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Summary SQE 1 - Ethics & Professional Conduct - Complete Textbook with Sample SQE Questions (FLK1 & FLK2)

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SQE 1 Ethics & Professional Conduct: Complete Study Guide Prepare for your SQE 1 exam with our expertly crafted summary for Ethics & Professional Conduct. This comprehensive guide includes thorough summaries of all key topics, over 20 SQE-style practice questions, and a detailed module s...

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sqe 1
ethics
law
legal
flk1
flk2
sra
sra principles

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SQE 1 - Ethics & Professional Conduct

Welcome to the SQE 1 Ethics & Professional Conduct guide. This textbook is
designed to help you understand all the essential aspects of ethics and
professional conduct required to pass the SQE 1 exam. It provides
comprehensive coverage of the relevant SRA Standards and Regulations,
ensuring that you are well-prepared for both the FLK1 and FLK2 exams, where
ethical considerations are examined across all subject areas. Each chapter is
followed by sample questions to reinforce your learning and test your
understanding, guiding you towards mastery of this crucial topic.

Chapter 1 Ethics and Regulation (2)
Chapter 2 SRA Principles (5)
Chapter 3 Obtaining Instructions (10)
Chapter 4 The Retainer (14)
Chapter 5 Client Care and Costs (17)
Chapter 6 Confidentiality (22)
Chapter 7 Conflicts (25)
Chapter 8 Undertakings (28)
Chapter 9 Duties to the Court and Third Parties (31)
Chapter 10 Duties to the SRA and Compliance (34)

Exam specification:
Candidates must demonstrate their ability to act with honesty and integrity, in
line with the SRA Standards and Regulations. This includes:
 Understanding the purpose, scope, and content of the SRA Principles.
 Familiarity with the SRA Code of Conduct, which includes:
o The SRA Code of Conduct for Solicitors, Registered European
Lawyers (RELs), and Registered Foreign Lawyers (RFLs).
o The SRA Code of Conduct for Firms, covering responsibilities for
managers and compliance officers.

1

, 1 - Ethics and Regulation
Introduction:
 Solicitors must adhere to high ethical standards, reflecting the regulations
governing their profession.
 "Professional conduct" encompasses the rules and regulations solicitors
must follow.
 Solicitors have additional ethical obligations beyond the general legal
requirements due to their professional role.
Ethics:
 Ethics refers to moral principles governing behavior; in the legal context, it
means "doing the right thing."
 Ethical behavior is not always synonymous with legal behavior; one can
act unethically without breaking the law.
 Solicitors are expected to adhere to general ethical principles but also face
additional obligations due to their special relationship with clients and
their role in the justice system.
 The ethical expectations of solicitors may differ from the general public,
particularly regarding client confidentiality.
Solicitors Regulation Authority (SRA):
 The SRA regulates solicitors, legal bodies, and all those working within
them.
 The SRA publishes and enforces rules for solicitors' conduct, primarily
through the SRA Standards and Regulations.
 Key elements include:
o SRA Principles: Fundamental ethical behavior requirements for all
regulated by the SRA.
o SRA Code of Conduct for Solicitors: Sets out professional
standards for individuals authorized by the SRA.
o SRA Code of Conduct for Firms: Specifies standards and
business controls for firms authorized by the SRA.
o SRA Accounts Rules: Details requirements for financial matters,
especially concerning client money.
o SRA Glossary: Provides definitions of terms used in the SRA's
regulations.
 The SRA may issue guidance to supplement its regulations and employs
an Enforcement Strategy to address serious breaches.

