SQE Preparation

Daphne Berghorst is studying the LLM Legal Practice (SQE1&2) online, part-time at The University of Law, while working full time as an in-house paralegal. Daphne shares some tips and advice for the SQE1 assessments, based on her own experience.

I’m a great fan of organisation, lists of tasks I can cross off and Microsoft Excel. Especially when there is a lot to do, I think it’s very important to have a good overview of everything that needs to be done and by when to avoid becoming overwhelmed by it all.

A good revision plan needs a bit of preparation. I used The University of Law’s course content as my starting point, firstly adding the year planner into Excel, so I could track which week we are in and which units I should be working through that week.

In addition, I added the tasks to be done for each unit into a separate Excel sheet, so I could see exactly what was still outstanding and whether I was on track time-wise.

In the 1-2 months running up to the SQE1 assessment, I really ramped up revising the SBAQs in the ULaw SQE App. To help me in this, I tracked my scores per chapter for each topic in colour-coded Excel tables. This way I could see immediately where I had to focus my revision efforts and which topics I already did well in.

Our intelligent, free SQE Revision App, ULaw SQE, is here to help prepare you for SQE1, part of the Solicitors Qualifying Exam.

The SQE is the new qualifying route for all aspiring solicitors in England and Wales, introduced in 2021. It consists of two sets of assessments, SQE1 and SQE2. SQE1 tests candidates’ Functioning Legal Knowledge (FLK) and students undertaking the assessments will need to be confident they have the right level of knowledge to succeed. That’s where the ULaw SQE Revision App is here to help.

The app is designed to embed your Functioning Legal Knowledge, whilst at the same time developing your technique and confidence in attempting Single Best Answer Question assessments

Key features of the full ULaw Revision app include:

• Thousands of Single Best Answer Questions (SBAQs)
• Optional test lengths and formats including timed assessments and practice format
• Full feedback on each question attempted
• ‘Spaced learning’ to help improve your ‘Mastery level’ of different FLK areas over time
• Flexible learning available on-the-go and suited to your schedule

Regular use of the App also generates smart performance insights and valuable revision guidance. If you are studying one of our applicable SQE courses, the App and The Revision Portal (the desktop-based version of the App), provide detailed progress tracking information, allowing you to better understand your strengths and weaknesses. Recent surveys of the app showed that 88.8%* of our students who sat the SQE1 assessments, classified as ‘Likely’ or ‘Very Likely’ to pass by the ULaw SQE App, passed. * Based on July 2022 and January 2023 SQE1 assessments and self-reported student data.

Find out more about the ULaw Revision app from our Revision App User Guide.

You can download the ULaw SQE App for free on the Apple AppStore or Google Play.

I was one of the unlucky many who encountered issues when registering for the SQE1 assessment but I managed to get it all sorted out relatively well in the end.

All I can say is:

1. Try to stay calm. It’s a stressful day already and while it might take a while to get through to support from Kaplan if something does go wrong, they are there and happy to help get you sorted out.
2. Make sure you go through all the pre-registration steps well before the registration for your assessment opens. That way, you don’t need to worry that you might need to finish any actions and simply have to book your assessment.
3. If you can’t get a place in the assessment centre you wanted initially, try to find anywhere else and take what you can get. If you check back in to the SQE registration site regularly, you may find that a spot opens up closer to where you are and you could change your booking.

What to bring:

• Two forms of ID as stipulated by the SRA
• A (large) water bottle. Although candidates aren’t allowed to bring water into the assessment room, you will be allowed to leave the room to go to your assigned locker and have a drink of water if needed. I found it useful to have a larger bottle so I wouldn’t have to try and find somewhere to refill it.
• A cardigan or hoodie over a t-shirt. While the assessment centres are equipped with air conditioning, everyone likes different temperatures, so it’s good to have a cardigan or something you can take on or off as needed.

