SQE Professional Conduct & Ethics about:srcdoc
SQE Professional Conduct & Ethics
1. Uphold rule of law and administration of
justice
2. Uphold public trust
3. Independence
What are the 7 mandatory principles?
4. Honesty
5. Integrity
6. Equality, diversity and inclusion
7. Best interests of each client
Principles that safeguard the wider public
interest
If 2 of the mandatory principles conflict, which
one takes precedence? • Rule of law
• Public trust
• Courts have a duty to deal with cases
‘justly’
What is the overriding objective in CPR and • Parties are required to help the court
Criminal Procedure Rules? further this
• Failure to uphold administration of
justice conflicts
Standard of professionalism required from
What is the Code of Conduct for Solicitors?
individuals
Standards and business controls expected of
What is the Code of Conduct for Firms?
firms
Solicitors Disciplinary Tribunal
What is the SDT? • Independent court dealing with
breaches of professional conduct
Factors which the SRA will consider in assessing
What is the SRA Enforcement Strategy?
the seriousness of a breach
Standards and business controls expected of
What is the Code of Conduct for Firms?
firms
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,SQE Professional Conduct & Ethics about:srcdoc
Are Litigants in Person bound by the Code of
No
Conduct?
Solicitor convicted of a criminal offence,
Example of a breach of rule of law (Principle 1)? engaged in criminal behaviour or behaviour that
disregards the rule of law
• Owing a duty to the court and to
administration of justice
• Must not mislead the court
What is proper administration of justice? • Must not interfere with the judicial
process and conduct themselves in such
a way that they act in the interest of
justice
Examples of interfering with proper • witness intimidation
administration of justice • misleading the court
1. protect their interests
What are the requirements of a solicitor in a
2. represent their best interests
solicitor/client relationship?
3. preserve sensitive information
• Where referrals are made by third
parties
When might the independence of a solicitor be ◦ Where the solicitor, acting in a
questioned? case, is aware that they, or a
member of their firm may be
called as a witness in the matter
1. Identify the state of knowledge or belief
of the solicitor as to the facts at the time
How does the SRA determine if a solicitor has 2. In view of their knowledge/belief at the
acted dishonestly? time, assess whether their conduct was
dishonest by the standards of ordinary
decent people
Is it possible to behave without integrity without
Yes
being dishonest?
When might the SRA discipline a solicitor for • where there’s been wilful or reckless
lacking integrity? disregard to standards, including
indifference
• where the regulated firm or individual
has taken unfair advantage of clients or
third parties or allowed others to do so
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,SQE Professional Conduct & Ethics about:srcdoc
• where the regulated firm/individual has
knowingly or recklessly caused harm or
distress to another
◦ where clients or third parties
have been misled
Acting with integrity applies to which ways of 1. what a person says
behaviour? 2. what a person does
Making sure there is a level playing field and
What does equality mean?
people are treated fairly
Encouraging and valuing people with a broad
What does diversity mean? range of different backgrounds, knowledge,
skills and experiences
Accepting people for who they are and
What does inclusion mean? encouraging everyone to participate and
contribute
Should you allow your personal views to affect
professional relationships in the way you NO!
provide services?
Can a solicitor refuse to accept instructions from Yes, but this must not be on the grounds of any
a client? of the protected characteristics in EA 2010
• observe their duty of confidentiality
• consider whether they have the
appropriate expertise to deal with issues
presented by the client
What is a solicitor required to do when acting in • consider whether they have the capacity
the best interests of a client? to deal with the client’s case considering
their workload
• avoid secret or unauthorised profits that
might put their interests in conflict with
the client’s
Wider professional obligations to:
What should a solicitor put before their own and • administration of justice
their client interests? • the rule of law
• the courts
What is an own interest conflict? Conflict of interests between the solicitor and
the client
• Financial interest
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,SQE Professional Conduct & Ethics about:srcdoc
• Claim against a friend or relative
• Claim against your company (or friends)
with commercial relationship with the
client
◦ Advise on rectifying losses
incurred by the mistake of the
solicitor
Can you act in an own interest conflict? Never
Your separate duties to act conflict between two
What is a general conflict of interest?
or more clients
Can you work in a general conflict of interest? Generally no, unless one of the exceptions apply
Can a conflict arise between a current and
No - must be two current clients
former client?
1. Substantially common interests: two
clients want to buy a house together.
They agree on a clear common purpose
What exceptions are there to a conflict of
and strong consensus as to how it will
interest?
be achieved
2. Competing for the same objective:
both wanting to buy the same property
• informed written consent of clients
What are the conditions needed to rely on the
• effective safeguarding
exceptions of a conflict of interest?
• reasonableness to act
If in doubt about application of adherence with Contact Professional Ethics helpline
SRA principles what should a solicitor do? Can request a written decision
Contract existing between a solicitor and client.
It should state clearly:
• the terms
What is a retainer? • what work the solicitor has agreed to
undertake
◦ duties of the solicitor during the
retainer
What should a solicitor do if a conflict is May take instructions from only one client, or
discovered before retainer? may be unable to act altogether
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01/09/2025, 09:53
SQE Professional Conduct & Ethics
1. Uphold rule of law and administration of
justice
2. Uphold public trust
3. Independence
What are the 7 mandatory principles?
