SQE1 - Solicitors Qualifying Examination Part 1 — Questions and Answers

Question 1: In Solicitors Regulation Authority, what is the primary purpose of regulatory compliance?

To reduce employee workloads
To maximize organizational profits
To eliminate the need for internal policies
To ensure adherence to laws, rules, and standards that govern the profession (Correct answer)

Correct answer: To ensure adherence to laws, rules, and standards that govern the profession

Regulatory compliance ensures that organizations and professionals follow all applicable laws, regulations, and standards, protecting the public and maintaining professional integrity.

Question 2: What is the legal effect of marriage on a will that was made before the marriage under English law?

The will is suspended until the couple has children
The will requires re-execution within one year of marriage
The will is automatically revoked unless made in contemplation of that marriage (Correct answer)
The will remains fully valid unless the testator intended otherwise

Correct answer: The will is automatically revoked unless made in contemplation of that marriage

Under s.18 Wills Act 1837, marriage automatically revokes any existing will unless the will expressly states it was made in contemplation of that specific marriage.

Question 3: What is the consequence of non-compliance with regulations in Solicitors Regulation Authority?

Automatic waiver of requirements after appeal
Potential penalties including fines, license revocation, and legal liability (Correct answer)
Only a verbal warning for first offenses
No consequences if discovered within 30 days

Correct answer: Potential penalties including fines, license revocation, and legal liability

Non-compliance can result in serious consequences including financial penalties, loss of professional licensure, legal liability, reputational damage, and in some cases criminal prosecution.

Question 4: What is the consequence of non-compliance with regulations in Solicitors Regulation Authority?

Automatic waiver of requirements after appeal
Potential penalties including fines, license revocation, and legal liability (Correct answer)
No consequences if discovered within 30 days
Only a verbal warning for first offenses

Correct answer: Potential penalties including fines, license revocation, and legal liability

Non-compliance can result in serious consequences including financial penalties, loss of professional licensure, legal liability, reputational damage, and in some cases criminal prosecution.

Question 5: Which ethical principle in Solicitors Regulation Authority requires practitioners to avoid conflicts of interest?

Objectivity and impartiality (Correct answer)
Market positioning
Maximizing profit margins
Competitive advantage

Correct answer: Objectivity and impartiality

Objectivity and impartiality require professionals to make decisions free from personal bias or conflicts of interest, ensuring fair and honest professional conduct.

Question 6: In Solicitors Regulation Authority, what is the primary purpose of regulatory compliance?

To ensure adherence to laws, rules, and standards that govern the profession (Correct answer)
To maximize organizational profits
To reduce employee workloads
To eliminate the need for internal policies

Correct answer: To ensure adherence to laws, rules, and standards that govern the profession

Regulatory compliance ensures that organizations and professionals follow all applicable laws, regulations, and standards, protecting the public and maintaining professional integrity.

Question 7: What effect does divorce (or dissolution of a civil partnership) have on an existing will under section 18A of the Wills Act 1837?

The entire will is automatically revoked upon divorce
Gifts and appointments in favour of the former spouse take effect as if the former spouse had died on the date of the divorce, but the rest of the will remains valid (Correct answer)
The will is suspended and requires court confirmation before it can be acted upon
Only gifts of real property to the former spouse are revoked; personal property gifts remain

Correct answer: Gifts and appointments in favour of the former spouse take effect as if the former spouse had died on the date of the divorce, but the rest of the will remains valid

Section 18A Wills Act 1837 provides that on divorce or dissolution, any gift or appointment of executor in favour of the former spouse is treated as if that spouse had predeceased the testator, but the remainder of the will continues in force.

Question 8: In Solicitors Regulation Authority, what role does an audit serve in regulatory compliance?

To replace self-assessment processes
To systematically examine and verify compliance with regulations and standards (Correct answer)
To punish employees for minor infractions
To reorganize departmental structures

Correct answer: To systematically examine and verify compliance with regulations and standards

Audits provide systematic, independent examination of processes, records, and activities to verify compliance with applicable regulations, standards, and internal policies.

Question 9: Under the intestacy rules in England and Wales (Administration of Estates Act 1925 as amended), what does a surviving spouse receive when the deceased also left children?

The entire estate absolutely
A life interest in the whole estate
Personal chattels, a statutory legacy, and one half of the residue (Correct answer)
An equal share with each child

Correct answer: Personal chattels, a statutory legacy, and one half of the residue

On intestacy with a surviving spouse and children, the spouse receives personal chattels, the statutory legacy (currently £322,000), and one half of the residue; the children share the other half equally.

