SQE1 LEGAL SERVICES &
PROFESSIONAL CONDUCT STUDY
PACK (2025/2026) | FLK1 REVISION
NOTES & PRACTICE QUESTIONS A+
Reserved legal activities that can be carried out only by a person authorised by an
appropriate regulatory body?
- Conduct of litigation (issuing or defending proceedings)
- Preparing court docs relating to probate proceedings
- Administering an oath
Activities Excluded from the Regulated Activities Order
- Safeguarding a client's investments when acting as a trustee or personal
representative.
- Advising a client, acting as their agent, or arranging for the purchase or sale of control
of a company.
- Introducing a client to a person authorised by the Financial Conduct Authority to give
financial advice.
- Whilst acting as the personal representative of an estate, advising the PR on the merits
of holding or selling specific company shares in order to pay the estate's beneficiaries.
Which members of the firm's staff will need to have money laundering training
All relevant employees
What is integration stage of money laundering process
, Integration is the final stage of the money laundering process, which typically involves
purchases of legitimate assets and/or businesses with a goal to integrate the proceeds
into the economy.
What is the solicitor's necessary mental state to have committed the offence of
concealing under POCA?
The solicitor must have actually known or suspected the purchase money represented a
benefit from criminal conduct.
What are the SRA Principles regarding equality?
Solicitors must act in ways that encourage equality, diversity, and inclusion.
What does the Equality Act 2010 aim to protect against?
Discrimination, harassment, and victimisation in the workplace and society.
Can direct discrimination occur based on perceived characteristics?
Yes, discrimination can occur due to perceived characteristics, even if incorrect.
What is indirect discrimination?
A neutral policy that puts individuals with a protected characteristic at a disadvantage
compared to others.
Can indirect discrimination be justified?
PROFESSIONAL CONDUCT STUDY
PACK (2025/2026) | FLK1 REVISION
NOTES & PRACTICE QUESTIONS A+
Reserved legal activities that can be carried out only by a person authorised by an
appropriate regulatory body?
- Conduct of litigation (issuing or defending proceedings)
- Preparing court docs relating to probate proceedings
- Administering an oath
Activities Excluded from the Regulated Activities Order
- Safeguarding a client's investments when acting as a trustee or personal
representative.
- Advising a client, acting as their agent, or arranging for the purchase or sale of control
of a company.
- Introducing a client to a person authorised by the Financial Conduct Authority to give
financial advice.
- Whilst acting as the personal representative of an estate, advising the PR on the merits
of holding or selling specific company shares in order to pay the estate's beneficiaries.
Which members of the firm's staff will need to have money laundering training
All relevant employees
What is integration stage of money laundering process
, Integration is the final stage of the money laundering process, which typically involves
purchases of legitimate assets and/or businesses with a goal to integrate the proceeds
into the economy.
What is the solicitor's necessary mental state to have committed the offence of
concealing under POCA?
The solicitor must have actually known or suspected the purchase money represented a
benefit from criminal conduct.
What are the SRA Principles regarding equality?
Solicitors must act in ways that encourage equality, diversity, and inclusion.
What does the Equality Act 2010 aim to protect against?
Discrimination, harassment, and victimisation in the workplace and society.
Can direct discrimination occur based on perceived characteristics?
Yes, discrimination can occur due to perceived characteristics, even if incorrect.
What is indirect discrimination?
A neutral policy that puts individuals with a protected characteristic at a disadvantage
compared to others.
Can indirect discrimination be justified?
