SQE1 Ethics and Professional Conduct – Rules, Exceptions & Key Distinctions Cheat Sheet

Ethics questions are rarely difficult because you cannot identify the duty — they are difficult because two duties can compete, an exception may apply, and you still need to know exactly what the solicitor must do next.

This 53-page SQE1 Ethics & Professional Conduct revision guide is designed to turn ethical scenarios into a clear decision-making process rather than a list of duties to memorise.

The guide helps you work through scenarios in the same order:

identify the duty → who is it owed to → is there a competing duty → which duty prevails → does an exception apply → are all safeguards satisfied → what action is required → what is the consequence

The focus is not simply on spotting a conflict. It is on reaching the practical answer:

must the solicitor act, decline, cease acting, disclose, refuse to disclose, correct, report or obtain consent?

Covered in the guide:

• Ethics, regulation and complaints

• The SRA Principles

• Obtaining instructions and publicity

• The retainer

• Client care and costs

• Confidentiality and disclosure

• Conflicts of interest

• Undertakings

• Duties to the court and third parties

• SRA reporting and compliance

Built for SQE1 MCQ revision

The guide is structured to help you:

• Identify which professional duty applies

• Determine who that duty is owed to

• Recognise when duties come into conflict

• Distinguish client conflicts from own-interest conflicts

• Check every condition before relying on an exception

• Work out when confidentiality or disclosure prevails

• Identify the correct action when a client gives improper instructions

• Distinguish the roles and powers of the firm, Legal Ombudsman, SRA, SDT and court

• Apply the rules on undertakings, reporting, costs, client care and third parties

• Follow the analysis through to the action and regulatory consequence

The resource also includes a master retainer map, fast issue spotters, MCQ traps, decisive distinctions and action-focused frameworks so that you do not stop at “there is a conflict” when the question is really testing what happens next.

The aim is simple:

identify the duty, resolve the conflict, check the exception and state the required action.

Use the guide alongside MCQ practice to consolidate professional conduct, review difficult conflicts and exceptions, identify weak areas and prepare for mocks and final-stage revision.

Please note: This is an independently prepared educational revision resource. It is not affiliated with, approved by or endorsed by the SRA or any university, education provider or SQE preparation provider. Candidates should use the applicable SRA SQE1 Assessment Specification and their main study materials alongside this resource.

Accuracy and liability notice:

This resource has been prepared with reasonable care for educational and revision purposes. However, legal rules, regulatory requirements, figures and assessment specifications may change, and errors or omissions may occasionally occur. Candidates should check the applicable SRA SQE1 Assessment Specification and relevant official sources for the version that applies to their assessment date.

This resource is not legal advice and should not be relied on as a substitute for professional advice or official assessment materials. Nothing in this notice affects any rights you may have under applicable consumer law.