SRA Principles and Professional Conduct
Legal Services > SRA Principles and Professional Conduct
The SRA Principles are the seven mandatory ethical standards that form the foundation of every solicitor's professional obligations. Examiners test these relentlessly in SQE1, often embedding them in scenario questions where you must identify which Principle is engaged and how it applies when Principles conflict - a distinction that catches many candidates out.
What Is SRA Principles and Professional Conduct in SQE1?
The SRA Principles are not rules that spell out exactly what to do in every situation. Instead, they are overarching standards that require solicitors to exercise professional judgment. All seven Principles apply to all solicitors, regardless of their role or sector. When two or more Principles come into conflict, the ones that serve the public interest (Principles 1 and 2) take precedence over the duty to the individual client (Principle 7).
Understanding the SRA Principles is essential because they underpin every Legal Services topic you will study. They also appear as background law in questions on Conflicts of Interest and other practice areas, so mastering them early pays dividends across the entire SQE1 syllabus.
Key Principles for SQE1
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Principle 1: Upholding the Rule of Law and the Administration of Justice: Solicitors must not assist in illegal activity or help the court be misled. This overrides the duty to the client if the client asks a solicitor to present false evidence or mislead the court.
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Principle 2: Upholding Public Trust and Confidence in the Profession: Solicitors must behave in a way that maintains trust in legal services. This can override client wishes where the client's instructions would damage the reputation of the profession or the courts.
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Principle 3: Acting with Independence: Solicitors must be free from outside pressure and must not allow third parties (including funders or employers) to dictate their advice or compromise their duty to the client.
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Principle 4: Acting with Honesty: Solicitors must be truthful in all professional dealings, including communications with clients, the court, and third parties.
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Principle 5: Acting with Integrity: This is broader than honesty; it includes not taking unfair advantage and treating others fairly and openly.
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Principle 6: Encouraging Equality, Diversity and Inclusion: Solicitors must not discriminate and must actively promote inclusion in the workplace and in service delivery.
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Principle 7: Acting in the Best Interests of Each Client: Solicitors must prioritise the client's interests, subject to Principles 1, 2 and 6. This is the only Principle that can be overridden by the public interest Principles.
Exam tip
When two Principles conflict, the hierarchy is fixed: public interest Principles (1 and 2) always trump the duty to the individual client (Principle 7). A client asks you to mislead the court? Principle 1 overrides Principle 7—you must refuse. Client wants you to discriminate? Principle 6 overrides—refuse. This is a classic SQE1 trap.
How This Appears in SQE1 Questions
SQE1 questions frequently present scenarios where Principles are in tension. You might be asked whether a solicitor can follow a client's instruction that conflicts with the public interest. The examiners reward candidates who can identify which Principles are engaged and apply the hierarchy correctly. Watch for scenarios involving misleading the court, discriminatory instructions, or conflicts arising from a third-party funder.
A solicitor's client instructs them to present a witness statement that the solicitor knows contains false information. The client insists it is in their best interests to proceed.
This is a classic SQE1 trap.
Common Mistakes Students Make
- Prioritising Principle 7 (duty to the client) above all else, forgetting that public interest Principles (1, 2 and 6) take precedence in any conflict.
- Failing to identify which specific Principles are engaged in a scenario before applying the hierarchy.
- Confusing Principle 4 (honesty—truthfulness) with Principle 5 (integrity—fairness and not taking unfair advantage).
- Treating the Principles as aspirational rather than mandatory, forgetting that breach can result in disciplinary action.
Quick Summary
- The seven SRA Principles are mandatory ethical standards that apply to all solicitors.
- Principles 1 and 2 (upholding the rule of law and public trust) take precedence over Principle 7 (duty to the client) when they conflict.
- Principle 1 overrides client instructions in cases of misleading the court, assisting crime or fraud, or facilitating illegality.
- Principle 6 (equality and diversity) overrides discriminatory client instructions.
- Principle 3 (independence) prevents third parties and funders from dictating advice.
- Paragraph 1.3 of the SRA Code of Conduct requires solicitors to perform all undertakings within agreed timescales or reasonable time.
Want to test this now? Try a few SQE1-style questions below before moving on.
Test Yourself
Test yourself
Quick check questions based on this article.
Question 1
Scenario
A solicitor is acting for a client who is a landlord in possession proceedings against a residential tenant. The tenant has fallen into arrears of rent. During a meeting with the solicitor, the client states that he wants the tenant removed because the tenant is originally from Eastern Europe and the client does not want foreign tenants in his properties. The solicitor advises the client that the possession proceedings must be based on lawful grounds, such as rent arrears, and cannot be motivated by the tenant's nationality. The client acknowledges this and instructs the solicitor to proceed solely on the basis of the rent arrears, which amount to three months' unpaid rent. The solicitor reviews the tenancy agreement and confirms that the rent arrears ground is available under the relevant housing legislation. The solicitor notes that the client has previously brought possession proceedings against two other tenants of Eastern European origin, both on the basis of rent arrears. The solicitor's firm specialises in landlord and tenant work and handles approximately fifty possession claims per year. The client has twelve properties in total and the majority of his tenants are not in arrears.
What should the solicitor do regarding the client's instructions?
Question 2
Scenario
A solicitor working at a mid-sized law firm receives a telephone call from a potential new client who wishes to instruct the firm in a complex commercial property transaction. The client explains that the property is being purchased through a company incorporated in a jurisdiction that the solicitor does not recognise. The client states that the purchase price is £1.8 million and that the funds are being transferred from an account held by the company in a different overseas jurisdiction. The solicitor carries out the firm's standard new client onboarding procedure, which includes verifying the identity of the individual instructing the firm and conducting an electronic identity check. The firm's compliance manual states that for overseas corporate clients, the solicitor should also verify the identity of the beneficial owners of the company and the source of funds. The solicitor notes that the compliance manual was last updated eighteen months ago. The solicitor is very busy and decides to proceed with just the standard checks for now, intending to complete the additional corporate checks at a later stage. The solicitor opens a file and begins work on the transaction.
Which of the following best describes the solicitor's position regarding the onboarding of this client?
Question 3
Scenario
A solicitor is acting for a client in a commercial property purchase. The client is a UK-registered limited company. The solicitor has completed standard customer due diligence at the outset of the retainer, verifying the company's identity, the identity of the instructing director, and the beneficial ownership structure. During the course of the transaction, the solicitor is informed by the client that a new investor has acquired a 30% shareholding in the company. The new investor is an individual who resides overseas. The solicitor has not previously been made aware of this investor's involvement and has not conducted any CDD on this individual. The solicitor considers whether the new investor constitutes a beneficial owner for the purposes of the Money Laundering Regulations 2017. The firm's compliance manual defines a beneficial owner of a body corporate as any individual who directly or indirectly holds more than 25% of the shares or voting rights, or who otherwise exercises control over the management of the company. The client's finance director assures the solicitor that the new investor is a passive investor with no involvement in the management of the company. The transaction is due to complete in five working days.
What action should the solicitor take regarding the new investor?
Practice with full exam-style questions
Related Topics
- SQE1 Legal Services: Complete Guide
- Regulation of Solicitors and Law Firms
- Conflicts of Interest
- Duties to Clients and Client Care
Practise SRA Principles and Professional Conduct Questions for SQE1
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