ETHICS AND PROFESSIONAL CONDUCT
UPDATED EXAM TEST PAPER 2026 QUICK
REVISION ANSWER KEY FULL REVIEW PACK
◉ What does the SRA Code of Conduct describe?
Answer: The standards of professionalism expected of individuals
authorized to provide legal services.
◉ What is the main purpose of the SRA Code of Conduct?
Answer: To provide a framework for ethical and competent practice.
◉ What must you do if you suspect client instructions do not
represent their wishes?
Answer: You must not act unless you have satisfied yourself that
they do.
◉ What is the consequence of a serious breach of the SRA Code?
Answer: It may result in regulatory action against you.
◉ What is required when referring a client to another person?
Answer: Clients must be informed of any financial interest or fee-
sharing arrangements.
,◉ What must you do to safeguard client money and assets?
Answer: Properly account for any financial benefit received and
safeguard entrusted money and assets.
◉ What is the obligation regarding client instructions?
Answer: You only act on instructions from the client or someone
properly authorized.
◉ What must you maintain to ensure competent service?
Answer: Your professional knowledge and skills must be kept up to
date.
◉ What should you do if you are a manager regarding the work of
others?
Answer: You remain accountable for their work and must effectively
supervise them.
◉ What does the Enforcement Strategy underpin?
Answer: It explains the issues considered serious and the approach
to regulatory action.
◉ What is the significance of paragraphs 8.1 to 8.11 in the Code?
,Answer: They apply only when providing services to the public or a
section of the public.
◉ What must you do if you hold client money?
Answer: You must not personally hold client money unless
permitted under specific regulations.
◉ What is prohibited regarding evidence in court proceedings?
Answer: You must not misuse or tamper with evidence or influence
its substance.
◉ What is required for fee-sharing agreements?
Answer: They must be in writing and clients must be informed of
them.
◉ What is the requirement for acting in the best interests of clients?
Answer: You must protect your client's best interests even if you
cannot ascertain their instructions.
◉ What must you do if you are a solicitor with a practicing
certificate?
Answer: You must complete and deliver an annual return to the SRA.
, ◉ What should you do if you are a manager regarding behavior that
does not meet standards?
Answer: You must challenge such behavior.
◉ What is the significance of informed consent in client referrals?
Answer: You can only refer or introduce clients to separate
businesses with their informed consent.
◉ What is the consequence of failing to comply with the Code?
Answer: You may face regulatory action for serious failures or
persistent breaches.
◉ What does the term 'own interest conflict' refer to?
Answer: A situation where you cannot act due to a conflict of
interest or significant risk of such a conflict.
◉ What is expected of you when you challenge behavior as a
manager?
Answer: You must address behavior that does not meet the
standards of the Code.
◉ What is the role of the SRA in monitoring compliance?
Answer: The SRA monitors and enforces compliance with regulatory
requirements.
UPDATED EXAM TEST PAPER 2026 QUICK
REVISION ANSWER KEY FULL REVIEW PACK
◉ What does the SRA Code of Conduct describe?
Answer: The standards of professionalism expected of individuals
authorized to provide legal services.
◉ What is the main purpose of the SRA Code of Conduct?
Answer: To provide a framework for ethical and competent practice.
◉ What must you do if you suspect client instructions do not
represent their wishes?
Answer: You must not act unless you have satisfied yourself that
they do.
◉ What is the consequence of a serious breach of the SRA Code?
Answer: It may result in regulatory action against you.
◉ What is required when referring a client to another person?
Answer: Clients must be informed of any financial interest or fee-
sharing arrangements.
,◉ What must you do to safeguard client money and assets?
Answer: Properly account for any financial benefit received and
safeguard entrusted money and assets.
◉ What is the obligation regarding client instructions?
Answer: You only act on instructions from the client or someone
properly authorized.
◉ What must you maintain to ensure competent service?
Answer: Your professional knowledge and skills must be kept up to
date.
◉ What should you do if you are a manager regarding the work of
others?
Answer: You remain accountable for their work and must effectively
supervise them.
◉ What does the Enforcement Strategy underpin?
Answer: It explains the issues considered serious and the approach
to regulatory action.
◉ What is the significance of paragraphs 8.1 to 8.11 in the Code?
,Answer: They apply only when providing services to the public or a
section of the public.
◉ What must you do if you hold client money?
Answer: You must not personally hold client money unless
permitted under specific regulations.
◉ What is prohibited regarding evidence in court proceedings?
Answer: You must not misuse or tamper with evidence or influence
its substance.
◉ What is required for fee-sharing agreements?
Answer: They must be in writing and clients must be informed of
them.
◉ What is the requirement for acting in the best interests of clients?
Answer: You must protect your client's best interests even if you
cannot ascertain their instructions.
◉ What must you do if you are a solicitor with a practicing
certificate?
Answer: You must complete and deliver an annual return to the SRA.
, ◉ What should you do if you are a manager regarding behavior that
does not meet standards?
Answer: You must challenge such behavior.
◉ What is the significance of informed consent in client referrals?
Answer: You can only refer or introduce clients to separate
businesses with their informed consent.
◉ What is the consequence of failing to comply with the Code?
Answer: You may face regulatory action for serious failures or
persistent breaches.
◉ What does the term 'own interest conflict' refer to?
Answer: A situation where you cannot act due to a conflict of
interest or significant risk of such a conflict.
◉ What is expected of you when you challenge behavior as a
manager?
Answer: You must address behavior that does not meet the
standards of the Code.
◉ What is the role of the SRA in monitoring compliance?
Answer: The SRA monitors and enforces compliance with regulatory
requirements.
