1. SRA Code of Conduct
The SRA Code of Conduct serves as the ethical compass for solicitors in England and Wales. It is bifurcated into two parts: one for individual solicitors (the SRA Code of Conduct for Solicitors, RELs and RFLs) and another for firms (the SRA Code of Conduct for Firms). The Code is underpinned by the SRA Principles.
The Code is underpinned by several key principles. These are the SRA Principles — the fundamental tenets of ethical behaviour that the SRA expects everyone it regulates to uphold.
(1) the constitutional principle of the rule of law and the proper administration of justice;
(2) public trust and confidence in the solicitors' profession and in legal services provided by authorised persons;
(3) independence;
(4) honesty;
(5) integrity;
(6) encouraging equality, diversity and inclusion;
(7) the best interests of each client.
2.1.1 Application in Dispute Resolution
In the context of dispute resolution, solicitors must adhere to these principles rigorously. The adversarial nature of disputes places particular pressure on the solicitor's competing duties — to the client, to the court and to third parties.
Full and accurate information — solicitors must provide complete and accurate information to all parties involved, including the court. Misleading or deceiving parties is a grave violation.
Client's best interests — solicitors must act diligently and promptly, keeping in mind the best interests of the client.
2. Honesty and Integrity
Honesty and integrity are foundational virtues that every aspiring solicitor must embody. These virtues are not just moral imperatives but are also legal requirements under the SRA Principles. In the context of dispute resolution, these principles take on added significance.
2.2.1 The Importance of Honesty
Truthfulness — always provide truthful information to the court, your client, and the opposing party. Misrepresentation can lead to severe penalties, including being struck off the roll.
Full disclosure — it is essential to disclose all relevant facts to the court, consistent with the solicitor's overriding duty not to mislead the court.
2.2.2 The Importance of Integrity
Upholding the law — solicitors must act within the bounds of the law, even when it is against their client's wishes.
Confidentiality — maintain the confidentiality of all client information unless disclosure is required by law (or the client consents).
2.2.3 Application in Dispute Resolution
In dispute resolution, integrity manifests in various ways:
Fair treatment — all parties should be treated with fairness and respect.
Conflict of interest — solicitors must disclose any conflicts of interest that may compromise their ability to represent their client effectively.
Client confidentiality — the confidentiality of client information must be maintained at all times, except where disclosure is required by law.
3. Ethical Dilemmas in Different Forms of Dispute Resolution
Different forms of dispute resolution give rise to different ethical dilemmas. Before recommending a form of dispute resolution, the solicitor must work through the relevant provisions of the SRA Code of Conduct so that the client can make an informed decision.
Advising on dispute resolution options
Consider the following when advising on Alternative Dispute Resolution ('ADR'):
r 3.4 SRA Code of Conduct — you must consider and take into account your client's attributes, needs and circumstances when considering whether a form of Alternative Dispute Resolution might be appropriate for your client.
rr 8.6 and 8.7 — you must give your client enough information about all available methods of dispute resolution (whether Alternative Dispute Resolution, arbitration, or litigation) so that they can make informed decisions about their options and understand the likely costs of each.
Principle 7 — you should recommend the form of dispute resolution that is in the best interests of your client. If you are not sufficiently knowledgeable and experienced to provide a proper competent standard of service on the form chosen (per r 3.2), then you should refer your client to a competent colleague.
2.3.1 Litigation
Disclosure — ethical dilemmas may arise around the extent and timing of disclosure of documents.
Witness coaching — solicitors must not coach witnesses or encourage dishonesty.
2.3.2 Arbitration
Impartiality — the arbitrator must be impartial. Solicitors should disclose any relationship with the arbitrator that could be seen as compromising impartiality.
Confidentiality — all proceedings and documents must be kept confidential unless otherwise agreed.
2.3.3 Mediation
Neutrality — the mediator must remain neutral and should not have any vested interest in the outcome.
Informed consent — parties should be made aware of the mediation process and give their informed consent.