Question 10: Which of the following best describes due diligence in Solicitors Regulation Authority property law?

Making quick decisions without research
Following only the most basic requirements
Relying solely on past experience
Conducting thorough investigation and analysis before making decisions (Correct answer)

Correct answer: Conducting thorough investigation and analysis before making decisions

Due diligence involves comprehensive investigation, analysis, and verification of relevant facts before making decisions, ensuring all regulatory and professional requirements are understood and met.

Question 11: A man died intestate a month ago. He had never been married or in a civil partnership. At the time of his death, the man was living with his partner, with whom he had been cohabiting for 20 years, and her daughter (aged 23 years). The partner’s daughter lived with the man and his partner throughout their relationship. The man had a son (aged 25 years) from a previous relationship and a daughter (aged 19 years) whom he and his partner adopted ten years ago. Who is entitled to share in the distribution of the man’s estate?

The son, the man’s daughter, and the partner’s daughter only.
The son only.
The son and the man’s daughter only. (Correct answer)
The man’s daughter only.
The partner, the son, and the man’s daughter only.

Correct answer: The son and the man’s daughter only.

Explanation: In the absence of a will, the estate of the deceased will be distributed according to the rules of intestacy. Since the man was not married or in a civil partnership, his estate will be inherited by his children. Therefore, both the son from a previous relationship and the daughter he adopted with his partner are entitled to share in the distribution of the estate.

Question 12: Under which exceptional circumstances may a person under 18 make a valid will in England and Wales?

When the minor is married and has the written consent of their spouse
When the minor holds property valued above a threshold set by the Probate Registry
When a court grants a specific order permitting the minor to make a will
When the minor is in actual military service or is a mariner at sea (Correct answer)

Correct answer: When the minor is in actual military service or is a mariner at sea

Section 11 of the Wills Act 1837 preserves the 'privileged will' exception for soldiers in actual military service and mariners at sea, who may make informal wills regardless of age.

Question 13: A solicitor acts for a client who is found guilty of theft. The client asks the solicitor to present a plea in mitigation on her behalf. At the hearing, the client gives the court a false address and date of birth in order to conceal the fact that she has previous convictions. Which of the following statements best describes what the solicitor should do?

Cease to act immediately.
Immediately correct the information about the client’s address and date of birth without further reference to the client.
Not refer directly to the client's previous convictions but imply that she is of good character.
Not refer to the client's character or previous convictions.
Ask the client to correct the information about her address and date of birth and, if she refuses, cease to act. (Correct answer)

Correct answer: Ask the client to correct the information about her address and date of birth and, if she refuses, cease to act.

Explanation: Option E is the correct choice because the solicitor should first ask the client to correct the false information provided to the court. If the client refuses to do so, the solicitor should then cease to act to avoid participating in or facilitating dishonest conduct.

Question 14: What is the consequence of non-compliance with regulations in Solicitors Regulation Authority?

Automatic waiver of requirements after appeal
No consequences if discovered within 30 days
Potential penalties including fines, license revocation, and legal liability (Correct answer)
Only a verbal warning for first offenses

Correct answer: Potential penalties including fines, license revocation, and legal liability

Non-compliance can result in serious consequences including financial penalties, loss of professional licensure, legal liability, reputational damage, and in some cases criminal prosecution.

Question 15: What is a 'Benjamin Order' and when would a Personal Representative seek one?

A court order authorising Personal Representatives to distribute the estate on the assumption that a missing beneficiary is dead or has no claim, protecting the PRs from personal liability (Correct answer)
An order freezing estate assets pending a challenge to the validity of the will
A court order compelling an executor to distribute the estate within a fixed timetable
A direction from the Probate Registry requiring additional witness evidence before probate is granted

Correct answer: A court order authorising Personal Representatives to distribute the estate on the assumption that a missing beneficiary is dead or has no claim, protecting the PRs from personal liability

Derived from Re Benjamin [1902], a Benjamin Order allows the court to authorise distribution on the assumption that a missing beneficiary has predeceased or cannot be found, giving the Personal Representatives a complete defence if the missing person later surfaces.

