The Code of Conduct
The SRA Codes of Conduct set out the standards and business controls expected of solicitors (the Code for Solicitors, RELs and RFLs) and of firms (the Code for Firms). They translate the Principles into specific outcomes-focused obligations.
What "The Code of Conduct" covers
- There are two Codes: one for solicitors, registered European lawyers and registered foreign lawyers, and one for firms.
- Core duties include not misleading the court or others (paras 1.4 and 2.1), maintaining trust, and acting with honesty and integrity.
- Solicitors must provide a proper standard of service and competent, up-to-date practice, and only act on proper instructions with client authority.
- Client care obligations require clear information on costs, complaints, regulatory status and service (transparency rules), given at the outset and as matters progress.
- There is a duty of candour to the court and not to construct facts or mislead; a solicitor must not deceive or knowingly mislead the court (para 2 of the Code).
- The Code for Firms requires effective governance, systems and controls, a Compliance Officer for Legal Practice (COLP) and Compliance Officer for Finance and Administration (COFA).
- Serious breaches must be reported promptly to the SRA; individuals and firms have distinct but overlapping reporting duties.
Key cases & statutes
The authorities and provisions most likely to matter for this subtopic:
How it's tested in SQE1
SQE1 uses single best answer questions: a short factual scenario, one precise question, and five options of which only one is the best answer on the law applied to the facts. For the code of conduct, expect to be asked what the correct legal position is, what a party may or must do, or which outcome follows — with more than one option looking arguable. Reading the facts carefully and eliminating the near-misses is the skill that earns the mark.
Where candidates lose marks
- Confusing the Code for Solicitors with the Code for Firms - they impose different (though overlapping) duties.
- Overlooking the outcomes-focused, judgement-based nature of the Codes rather than rigid rules.
- Forgetting the duty of candour: a solicitor must never mislead the court, even by omission or by allowing a false impression to persist.
- Missing the mandatory reporting of serious breaches to the SRA.
Learn this subtopic in the course
A video lesson, notes and exam-style practice on the code of conduct.
FAQ
Is the code of conduct tested on SQE1?
Yes — the code of conduct is part of the SQE1 Legal Services & Professional Conduct syllabus (FLK1) and can appear in single best answer questions.
How is the code of conduct examined in SQE1?
SQE1 tests it by application: you're given a realistic scenario and choose the single best answer from five options. The focus is on using the law correctly, not reciting it — knowing the leading authorities (SRA Code of Conduct for Solicitors, RELs and RFLs, SRA Code of Conduct for Firms) helps.