Other points:

• Wear something comfortable. You’ll be sitting an assessment for most of the day which is stressful enough as it is – you don’t need to wear business attire, so just make sure you wear comfortable clothing to avoid being distracted by feeling physically uncomfortable.
• Arrive well in time. You don’t want to be running around feeling stressed out because you couldn’t find the centre immediately, or because parking was a nightmare.
  Give yourself plenty of time to find the centre and get yourself settled before going in.

Don’t forget you’re not alone.

If you can, join a WhatsApp, or Facebook group or other way to get in touch with people going through the same thing as you.

Sometimes you might feel that it’s all too much, you’re falling behind on your schedule, life happens and you lose focus or motivation – chances are, others are feeling exactly the same. Being able to talk to others can help vent a bit of that stress now and again, even if just to know you’re not in it alone.

If you’re following a preparation course, it’s likely that your course provider can give support if you need it too, whether that’s in the form of asking your tutor a question about a topic you don’t quite understand, or accessing their wellbeing resources.

A solicitor specialising in criminal litigation is engaged to represent a client charged with assault occasioning actual bodily harm.

The client tells the solicitor that he is innocent, pleads not guilty and gives evidence in his own defence at trial. The client is subsequently acquitted. After being acquitted the client approaches the solicitor and reveals his guilt, thereby showing that he committed perjury during his evidence.

Which of the following statements best describes the action that the solicitor should take?

ANSWER OPTIONS

Option A: Write to the court exposing the client’s guilt, thereby fulfilling the duty to act with integrity.

Option B: Do nothing as the knowledge of perjury was obtained after the trial, and therefore does not amount to complicity in misleading the court.

Option C: Contact the Crown Prosecution Service to ask for a retrial, thereby fulfilling the duty to uphold the proper administration of justice.

Option D: Tell the client that he must reveal his guilt to the prosecution, and that otherwise the solicitor will have to cease to act for him.

Option E: Telephone the victim of the assault to say that the client was guilty, thereby fulfilling the duty to act with honesty.

The correct answer is Option B: Do nothing as the knowledge of perjury was obtained after the trial, and therefore does not amount to complicity in misleading the court.

EXPLANATION

Option B is the best description of what action the solicitor should take, and therefore the correct answer. Following the acquittal the court proceedings are no longer active, so from the solicitor’s perspective there is no complicity in misleading the court (which would be contrary to Paragraph 1.4 of the SRA Code of Conduct for Solicitors, RELs and RFLs). Note that the client has no professional duties.

Option A is not the best description of what action the solicitor should take, and is therefore a wrong answer. Although exposing the client’s guilt would arguably be to act with integrity (SRA Principle 5) it would not be in the best interests of the client (SRA Principle 7) and would also breach the duty of confidentiality to the client (Paragraph 6.3 of the SRA Code of Conduct for Solicitors, RELs and RFLs). Although it might appear that upholding the rule of law and proper administration of justice (Principle 1) would require perjury to be revealed, the principle that client information is kept confidential is vital to ensure clients’ confidence in their legal representatives and the proper functioning of the system.

Option C is not the best description of what action the solicitor should take, and is therefore a wrong answer. This is for similar reasons to those described above in relation to Option A and SRA Principle 5: Option C is based on SRA Principle 1.

Option D is not the best description of what action the solicitor should take, and is therefore a wrong answer. There is no obligation on the client to reveal his guilt after the acquittal, and for the solicitor to cease to act would have no practical effect given that the matter has already come to an end.

Option E is not the best description of what action the solicitor should take, and is therefore a wrong answer. This is for similar reasons to those described above in relation to Option A and SRA Principle 5, albeit that Option E is instead based on SRA Principle 4.

A solicitor is acting for a client on a plea of guilty to a charge of assault on a member of staff in a public house. At the sentencing hearing the court asks the solicitor to confirm that the client’s list of previous convictions is accurate. The client instructs the solicitor to confirm that the list is accurate despite the fact a conviction for assaulting a bartender last year has been omitted. The solicitor advises the client that this omission should be corrected, but the client does not want to do this.

Which of the following best explains what the solicitor should do?