Question 16: A man died on 4 May 2025. He left his entire estate to his nephew. He was a bachelor and did not make any lifetime gifts. His estate comprised a house free of mortgage worth £175,000 which he had lived in for over 20 years and bank and building society accounts with balances totalling £550,000. He also owned a house worth £170,000 free of mortgage which he inherited from his aunt and which has been rented out to tenants for the last 30 years. The man’s debts and funeral expenses totalled £9,000. In the 2025/24 tax year the nil rate band is £325,000 and the main residence nil rate band is £175,000. How much Inheritance Tax will be payable on the man’s estate?

£154,400
£152,000
£354,400
£84,400
£224,400 (Correct answer)

Correct answer: £224,400

Explanation: After deducting debts and funeral expenses from the total estate value, the remaining estate is subject to Inheritance Tax. The main residence nil rate band is applied to reduce the tax. After accounting for this band and subtracting the value of the main residence and the debt, the total Inheritance Tax payable is £224,400.

Question 17: Which of the following best describes due diligence in Solicitors Regulation Authority criminal law basics?

Conducting thorough investigation and analysis before making decisions (Correct answer)
Following only the most basic requirements
Making quick decisions without research
Relying solely on past experience

Correct answer: Conducting thorough investigation and analysis before making decisions

Due diligence involves comprehensive investigation, analysis, and verification of relevant facts before making decisions, ensuring all regulatory and professional requirements are understood and met.

Question 18: What is the primary objective of trust and equity in Solicitors Regulation Authority?

To ensure competence and proficiency in core trust and equity concepts (Correct answer)
To replace practical experience entirely
To generate revenue for testing organizations
To limit access to the profession

Correct answer: To ensure competence and proficiency in core trust and equity concepts

The primary objective of trust and equity knowledge is to ensure practitioners have the competence and proficiency needed to perform effectively and safely in their professional roles.

Question 19: What is the purpose of a compliance training program in Solicitors Regulation Authority?

To reduce the number of regulations that apply
To replace written policies and procedures
To eliminate the need for audits
To educate personnel about applicable regulations and their responsibilities (Correct answer)

Correct answer: To educate personnel about applicable regulations and their responsibilities

Compliance training programs educate employees about relevant regulations, organizational policies, and individual responsibilities, helping prevent violations and promote a culture of compliance.

Question 20: What is the consequence of non-compliance with regulations in Solicitors Regulation Authority?

Only a verbal warning for first offenses
Automatic waiver of requirements after appeal
Potential penalties including fines, license revocation, and legal liability (Correct answer)
No consequences if discovered within 30 days

Correct answer: Potential penalties including fines, license revocation, and legal liability

Non-compliance can result in serious consequences including financial penalties, loss of professional licensure, legal liability, reputational damage, and in some cases criminal prosecution.

Question 21: What is the purpose of a compliance training program in Solicitors Regulation Authority?

To reduce the number of regulations that apply
To eliminate the need for audits
To replace written policies and procedures
To educate personnel about applicable regulations and their responsibilities (Correct answer)

Correct answer: To educate personnel about applicable regulations and their responsibilities

Compliance training programs educate employees about relevant regulations, organizational policies, and individual responsibilities, helping prevent violations and promote a culture of compliance.

Question 22: Which approach is most effective for mastering litigation procedures in Solicitors Regulation Authority?

Combining theoretical study with practical application and regular review (Correct answer)
Studying only immediately before examinations
Memorizing textbook definitions without understanding
Relying solely on on-the-job experience

Correct answer: Combining theoretical study with practical application and regular review

The most effective approach combines theoretical understanding with practical application, reinforced by regular review and assessment, enabling deeper comprehension and long-term retention.

Question 23: In Solicitors Regulation Authority, what is the primary purpose of regulatory compliance?

To eliminate the need for internal policies
To ensure adherence to laws, rules, and standards that govern the profession (Correct answer)
To reduce employee workloads
To maximize organizational profits

Correct answer: To ensure adherence to laws, rules, and standards that govern the profession

Regulatory compliance ensures that organizations and professionals follow all applicable laws, regulations, and standards, protecting the public and maintaining professional integrity.

Question 24: Confidentiality in Solicitors Regulation Authority practice means which of the following?

Keeping information secret from regulatory authorities when required by law
Sharing all information with anyone who requests it
Only protecting financial data
Protecting sensitive information from unauthorized disclosure (Correct answer)

Correct answer: Protecting sensitive information from unauthorized disclosure

Confidentiality requires protecting sensitive information from unauthorized access or disclosure while still complying with legal requirements for information sharing.

Question 25: What is a best practice in Solicitors Regulation Authority trust and equity?