4. Honesty
5. Integrity
6. Equality, diversity and inclusion
7. Best interests of each client
Principles that safeguard the wider public
interest
If 2 of the mandatory principles conflict, which
one takes precedence? • Rule of law
• Public trust
• Courts have a duty to deal with cases
‘justly’
What is the overriding objective in CPR and • Parties are required to help the court
Criminal Procedure Rules? further this
• Failure to uphold administration of
justice conflicts
Standard of professionalism required from
What is the Code of Conduct for Solicitors?
individuals
Standards and business controls expected of
What is the Code of Conduct for Firms?
firms
Solicitors Disciplinary Tribunal
What is the SDT? • Independent court dealing with
breaches of professional conduct
Factors which the SRA will consider in assessing
What is the SRA Enforcement Strategy?
the seriousness of a breach
Standards and business controls expected of
What is the Code of Conduct for Firms?
firms
1 of 53 01/09/2025, 09:53
,SQE Professional Conduct & Ethics about:srcdoc
Are Litigants in Person bound by the Code of
No
Conduct?
Solicitor convicted of a criminal offence,
Example of a breach of rule of law (Principle 1)? engaged in criminal behaviour or behaviour that
disregards the rule of law
• Owing a duty to the court and to
administration of justice
• Must not mislead the court
What is proper administration of justice? • Must not interfere with the judicial
process and conduct themselves in such
a way that they act in the interest of
justice
Examples of interfering with proper • witness intimidation
administration of justice • misleading the court
1. protect their interests
What are the requirements of a solicitor in a
2. represent their best interests
solicitor/client relationship?
3. preserve sensitive information
• Where referrals are made by third
parties
When might the independence of a solicitor be ◦ Where the solicitor, acting in a
questioned? case, is aware that they, or a
member of their firm may be
called as a witness in the matter
1. Identify the state of knowledge or belief
of the solicitor as to the facts at the time
How does the SRA determine if a solicitor has 2. In view of their knowledge/belief at the
acted dishonestly? time, assess whether their conduct was
dishonest by the standards of ordinary
decent people
Is it possible to behave without integrity without
Yes
being dishonest?
When might the SRA discipline a solicitor for • where there’s been wilful or reckless
lacking integrity? disregard to standards, including
indifference
• where the regulated firm or individual
has taken unfair advantage of clients or
third parties or allowed others to do so
2 of 53 01/09/2025, 09:53
,SQE Professional Conduct & Ethics about:srcdoc
• where the regulated firm/individual has
knowingly or recklessly caused harm or
distress to another
◦ where clients or third parties
have been misled
Acting with integrity applies to which ways of 1. what a person says
behaviour? 2. what a person does
Making sure there is a level playing field and
What does equality mean?
people are treated fairly
Encouraging and valuing people with a broad
What does diversity mean? range of different backgrounds, knowledge,
skills and experiences
Accepting people for who they are and
What does inclusion mean? encouraging everyone to participate and
contribute
Should you allow your personal views to affect
professional relationships in the way you NO!
provide services?
Can a solicitor refuse to accept instructions from Yes, but this must not be on the grounds of any
a client? of the protected characteristics in EA 2010
• observe their duty of confidentiality
• consider whether they have the
appropriate expertise to deal with issues
presented by the client
What is a solicitor required to do when acting in • consider whether they have the capacity
the best interests of a client? to deal with the client’s case considering
their workload
• avoid secret or unauthorised profits that
might put their interests in conflict with
the client’s
Wider professional obligations to:
What should a solicitor put before their own and • administration of justice
their client interests? • the rule of law
• the courts
What is an own interest conflict? Conflict of interests between the solicitor and
the client
• Financial interest
3 of 53 01/09/2025, 09:53
,SQE Professional Conduct & Ethics about:srcdoc
• Claim against a friend or relative
• Claim against your company (or friends)
with commercial relationship with the
client
◦ Advise on rectifying losses
incurred by the mistake of the
solicitor
Can you act in an own interest conflict? Never
Your separate duties to act conflict between two
What is a general conflict of interest?
or more clients
Can you work in a general conflict of interest? Generally no, unless one of the exceptions apply
Can a conflict arise between a current and
No - must be two current clients
former client?
1. Substantially common interests: two
clients want to buy a house together.
They agree on a clear common purpose
What exceptions are there to a conflict of
and strong consensus as to how it will
interest?
be achieved
2. Competing for the same objective:
both wanting to buy the same property
• informed written consent of clients
What are the conditions needed to rely on the
• effective safeguarding
exceptions of a conflict of interest?
• reasonableness to act
If in doubt about application of adherence with Contact Professional Ethics helpline
SRA principles what should a solicitor do? Can request a written decision
Contract existing between a solicitor and client.
It should state clearly:
• the terms
What is a retainer? • what work the solicitor has agreed to
undertake
◦ duties of the solicitor during the
retainer
What should a solicitor do if a conflict is May take instructions from only one client, or
discovered before retainer? may be unable to act altogether
4 of 53
01/09/2025, 09:53