2.3.4 Case Studies
4. Key Notes
The following summary table consolidates the key ethical concepts examined in this chapter. Treat it as a revision checklist — you should be able to state each concept and its source from memory.
| Key Items | Concepts | Cases / References |
|---|---|---|
| SRA Code of Conduct | Serves as the ethical framework for solicitors. Divided into two parts: one for individual solicitors and another for firms. | SRA Principles, SRA Code of Conduct |
| Key Principles of SRA Code | 1. Rule of Law 2. Public Trust 3. Independence 4. Honesty 5. Integrity 6. Equality, Diversity and Inclusion 7. Best Interests of Each Client | SRA Principles |
| Ethical Dilemmas in Litigation | Issues may arise around the extent and timing of disclosure of documents. No witness coaching is allowed. | CPR (Civil Procedure Rules), Case Law |
| Ethical Dilemmas in Arbitration | The arbitrator must be impartial. Confidentiality of proceedings is essential. | Arbitration Act 1996 (as amended by the Arbitration Act 2025), Case Law |
| Ethical Dilemmas in Mediation | The mediator must remain neutral. Parties should give informed consent. | Mediation Guidelines, Case Law |
5. Task
Use the following task to consolidate your understanding of the boundary between the duty of confidentiality to the client and the duty not to mislead the court.
When working through this task, weigh the duty of client confidentiality against the overriding duty not to mislead the court and the duty to uphold the rule of law and the proper administration of justice. A solicitor must not knowingly allow the court to be misled; where, for example, a client who has pleaded not guilty admits guilt to the solicitor, the solicitor cannot put forward a positive case inconsistent with that admission and may have to cease to act if the client insists. Equally, the solicitor must not volunteer privileged or confidential information to the court where there is no duty to do so. Identify the point at which the public-interest Principles displace the duty owed to the individual client.
6. MCQ Practice — SQE-Style Questions
Each of the following questions mirrors the style, length and difficulty of the SQE1 FLK1 single best answer questions. Attempt each question closed-book, write down your answer, then turn to the answer key. The answer key explains why each option is correct or incorrect — read every explanation in full.
A. No, Emily has failed to uphold the constitutional principle of the rule of law and the proper administration of justice.
B. Yes, Emily cannot be said to have acted contrary to the SRA Principles given that Mark was nonetheless convicted.
C. No, Emily has failed to act in the best interests of her client given that Mark has been convicted.
D. Yes, Emily has acted in the best interests of her client, which outweighs all other interests.
E. Yes, Emily cannot be said to have acted contrary to the SRA Principles where she has been intimidated or pressured to act in a certain way.
Answer & explanation
A is correct — Emily's actions violate the SRA Principles, particularly those concerning the rule of law and the proper administration of justice. A solicitor is first and foremost an officer of the court. The SRA Principles make it clear that when Principles conflict, those safeguarding the wider public interest take precedence over an individual client's interests. Calling a witness known to give false testimony misleads the court.
B is incorrect — Mark's conviction does not absolve Emily; the breach occurs regardless of outcome.
C is incorrect — the issue is not whether Emily served Mark's interests, but that she breached her overriding duty to the court; the client's best interests cannot justify misleading the court.
D is incorrect — the client's best interests do not outweigh the rule of law and the administration of justice.
E is incorrect — intimidation or pressure does not absolve Emily of her ethical responsibilities. (See Sections 2.1 and 2.2.)
A. Accept the offer but ensure that the mediation process remains unbiased.
B. Decline the offer and continue the mediation without informing the other party.
C. Decline the offer, inform the other party of the attempt, and recuse herself from the mediation.
D. Accept the offer and recuse herself from the mediation, allowing another mediator to take over.
E. Decline the offer and report the incident to the appropriate regulatory body.
Answer & explanation
E is correct — mediators, like other legal professionals, are bound by ethical guidelines that prioritise impartiality, integrity and the proper administration of justice. Declining the offer and reporting the incident ensures that Sophie maintains her integrity and that the appropriate authorities are informed of the unethical behaviour, so that it is curtailed.
A is incorrect — accepting any form of bribe, even with the intention of remaining unbiased, is unethical and compromises the mediator's integrity.
B is incorrect — while declining the offer is the right step, not informing the other party or the appropriate authorities leaves room for such behaviour to continue.
C is a step in the right direction, but merely informing the other party is not enough — the incident should be reported.
D is incorrect — accepting the offer, even if recusing afterwards, is still unethical. (See Sections 2.2 and 2.3.)