Legal Services and Professional Conduct is tested across both FLK1 and FLK2 and covers the SRA Standards and Regulations, the Solicitors Qualifying Exam regulatory framework, and the professional obligations that apply to every solicitor. It is a topic where precision matters — the SRA’s rules are not discretionary, and exam questions frequently test whether a specific course of conduct is permitted, required, or prohibited.
The SRA Standards and Regulations: An Overview
The SRA Standards and Regulations came into force in November 2019. They replaced the previous SRA Handbook and introduced a more outcomes-focused approach. The key documents are:
- The SRA Principles — seven overarching principles that apply to all individuals and firms regulated by the SRA
- The Code of Conduct for Solicitors, RELs and RFLs — individual professional obligations
- The Code of Conduct for Firms — firm-level obligations
- The SRA Accounts Rules — client money and financial obligations
- The SRA Authorisation of Individuals Regulations — qualification and authorisation requirements
The Seven SRA Principles
Every solicitor must act in a way that upholds all seven principles. Where two principles appear to conflict, the one that most effectively serves the overarching purpose of protecting the public interest will take precedence. The seven principles require solicitors to:
- Act in a way that upholds the constitutional principle of the rule of law and the proper administration of justice
- Act in a way that upholds public trust and confidence in the solicitors’ profession and in legal services provided by authorised persons
- Act with independence
- Act with honesty
- Act with integrity
- Act in a way that encourages equality, diversity, and inclusion
- Act in the best interests of each client
Conflicts and Priority
Principles 1 and 2 (rule of law and public trust) take priority over the duty to the client where they conflict. A solicitor must never allow their duty to the client to override their duty to the court or their obligations to the rule of law.
The duty to act in the best interests of the client (Principle 7) is subject to the overriding obligations to the court and to the rule of law. Questions testing this hierarchy are common — always consider whether any higher obligation limits the duty to the client before advising.
Confidentiality and Disclosure
The duty of confidentiality requires a solicitor not to disclose information relating to the client’s matter without the client’s consent — unless compelled by law, required to disclose to prevent a future crime, or in connection with self-defence proceedings.
The duty of disclosure requires a solicitor to share with the client any information material to their matter, subject to confidentiality obligations owed to others. These two duties can conflict — for example, where information from one client would assist another. In such cases the solicitor must usually decline to act for one or both clients.
Conflicts of Interest
A solicitor must not act where there is an own-interest conflict or a significant risk of conflict between two or more clients. A “own interest” conflict arises where the solicitor’s own interests conflict with those of the client. A client conflict arises where the interests of two clients conflict or there is a significant risk of conflict.
Exceptions permit acting for two clients in a conveyancing transaction under certain conditions (standard property transactions, no conflict, informed consent from both parties) — but the rules are strict and frequently tested.
Undertakings
An undertaking is a statement made by a solicitor to another party that the solicitor will do something or refrain from doing something. Undertakings are binding on the individual solicitor — they must be fulfilled even if the client refuses to honour the underlying obligation or goes insolvent. Breach of an undertaking is a serious professional matter.
Practise This Topic on Sqewise
Professional conduct questions appear throughout both FLK1 and FLK2. They test knowledge of specific rules and the ability to apply them to realistic scenarios. Practise legal services questions on Sqewise, review your mastery on the progress dashboard, and see all covered topics.