Ethics & Professional Conduct SQE

What are the 7
mandatory principles?
(R, T, I, H, I, E & B)

What is the protocol when two or more mandatory principles conflict?

Who bears the burden (and costs) of making reasonable adjustments?

What is an undertaking?

When is an undertaking enforceable?

Who can make an undertaking?

Who is bound by an undertaking? The solicitor or the firm?

Under what circumstances can a witness receive funds to attend Court to give evidence?

What should a solicitor do if they discover that the court is mistaken during a hearing?

What should a solicitor do if they discover that their client has committed perjury while testifying?

What should a solicitor do if a person with lasting power of attorney instructs them to execute a transaction that they do not believe is in the clients best interest?

Who is responsible for making sure that a solicitor keeps up to date with developments in the law?

When are referral fees prohibited without exception?

If the SRA believe a solicitor received a prohibited fee, who has the burden of proving otherwise?

Can a solicitor refer a client to a company for ancillary services if they own an interest in the other business?

Only a company authorised by the SRA can have 'solicitor' in its name. True or false?

When are fee sharing agreements permitted?

What are the three duties of the firms compliance officer for Legal Practice (COLP)

What are the three duties of the firms compliance officer for finance and administration (COFA)

What are the two types of conflict?

Under what circumstances can a solicitor act if there is an own interest conflict?

What are the two exceptions that allow a solicitor to continue to act if there is a conflict between clients?

Under what three circumstances can a Solicitor draft a will on behalf of a client that seeks to leave them a gift in their will?

What three conditions have to be met for the ‘substantially common interest’ or for the ‘competing for the same objective’ exceptions to apply?

True or false - the duty of confidentiality ends when the client dies

When is a solicitor permitted to breach the duty of confidentiality?

If a solicitor discloses a breach to the COLP do they have to follow it up with the COLP or the SRA?

What steps should a solicitor take if they accidentally disclose client information to a third party?

When does a solicitor or firm have to inform the client of the complaints procedure?