ANSWER OPTIONS

Option A: Tell the client that the solicitor must cease to act because the solicitor cannot knowingly mislead the court.

Option B: Do as the client instructs because the solicitor’s duty to act in the best interests of the client overrides the solicitor’s duty not to mislead the court.

Option C: Continue to act but tell the court that the list is inaccurate because keeping quiet would be a breach of the solicitor’s duty to act in a way which upholds the proper administration of justice.

Option D: Correct the list and then cease to act because this accords with the solicitor’s duty to uphold the proper administration of justice.

Option E: Continue to act but refuse to confirm or deny the accuracy of the list because the solicitor will not mislead the court by remaining silent.

The correct answer is Option A: Tell the client that the solicitor must cease to act because the solicitor cannot knowingly mislead the court.

EXPLANATION

The solicitor cannot continue to act knowing that the list is inaccurate as this would be misleading the court (Paragraph 1.4). However, the solicitor cannot disclose confidential information without the client’s consent (Paragraph 6.3). Hence, the solicitor would have to cease to act, without correcting the list.

A solicitor is asked to act by two people. One was the driver and the other a passenger in a car that collided with a truck. The two people each want the solicitor to claim compensation for them to the full extent that each is legally entitled. The driver and the passenger of the car both feel that that the driver of the truck was mostly at fault in the collision. The Police Accident Report says that the drivers of both vehicles were speeding at the time of the collision.

Will the solicitor’s professional obligations allow him to act for both the driver of the car and the passenger?

ANSWER OPTIONS

Option A: Yes, because the driver of the car and the passenger both have a claim against the driver of the truck so there is no conflict of interest or risk of such a conflict arising.

Option B: Yes, because the driver of the car and the passenger both feel that the driver of the truck was mostly at fault so there is no conflict of interest or risk of such a conflict arising.

Option C: Yes, because the driver of the car and the passenger have a substantially common interest and it would be reasonable for the solicitor to act for both.

Option D: No, because the driver of the car and the passenger have a substantially common interest but would not be reasonable for the solicitor to act for both.

Option E: No, because there is a conflict of interest or a significant risk of such a conflict arising between the driver of the car and the passenger and they do not have a substantially common interest.

The correct answer is Option E: No, because there is a conflict of interest or a significant risk of such a conflict arising between the driver of the car and the passenger and they do not have a substantially common interest. 

EXPLANATION

As both drivers were speeding there is a significant risk that the passenger will have to claim against both the car driver and the truck driver to preserve the passenger’s ability to receive full compensation. If the passenger claims against the driver of the car their best interests will clearly conflict, so that acting for both would be contrary to Paragraph 6.2 of the SRA Code of Conduct for Solicitors, RELs and RFLs. As the aims and needs of the car driver and the passenger are clearly different, they do not have a “substantially common interest” and they are not “competing for the same objective” within the meaning of the SRA Glossary, so neither exception to Paragraph 6.2 applies.

Options A and B are wrong because there is a significant risk of a conflict of interests between the car driver and the passenger, as described above in relation to Option E.

Options C and D are wrong because the car driver and the passenger do not have a “substantially common interest”, as described above in relation to Option E. In relation to Option D note that it would, however, probably not be reasonable to act in any event.

A newly-qualified solicitor working in the litigation department is due to meet one of his firm’s clients to discuss the client’s claim, due to be heard in court next week. The solicitor’s supervisor is unable to attend the meeting, but has told the solicitor to inform the client that there are no major problems and that the prospects of success are good. On reading through the file shortly before the meeting, the solicitor discovers a Costs Warning Notice from the court. This orders the client to pay security for costs on the basis that its claim has “little prospect of success”. There is no client letter in the file advising the client of this fact.

Which of the following statements best describes what the newly qualified solicitor should do?

ANSWER OPTIONS

Option A: Do what he has been told to do on the assumption that the client must already know about the Costs Warning Notice, as it is on the client’s file.

Option B: Do what he has been told to do because it is not his file or his client and responsibility lies with his supervisor.

