SQE ethics questions

SQE ethics questions are not a separate section: ethics and professional conduct is examined across both FLK1 and FLK2, using the SRA Principles and the SRA Code of Conduct for Solicitors. Below are the topics that come up most and four original worked questions. See Legal Services, SQE1 and SQE2 ethics.

How ethics is examined

The SQE1 specification says ethics and professional conduct is tested throughout, not in a standalone block. A conveyancing question may turn on a conflict. A dispute resolution question may turn on misleading the court. A wills question may turn on confidentiality or acting for two clients. Read every stem for a conduct point before you choose an answer.

Topics that come up most

• The seven SRA Principles: rule of law and proper administration of justice, public trust, independence, honesty, integrity, equality, diversity and inclusion, and acting in each client's best interests.
• Conflicts of interest: Code paras 6.1 and 6.2.
• Confidentiality and disclosure: paras 6.3 to 6.5.
• Duties to the court: paras 1.4 and 2.1 to 2.7.
• Undertakings: para 1.3.
• Client information and costs: paras 8.6 and 8.7.
• Money laundering and client money.

When the Principles conflict, the SRA says those that protect the wider public interest, such as the rule of law and public confidence in the profession, take precedence over an individual client's interests.

Worked question 1: former client

Firm Redd and Co acted three years ago for Rahman Ltd on a refinancing and still holds detailed confidential information about its finances. A new client asks Redd and Co to sue Rahman Ltd for unpaid fees. The information is material to the claim. Which statement of the firm's position is correct?

1. It may act, because the matters are unrelated and the retainer has ended.
2. It may act only if Rahman Ltd gives informed consent, given or evidenced in writing, or effective measures mean there is no real risk of disclosing the material information.
3. It may act if the new client gives informed consent.
4. It must refuse in all circumstances.
5. It may act provided it tells Mr Rahman after the claim is issued.

Answer: B. Para 6.5 prohibits acting for a client whose interest is adverse to a current or former client where the firm holds that former client's confidential information material to the matter, unless the affected client consents or effective measures mean no real risk of disclosure. A is wrong because the duty of confidentiality continues after the retainer ends (para 6.3). C gets the wrong client to consent. D is too absolute. E gives notice, not consent.

Worked question 2: undertakings

A solicitor, on behalf of the firm, gives the seller's solicitor a written undertaking to pay a sum on completion. The client then says she will provide the money a week late. What is the firm's position?

1. The undertaking lapses because it depended on the client.
2. The firm may delay if it tells the other side the reason.
3. The firm is only liable if the other side suffers loss.
4. The undertaking must be performed within the agreed time even if the client has not provided funds.
5. Only the solicitor personally is bound.

Answer: D. Para 1.3 requires solicitors to perform undertakings within the agreed time, or a reasonable time. Undertakings given on behalf of the firm bind the firm. They are not conditional on the client unless they say so. Never give an undertaking you cannot control. A, B, C and E are wrong for those reasons.

Worked question 3: false evidence

A solicitor learns that a witness statement signed by the client and served in a claim contains a statement the client knows to be false. The client refuses to correct it. Which course is correct?

1. Advise the client that the statement must be corrected, and if the client refuses, stop acting, keeping the matter confidential.
2. Carry on but avoid relying on that paragraph.
3. Tell the court at once, without telling the client.
4. Tell the other side the statement is unreliable.
5. Continue and let the client decide.

Answer: A. The solicitor must not mislead the court (para 1.4) or put forward assertions that are not properly arguable (para 2.4). The solicitor must also keep client affairs confidential unless disclosure is permitted by law (para 6.3). So the proper step is to advise correction and, if refused, to stop acting. B still lets the court be misled. C and D breach confidentiality without cause. E fails the duty to the court.

Worked question 4: costs information

A firm gave a client an estimate of £2,000 for its fees. Halfway through the matter, the work turns out to be more complex and the likely cost will be about £3,500. What should the solicitor do?

1. Finish the work and bill the higher sum.
2. Cap the bill at £2,000 in all cases.
3. Tell the client promptly about the change, explain why and give the revised likely cost, so the client can decide how to proceed.
4. Ask the client to sign a waiver.
5. Stop work until the client pays an interim bill.

Answer: C. Para 8.7 requires solicitors to ensure clients get clear information about pricing and the likely overall cost, both at the start and when appropriate as the matter progresses. Para 8.6 requires information that lets the client make informed decisions. A leaves the client without a choice. B is not required. D and E do not meet the duty.

How to answer ethics questions

• Find the duty: which Principle or paragraph applies.
• Ask whose interest is at stake and who can consent.
• Prefer answers that protect the court, then the client, and comply with the Code.
• Be wary of options with 'always' or 'never'.

Try more under timed conditions with our free sample questions, and see SQE1 practice questions.

Questions

Related

• SQE1: format, subjects and how to prepare
• SQE1 Legal Services
• SQE1 conflicts of interest: what you must know and how it is tested
• SQE1 confidentiality: what you must know and how it is tested
• SQE1 practice questions: how to answer single best answer items

Sources: SQE1 Assessment Specification (from 1 September 2026); SRA Code of Conduct for Solicitors, RELs and RFLs; SRA Principles; SRA: ethics and professional conduct changes for SQE2 after 1 September 2026. Checked 10 November 2026.