The cheapest available approach
A method or technique recognized as superior based on evidence and expert consensus (Correct answer)
Any practice that is easy to implement
A practice used only by large organizations

Correct answer: A method or technique recognized as superior based on evidence and expert consensus

Best practices are methods, techniques, or approaches that are recognized through evidence, research, and expert consensus as producing superior results and are recommended for adoption.

Question 26: In Solicitors Regulation Authority, what role does continuing education play in litigation procedures?

To replace initial certification requirements
To increase testing frequency for compliance purposes
To prevent professionals from advancing in their careers
To keep professionals current with evolving standards, technologies, and best practices (Correct answer)

Correct answer: To keep professionals current with evolving standards, technologies, and best practices

Continuing education ensures professionals stay current with new developments, evolving standards, and emerging best practices in their field, maintaining competence throughout their careers.

Question 27: The Inheritance (Provision for Family and Dependants) Act 1975 allows certain people to apply to court for reasonable financial provision from an estate. Which of the following is NOT a qualifying applicant?

A child of the deceased
A spouse or civil partner of the deceased
A creditor owed money by the deceased (Correct answer)
A person maintained by the deceased immediately before death

Correct answer: A creditor owed money by the deceased

Creditors are not qualifying applicants under the 1975 Act; they have separate remedies to claim against the estate for debts owed to them.

Question 28: A will trust contains the following provisions: “My Trustees shall hold my property on trust to permit my mother to live in the property for the remainder of her life and after her death to hold the property upon trust for such of my nephew and niece as survive my mother and attain the age of 21 years in equal shares.” The nephew is now aged 20 years and the niece is aged 22 years. Which of the following statements best describes the beneficial interests in the trust fund?

The mother has a contingent interest but the nephew and niece have vested interests.
The mother, nephew, and niece all have vested interests.
The mother and niece have vested interests but the nephew has a contingent interest.
The mother has a vested interest but the nephew and niece have contingent interests. (Correct answer)
The mother, nephew, and niece all have contingent interests.

Correct answer: The mother has a vested interest but the nephew and niece have contingent interests.

Explanation: The mother has a vested interest because she has an immediate right to occupy the property for the remainder of her life. However, the nephew and niece only acquire their interests upon certain conditions being met, namely surviving the mother and attaining the age of 21 years. Therefore, their interests are contingent.

Question 29: Which document typically outlines an organization's approach to regulatory compliance in Solicitors Regulation Authority?

A compliance policy or framework document (Correct answer)
An employee vacation schedule
A marketing brochure
A customer satisfaction survey

Correct answer: A compliance policy or framework document

A compliance policy or framework document establishes the organization's commitment to regulatory compliance, defines roles and responsibilities, outlines procedures, and sets expectations for all personnel.

Question 30: What should a Solicitors Regulation Authority professional do when they discover a colleague has violated ethical standards?

Confront the colleague publicly
Resign from the organization immediately
Ignore the violation to maintain workplace harmony
Report the violation through proper channels according to organizational policy (Correct answer)

Correct answer: Report the violation through proper channels according to organizational policy

Ethical obligations typically require reporting violations through established channels to protect the public, maintain professional standards, and give the organization an opportunity to address the issue properly.

Question 31: By his will, a testator appointed his spouse, his friend and his adult son to be his executors. The testator and his wife divorced after the will was executed. The testator has now died. The son predeceased the testator and a grant of probate to the son’s estate was obtained by his nephew. The testator left all of his estate to his niece who is 20 years of age. Who has the best right to apply for a grant of representation to the testator’s estate?

The testator’s friend, the nephew of the son, and the testator’s niece only.
The testator’s friend only. (Correct answer)
The testator’s friend and the testator’s niece only.
The testator’s ex-spouse, the testator’s friend, and the nephew of the son only.
The testator’s friend and the nephew of the son only.

Correct answer: The testator’s friend only.

Explanation: In this scenario, the testator appointed three individuals as his executors: his spouse, his friend, and his adult son. However, since the testator and his spouse divorced after the will was executed, the spouse no longer retains the right to act as an executor. Additionally, the adult son predeceased the testator, and a grant of probate to the son's estate was obtained by his nephew. Given these circumstances, the only remaining executor from the original list is the testator's friend.

SQE1 - Solicitors Qualifying Examination Part 1

The SQE1 assesses functioning legal knowledge across 12 subject areas through two multiple-choice papers (FLK1 and FLK2), testing candidates on substantive law and legal practice required to qualify as a solicitor in England and Wales.

Questions

35 min

Time Limit

60%

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