2

,Complaints:
 Complaints from clients about legal services are inevitable and must be
handled properly.
 Solicitors must maintain or participate in a procedure for handling
complaints.
 Clients must be informed in writing about their right to complain, how to
do so, and their right to escalate complaints to the Legal Ombudsman.
 Complaints not resolved within eight weeks may be referred to the Legal
Ombudsman or an Alternative Dispute Resolution (ADR) body.
Legal Ombudsman:
 The Legal Ombudsman (LeO) handles complaints against various legal
professionals, including solicitors.
 The LeO typically becomes involved when a client's complaint is
unresolved by the solicitor's own procedure within eight weeks.
 The LeO can make determinations against solicitors for providing services
below the expected standard.
 The LeO has a range of powers, including directing solicitors to apologize,
pay compensation, rectify errors, or limit fees.
 The LeO's determinations are binding if accepted by the complainant and
can be enforced through the courts.
Breach of Professional Conduct:
 Breaches of professional conduct primarily involve violations of the SRA's
Principles or Codes of Conduct.
 The SRA protects the public by investigating allegations of professional
misconduct or serious regulatory breaches.
 The SRA's powers include imposing sanctions or controls, issuing warnings,
or referring serious cases to the Solicitors Disciplinary Tribunal (SDT).
Solicitors Disciplinary Tribunal (SDT):
 The SDT hears cases of misconduct or breaches of professional conduct by
legal service providers, including solicitors.
 The SDT operates independently of the Law Society and the SRA.
 The SDT follows its own rules of procedure and can impose various
sanctions, including striking solicitors off the roll.

3

, Sample questions:
Question 1
A solicitor handling a conveyancing matter failed to properly supervise a junior
solicitor, resulting in a significant error in the contract that delayed the
transaction by several weeks. The client, frustrated by the delay and lack of
communication, files a complaint with the firm. The senior partner acknowledges
the error and apologizes but does not offer compensation. The client escalates
the complaint to the Legal Ombudsman, who investigates the matter.
What action can the Legal Ombudsman take?
A. The Legal Ombudsman can dismiss the complaint since the senior partner has
already apologized.
B. The Legal Ombudsman can require the firm to apologize again but take no
further action.
C. The Legal Ombudsman can order the firm to pay compensation to the client
for the inconvenience caused by the delay.
D. The Legal Ombudsman can require the firm to both apologize and pay
compensation to the client.
E. The Legal Ombudsman can report the senior partner to the SRA but cannot
order compensation.
Answer:
Option D is correct. The Legal Ombudsman has the power to require the firm to
both apologize and pay compensation to the client for the inconvenience caused
by the error and delay, even if the senior partner has already acknowledged the
mistake.
Question 2
A solicitor is representing a client in a personal injury claim. During the
preparation of the case, the solicitor fails to obtain a crucial expert report within
the required time, which negatively impacts the case outcome. After the trial,
the client learns of this oversight and files a complaint. The solicitor admits the
mistake but suggests the client does not pursue the matter further as it would
be covered by the firm’s insurance.
What is the solicitor’s duty in this situation?
A. The solicitor should not inform the client about the mistake to avoid damaging
the firm’s reputation.
B. The solicitor should inform the client about the mistake but downplay its
impact to avoid a claim.
C. The solicitor has a duty to fully inform the client about the mistake and the
potential consequences, regardless of insurance coverage.
D. The solicitor should only inform the client if the client raises the issue first.
E. The solicitor should inform the client but suggest they settle the matter
privately without involving the insurance.

4

, Answer:
Option C is correct. The solicitor has a duty to be open and honest with the client
about the mistake and its potential consequences, as required by Paragraph 7.9.
This duty is not influenced by the potential for insurance coverage or the firm’s
reputation.

2 - SRA Principles
Introduction
 The SRA Principles define the fundamental ethical and professional
standards expected from all regulated solicitors and firms.
 These Principles are foundational for understanding a solicitor’s
professional conduct responsibilities.
 The Principles cover:
o Justice and the rule of law

o Public trust

o Independence

o Honesty

o Integrity

o Equality, diversity, and inclusion

o Best interests of the client

Overview of the Principles
 The SRA Principles are mandatory and apply to all regulated entities,
including traditional firms, ABSs, and in-house roles.
 They apply both within and outside a solicitor’s practice.
 The Principles are:
o Uphold the rule of law and proper administration of justice.

o Maintain public trust and confidence in the profession.

o Ensure independence.

o Act with honesty.

o Demonstrate integrity.

o Promote equality, diversity, and inclusion.

o Act in the best interests of each client.

 When Principles conflict, those safeguarding the wider public interest, such
as the rule of law, take precedence over individual client interests.
Justice and the Rule of Law

5

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