Option C: Cancel the meeting, explaining to the client that the supervisor will not be able to meet the client due to unforeseen events.

Option D: Attend the meeting, tell the client that the prospects of success are not good and insist that the client settle or withdraw the claim immediately.

Option E: Attend the meeting, explain the Costs Warning Notice to the client and advise the client to consider settling or withdrawing the claim.

The correct answer is Option E: Attend the meeting, explain the Costs Warning Notice to the client and advise the client to consider settling or withdrawing the claim.  

EXPLANATION

It is clearly in the best interests of the client (SRA Principle 4) to know the true prospects of success. Note also that a solicitor should make the client aware of all information material to the matter (paragraph 6.1 of the SRA Code of Conduct for Solicitors, RELs and RFLs). This option does not, of course, follow the supervisor’s instructions, and this could cause the solicitor other sorts of difficulty; but of the Options available to choose, it is the best.

Option A is not the best answer, as it is apparently not true that the prospects of success are good. Saying so to the client will not be acting with honesty or integrity, or in the client’s best interests (SRA Principles 4, 5 and 7 respectively). It will also represent a failure to disclose material information the client (paragraph 6.1 of the SRA Code of Conduct for Solicitors, RELs and RFLs). Simply assuming that the client is aware of information which contradicts the supervisor’s assessment does not make the position better.

Option B is not the best answer for similar reasons to Option A, but note also that it is irrelevant that the solicitor is newly qualified and that the file is not his own. The client is a client of the firm and the same standards apply to all solicitors regardless of experience.

Option C is not the best answer as this explanation to the client would simply be untrue. If the solicitor says this he will not be acting with honesty or integrity, and arguably will not be upholding public trust in the legal profession (SRA Principles 4, 5 and 2 respectively).

Option D is not the best answer as, although the client has been told some material information about the prospects of success, it is not clear whether the Costs Warning Notice has been mentioned (paragraph 6.1 of the SRA Code of Conduct for Solicitors, RELs and RFLs). Nor can the solicitor insist on the client taking particular action – it is the client’s choice. Option E is the better answer.

A solicitor is instructed by a new client in the purchase of a house. One of the solicitor’s former clients sold the house to its current owner 12 months ago at a much reduced price because the house had been flooded twice in the previous three years. The new client does not know that the house is at risk of flooding.

Which of the following best describes the position with regard to the solicitor’s duty of disclosure?

ANSWER OPTIONS

Option A: The solicitor can only disclose the risk of flooding to the new client with the former client’s consent.

Option B: The solicitor must disclose the risk of flooding to the new client because the duty of disclosure takes precedence over the duty of confidentiality.

Option C: The solicitor has no duty to disclose the risk of flooding to the new client because the information is not material to the retainer.

Option D: The solicitor can disclose the risk of flooding to the new client because the solicitor owes no duty of confidentiality to the former client following termination of the retainer.

Option E: The solicitor must disclose the risk of flooding to the new client because this is in the new client’s best interests.

The correct answer is Option A: The solicitor can only disclose the risk of flooding to the new client with the former client’s consent.

EXPLANATION

The solicitor owes a duty of confidentiality to the former client; option D therefore is wrong.

Option E is wrong as the duty of confidentiality can only be overridden with the former client’s consent (note that disclosure is not required or permitted by law on these facts).

The duty of disclosure does not take precedence; option B is wrong.

Option C is wrong as the risk of flooding will have an effect on price and insurability which will affect whether the new client wants to buy the property and so the information is material to the retainer.

A solicitor is instructed by a client in relation to a commercial contract. The solicitor attends a meeting with the other party’s solicitor to negotiate the terms of the contract. Later that day, the solicitor tells the client that they will immediately produce a written note of what was said at the meeting. The solicitor fails to make the written note.

Some months later, a disagreement arises over the implementation of one of the terms of the contract and the client believes that having sight of exactly what was said at the meeting will resolve the disagreement. The client contacts the solicitor asking for the written note.

The solicitor cannot recall the meeting in detail, but types up a note of what the solicitor thought must have been discussed and presents it to the client, dated with the date of the meeting.

Has the solicitor acted in accordance with the SRA Principles?

ANSWER OPTIONS

Option A: Yes, because the solicitor has acted honestly in taking the best course of action that they could in the circumstances.

Option B: Yes, because the solicitor’s duty to act in the best interests of the client outweighs all other considerations.

Option C: Yes, because the solicitor’s actions have saved their firm from professional embarrassment.

Option D: No, because the solicitor has not acted with integrity.

Option E: No, because the solicitor has not acted with independence.

The correct answer is Option D: No, because the solicitor has not acted with integrity.

EXPLANATION

In producing a backdated note and presenting it to the client as if it were an accurate record made a year earlier, the client has not acted with integrity (the solicitor has probably additionally breached Principle 2 and Principle 4). The solicitor’s independence is not an issue of the facts (option E is therefore wrong). Producing a note which may well be inaccurate is unlikely to be in the client’s best interests and in any event, Principle 7 does not outweigh all other considerations (option B is therefore wrong).

Option C is wrong because acting simply in order to avoid professional embarrassment would not comply with the Principles.

A solicitor is acting for the defendant in a criminal case. The solicitor interviews a potential witness. During the course of the interview, it transpires that the witness’ evidence works against the defendant’s case.

Which of the following best describes how the solicitor’s duties apply in this situation?

ANSWER OPTIONS

Option A: The solicitor’s duty to act in the client’s best interests requires that the solicitor try to persuade the witness to change their evidence.

Option B: The solicitor is not obliged to call the witness, but the solicitor must be careful to adhere to the solicitor’s duty not to mislead the court.

Option C: The solicitor’s duty to uphold the administration of justice requires the solicitor to call the witness regardless of the evidence the witness will give.

Option D: The solicitor is under a duty to draw the court’s attention to the witness’ evidence because it is likely to have a material effect on the outcome of the case.

Option E: The solicitor’s duty to act with integrity requires the solicitor to tell the prosecution about the witness’ evidence.

The correct answer is Option B: The solicitor is not obliged to call the witness, but the solicitor must be careful to adhere to the solicitor’s duty not to mislead the court.

EXPLANATION

There is no obligation to call the witness (option C therefore is wrong), but Paragraph 1.4 requires that a solicitor does not mislead the court.

Option D is wrong as there is no duty to inform the court of evidence which prejudices the solicitor’s client (cf cases, statutes and procedural irregularities in Paragraph 2.7).

Option A is wrong as trying to persuade the witness to change their evidence would breach Paragraph 2.2.

There is no duty to inform the prosecution of a potential witness’ evidence and therefore option E is also wrong.

A solicitor’s husband is caught by a speed camera travelling in his car at 100 mph on a 40 mph road. The husband already has several points on his driving licence and so, to avoid the husband being disqualified from driving, the solicitor makes a false statement to the police stating that she was driving the car at the time of the speeding offence.

The solicitor has been qualified for six months and works in her firm’s commercial property department.

Which of the following statements best describes the professional conduct sanctions that the solicitor is likely to face?

ANSWER OPTIONS

Option A: The solicitor will face mild sanctions in view of her junior status.

Option B: The solicitor will face no sanctions because the SRA Principles do not apply to a solicitor’s private life.

Option C: The solicitor will face mild sanctions because speeding is a minor offence.

Option D: The solicitor will face mild sanctions for failing to uphold public trust and confidence in the solicitors’ profession.

Option E: The solicitor will face severe sanctions for acting dishonestly.

The correct answer is Option E: The solicitor will face severe sanctions for acting dishonestly.

EXPLANATION

The SRA Principles apply both inside and outside practice. The conduct issue here is the making of the false statement. In making a false statement the solicitor has acted dishonestly. Dishonesty is always regarded as serious and will attract severe sanctions. The solicitor’s junior status is a relevant factor, but is unlikely to result in mild sanctions given such a deliberate and flagrant breach of Principle 4 (and Principles 2 and 5 and, arguably, Principle 1 by making a false statement to the police).

A solicitor is acting for the claimant in a contract dispute. Shortly before the final hearing, the defendant’s brief to counsel in the case is delivered to the solicitor’s office by mistake.

What should the solicitor do?

ANSWER OPTIONS

Option A: Read the brief and then make the client aware of any of the contents which are material to the client’s matter.

Option B: Immediately return the brief to the defendant’s solicitors without reading it.

Option C: Read the brief and then make use of its contents at the final hearing.

Option D: Ask the client for instructions on whether to return the brief.

Option E: Destroy the brief without reading it.

The correct answer is Option B: Immediately return the brief to the defendant’s solicitors without reading it.

EXPLANATION

Where a solicitor receives confidential information by mistake, immediately on becoming aware of the error, the solicitor must return the papers to the originating solicitor without reading them or otherwise making use of their contents (Ablitt v Mills & Reeve [1995]). Paragraph 6.4(d) provides for an express exception to the duty to disclose information material to a client’s matter when such information is mistakenly disclosed via a privileged document.

A solicitor is asked to act in a boundary dispute. The prospective client owns a piece of land adjacent to a company’s warehouse premises. The company has recently erected a fence which encroaches onto the land. The solicitor tells the prospective client that the solicitor is on the company’s board of directors. However, the solicitor reassures the prospective client that the solicitor does not act for the company and that the solicitor will keep the prospective client’s information confidential.

Is the solicitor able to act for the prospective client?

ANSWER OPTIONS

Option A: Yes, because the prospective client is aware of the solicitor’s directorship.

Option B: Yes, because effective safeguards are in place to protect the prospective client’s confidential information.

Option C: Yes, because there is no connection between the directorship and the solicitor’s professional work.

Option D: No, because there is an own interest conflict.

Option E: No, because there is a conflict of interest between the prospective client and the company.

The correct answer is Option D: No, because there is an own interest conflict.

EXPLANATION

This is an own interest conflict and therefore the solicitor cannot act in any circumstances (Paragraph 6.1). There are no exceptions contained in Paragraph 6.1. The company is not a client and so there can be no conflict of interest.

A solicitor receives instructions to act for the claimant in a litigation matter. The solicitor’s colleague in the firm’s litigation department, already acts for the defendant in the same matter.

Can the solicitor act for the claimant?

ANSWER OPTIONS

Option A: Yes, because the parties have a ‘substantially common interest’ in the matter.

Option B: Yes, because the parties are ‘competing for the same objective’.

Option C: Yes, because there is no conflict of interest where the parties are represented by different solicitors within the same firm.

Option D: No, because there is a conflict of interest.

Option E: No, because there is an own interests conflict.

The correct answer is Option D: No, because there is a conflict of interest.

EXPLANATION

The clients here have opposite interests as they are on different sides in the dispute. This gives rise to a conflict of interest. Neither exception in Paragraph 6.2 can apply to opponents in litigation; accordingly, options A and B are wrong. Paragraph 6.2 is replicated in the Code for Firms and so applies to the firm as a whole and not just to individual solicitors or employees, meaning that option C is wrong. Option D is wrong as the solicitor has no personal involvement and so there is no own interest conflict.

A solicitor has a client who is the Claimant in a road traffic collision claim. In their meeting a week before the trial, the Claimant tells the solicitor that he could clearly see both of the Defendant’s hands on her steering wheel immediately before the collision.

On the morning of the trial, the Claimant tells the solicitor in confidence that he wants the solicitor to cross-examine the Defendant on the basis that she was texting on her mobile phone at the time of the collision. The Claimant admits to the solicitor that he could not see the Defendant using her mobile phone.

Which of the following best describes what the solicitor should do at trial?

ANSWER OPTIONS

Option A: The solicitor must immediately withdraw from the case and no longer represent the Claimant at trial.

Option B: The solicitor should cross-examine the Defendant, but not on the basis that she was using her mobile phone at the time of the collision.

Option C: The solicitor should tell the Defendant’s legal representative what the Claimant said during the meeting.

Option D: The solicitor should not cross-examine the Defendant at trial at all.

Option E: The solicitor should cross-examine the Defendant on the basis that she was using her mobile phone at the time of the collision.

The correct answer is Option B: The solicitor should cross-examine the Defendant, but not on the basis that she was using her mobile phone at the time of the collision.

EXPLANATION

Option B is the best description of what the solicitor should do, and therefore the correct answer. The solicitor should not cross-examine the Defendant on the basis that she was using her mobile phone, because the Claimant has previously admitted to the solicitor that he did not see the Defendant doing this and in fact saw her hands on the steering wheel. SRA Principle 2 states that the solicitor must act in a way that upholds public trust and confidence in their profession. SRA Principle 1 provides that the solicitor must act in a way that upholds the proper administration of justice. SRA Principles 4 and 5 state that the solicitor must act with honesty and integrity. Paragraphs 1.4 and 2.4 of the SRA Code of Conduct for Solicitors, RELs and RFLs state that solicitors must not mislead or attempt to mislead the court or others and that they must only make assertions which are properly arguable. The solicitor would be misleading the court, as well as not acting with honesty and integrity, by cross-examining the Defendant as the Claimant requests. It would, however, be entirely proper and in the Claimant’s best interests for the solicitor to cross-examine the Defendant on other matters relevant to the case as, without doing so, the solicitor will not able to challenge the Defendant’s evidence and/or advance the Claimant’s version of events.

Option A is not the best description of what the solicitor should do, and is therefore a wrong answer. There is no mandatory requirement for the solicitor to immediately withdraw from the case. The solicitor has a duty to act in the client’s best interests (SRA Principle 7), and it would not be in the Claimant’s best interests for the solicitor to withdraw from the case today, as this would leave the Claimant without legal representation at the trial.

Option C is wrong. The solicitor should not tell the Defendant’s legal representative what the Claimant said during the meeting. Paragraph 6.3 of the SRA Code of Conduct for Solicitors, RELs and RFLs states that a solicitor has a responsibility to keep the affairs of current clients (in this case, the Claimant) confidential unless disclosure is required or permitted by law or the client consents. It would also not be in the Claimant’s best interests (SRA Principle 7) to tell the Defendant’s legal representative what the Claimant said during the meeting.

Option D is not the best description of what the solicitor should do, and is therefore a wrong answer. The solicitor has a duty to act in the client’s best interests (SRA Principle 7). It would not be in the Claimant’s best interests for the solicitor not to cross-examine the Defendant at all because, without doing so, the solicitor will not able to challenge her evidence and/or advance the Claimant’s version of events. As explained in relation to Option B, however, the cross-examination should not be conducted in the manner that the Claimant requests.

Option E is wrong. The solicitor should not cross-examine the Defendant on the basis that she was using her mobile phone, because the Claimant has previously admitted to the solicitor that he did not see the Defendant doing this and in fact saw her hands on the steering wheel. SRA Principle 2 states that the solicitor must act in a way that upholds public trust and confidence in their profession. SRA Principle 1 provides that the solicitor must act in a way that upholds the proper administration of justice. SRA Principles 4 and 5 state that the solicitor must act with honesty and integrity. Paragraphs 1.4 and 2.4 of the SRA Code of Conduct for Solicitors, RELs and RFLs state that solicitors must not mislead or attempt to mislead the court or others and that they must only make assertions which are properly arguable. The solicitor would be misleading the court, as well as not acting with honesty and integrity, by cross-examining the Defendant in the manner that the Claimant requests.

A solicitor is acting for the claimant in a litigation matter. The defendant is unrepresented. On the journey to court for the final hearing the solicitor is reading a legal journal and discovers that the solicitor has overlooked a case which completely destroys the client’s case.

What should the solicitor do on arrival at court?

ANSWER OPTIONS

Option A: Cease to act.

Option B: Provide the defendant with the name of the case and its citation.

Option C: Draw the court’s attention to the case.

Option D: Ask for the client’s consent to the solicitor drawing the case to the court’s attention.

Option E: Tell the client that the case cannot proceed because of a procedural irregularity.

The correct answer is Option C: Draw the court’s attention to the case.

EXPLANATION

Under Paragraph 2.7 a solicitor is under a duty to draw the court’s attention to cases which are likely to have a material effect on the case. Compliance with the duty is not dependent on the client’s consent (option D is wrong).

Immediately ceasing to act would not assist the client, and would not comply with Paragraph 2.7; option A therefore is not the best answer.

Option B is not the best answer, as providing details of the case would not assist an unrepresented party and may be considered to be taking unfair advantage of a third party.

Option E is wrong – the solicitor must draw the court’s attention to the case. What that means for the ongoing conduct of the final hearing will ultimately be a matter for the court (unless the claimant decides to discontinue its claim).

A father is selling one of his many properties to his daughter at a substantial undervalue to help her to get a start on the property ladder. They both ask the same solicitor to carry out the conveyancing work for them.

Which of the following best explains who the solicitor can act for?

ANSWER OPTIONS

Option A: The solicitor cannot act for either as there is a conflict of interest between father and daughter.

Option B: The solicitor cannot act for either as there is an own interest conflict.

Option C: The solicitor can act for both as they are ‘competing for the same objective’.

Option D: The solicitor can act for both as the risk of a conflict of interest is not significant.

Option E: The solicitor cannot act for the father as selling the property at a substantial undervalue is not in his best interests.

The correct answer is Option D: The solicitor can act for both as the risk of a conflict of interest is not significant.

EXPLANATION

Paragraph 6.2 provides that you must not act if there is a client conflict or significant risk of a client conflict. Usually, there will be a client conflict in acting for both seller and buyer in a residential property transaction. However, this will not always be the case. On the facts, this is a case where a conflict is unlikely to arise (option A therefore is not the best answer). The solicitor is not personally involved so there is no own interest conflict (option B is wrong). ‘Competing for the same objective’ is not involved – they are not in competition to acquire the property (option C therefore is not relevant). Even if a conflict of interest arose it would not prevent the solicitor acting for both parties – the solicitor could act for one. Option E is wrong, as selling the property, even at an undervalue, would achieve the father’s objective.

A client instructs a solicitor to carry out the conveyancing work on the sale of a house. The client has put the house on the market for an asking price of £500,000. The solicitor thinks that the asking price is cheap. The solicitor suggests to his wife that she should buy the house. The solicitor’s wife buys the property for £500,000 and sells it three months later, making a profit of £75,000.

Which of the following best describes the professional conduct implications of the solicitor’s actions?

ANSWER OPTIONS

Option A: The solicitor did not do anything wrong because the client achieved their objective of selling the house.

Option B: The solicitor’s actions are likely to diminish public trust and confidence in the solicitors’ profession because a profit has been made at the client’s expense.

Option C: The solicitor did not do anything wrong because the client did not suffer a loss.

Option D: The solicitor acted with integrity because the solicitor did not make a profit himself.

Option E: The solicitor acted in the client’s best interests in securing the price the client wanted for the house.

The correct answer is Option B: The solicitor’s actions are likely to diminish public trust and confidence in the solicitors’ profession because a profit has been made at the client’s expense.

EXPLANATION

The solicitor placed his own interests and those of his family above those of a client. The solicitor’s wife has made a profit at the client’s expense. Such behaviour is likely to diminish public trust and confidence in the profession and therefore breach Principle 2. The solicitor has not acted with integrity in making a profit for his family and so has breached Principle 5 (accordingly, option D is wrong). The client has achieved the objective of selling the house, but the solicitor did not act correctly (option A is wrong). The solicitor is in breach of Principle 2 irrespective of the fact that the client has not suffered a loss and was paid the asking price (accordingly, options C and E are wrong).