect client autonomy; after giving clear advice about risks, the solicitor must follow lawful instructions, recording the advice given in case of future dispute.
Question 5: The purpose of paraphrasing during a client interview is to:
- Show the client the solicitor has memorised the facts
- Confirm understanding, demonstrate active listening and allow the client to correct any misunderstanding (Correct answer)
- Summarise the entire legal position
- Replace the need for an attendance note
Correct answer: Confirm understanding, demonstrate active listening and allow the client to correct any misunderstanding
Paraphrasing restates what the client has said in the solicitor's own words, checking accuracy, demonstrating engagement and prompting further disclosure.
Question 6: Legal privilege protects attendance notes from disclosure to third parties when the note was created:
- At any point during the retainer
- For the dominant purpose of litigation or providing legal advice (Correct answer)
- Only after proceedings have been issued
- Only if marked 'privileged and confidential' by the solicitor
Correct answer: For the dominant purpose of litigation or providing legal advice
Legal advice privilege protects communications made for the purpose of giving legal advice; litigation privilege additionally covers documents prepared with litigation as the dominant purpose.
SQE2 Client Interviewing & Attendance Notes 3
In an SQE2 client interview, closing the meeting should include: