Learning Outcomes
After reading this article, you will be able to identify core ethical rules relevant to legal interviews for SQE2, explain confidentiality, conflicts, and standards of client care, and apply professional conduct principles to interviewing scenarios. You will also understand the practical steps for preparing and conducting effective, ethical client interviews, ensuring you meet SQE2 requirements.
SQE2 Syllabus
For SQE2, you are required to understand the ethical and professional conduct considerations relevant to client interviews. In your revision, pay particular attention to:
- the duties of confidentiality and acting in the client’s best interests in interviews
- the requirements for client care, including communication and explanations
- professional rules on conflicts and declining or terminating instructions
- identifying and addressing vulnerable client needs
- maintaining records of instructions and advice for professional accountability
Test Your Knowledge
Attempt these questions before reading this article. If you find some difficult or cannot remember the answers, remember to look more closely at that area during your revision.
- What are your obligations if a client discloses information about a crime during a legal interview?
- What is the principal difference between a duty of confidentiality and legal professional privilege?
- How should you handle a situation where you suspect a conflict of interest during a client interview?
- What actions must you take to ensure professional standards when advising a vulnerable client during an interview?
Introduction
Interviews are a core skill for solicitors and barristers. At SQE2, you must be able to conduct client interviews professionally, demonstrating excellent client care and a sound knowledge of ethical rules. Professional credibility, client trust, and regulatory compliance all depend on meeting the high standards set out in the SRA Code of Conduct and Bar Handbook.
This article outlines the main ethical principles and professional rules relevant to interview preparation and conduct, including confidentiality, conflict, client care, and record-keeping.
Conflicts, Confidentiality, and Duties in Client Interviews
Understanding legal and ethical duties is essential for effective, lawful interviewing. All professional interactions with clients or potential clients—whether in person, by video, or on the phone—are regulated by strict rules.
Key Term: duty of confidentiality
A solicitor or barrister must keep client affairs confidential, not disclosing information without client consent, unless law or regulation requires it.Key Term: legal professional privilege
Communications between a lawyer and client made for the purpose of legal advice or litigation are protected from disclosure, except in limited cases.Key Term: conflict of interest
A situation where the lawyer’s duty to one client conflicts with their duty to another client or their own interests. Must be identified and managed or avoided.
Failing to protect confidentiality or manage a conflict may result in disciplinary action and affect your client’s case.
Preparing Ethically for Client Interviews
Effective preparation starts with checking for potential ethical issues.
- Confirm you have the authority to act for the client.
- Review the file for possible conflicts. If you suspect a conflict, do not proceed without guidance from a supervisor or compliance officer.
- Clearly state your role and the limits of your instructions at the outset.
- Set up a confidential environment—ensure discussions are private and interruptions are minimized.
- If a translator or third party is needed, explain confidentiality and record their involvement.
Lawyers must also ensure they are competent to handle a matter, especially with vulnerable clients.
Conducting the Interview: Professional Standards
Throughout the interview, you are expected to communicate clearly, listen actively, and remain objective.
- Use plain English, avoiding unnecessary legal terminology.
- Ask open questions, then funnel to specifics.
- Take a note of instructions, advice given, and decisions made.
- Ensure your client understands the advice, costs, and next steps.
Key Term: client care
The obligation to provide clear communication, competent service, and relevant information so the client can make informed decisions.
Do not judge or dismiss client concerns. If a client is vulnerable, distressed, or has special needs, modify your questioning style and pace, and check comprehension regularly.
Maintaining Professional Boundaries
You must avoid giving personal opinions outside your legal specialist knowledge, do not promise an outcome, and always respect the client’s autonomy.
Where appropriate, explain legal limitations, options, and risks, ensuring the client’s decisions are voluntary and informed.
Handling Ethical Problems in the Interview
If an ethical dilemma arises—such as disclosure of criminal activity, evidence of dishonesty, or a potential conflict—stop the interview and seek guidance before proceeding.
Never assist in misleading the court or fabricating information. If a client asks for such assistance, explain your obligations and refuse.
Keep a record of ethical dilemmas encountered and the actions taken.
Special Considerations for Vulnerable Clients
Interviews may include clients affected by language barriers, mental health issues, age, or distress. Take extra care to:
- Allow adequate time
- Provide access to interpreters or support persons as needed
- Confirm understanding at each stage
- Adjust your approach to meet individual needs
Key Term: vulnerable client
Someone who may be at increased risk of misunderstanding, harm, or disadvantage in legal processes due to personal circumstances.
Professional Record-Keeping and Follow-Up
Maintain a clear, factual, and contemporaneous record of:
- the client's instructions and information provided
- advice given and options explained
- client questions, concerns, and decisions
- any ethical difficulties and their resolution
If the interview is conducted without another legal professional present, ensure records are especially comprehensive.
File notes support professional accountability and may be needed for evidence of instructions or advice if challenged.
Worked Example 1.1
Scenario:
During an interview, your client admits to disposing of evidence in a pending criminal case and asks you not to disclose this. What should you do?
Answer:
Maintain confidentiality—you cannot disclose the admission without client consent. However, you must not mislead the court or assist your client to present false evidence. Advise the client of your duties, including that you cannot put forward a positive case that all evidence was properly retained.
Worked Example 1.2
Scenario:
You recognize that your firm acts for both a divorcing individual you are interviewing and, in another department, the spouse. What is your duty?
Answer:
Stop the interview and notify your supervisor or compliance officer. You must not act for both parties if a conflict exists. If a conflict cannot be resolved, you should withdraw in accordance with firm policy and professional rules.
Worked Example 1.3
Scenario:
A client insists on proceeding without an interpreter, but you notice they struggle to understand your questions. What steps should you take?
Answer:
Assess whether the client can properly instruct you. If you doubt their comprehension, recommend an interpreter. If the client refuses and cannot fully engage, consider suspending the interview until adequate support is arranged.
Exam Warning
Interviewing and advising a client without checking for conflicts of interest beforehand is a common error. Always confirm the absence of conflicts using firm procedures before every interview—failure to do so can lead to professional discipline.
Revision Tip
For SQE2, be able to spot common ethical interviewing pitfalls. Practise with realistic scenarios, and ensure you know when to seek help before proceeding.
Key Point Checklist
This article has covered the following key knowledge points:
- The duty of confidentiality applies at all stages of interviewing, except where law requires disclosure.
- Conflicts of interest must be checked and, if present, managed or result in declining instructions.
- Professional standards in interviews require plain language, objectivity, and comprehensive records.
- Client care includes ensuring understanding, providing clear advice, and respecting autonomy.
- Special provisions apply when interviewing vulnerable clients.
- Ethical dilemmas during interviews require you to pause and seek guidance before continuing.
- Maintaining thorough file notes is essential for accountability and compliance.
Key Terms and Concepts
- duty of confidentiality
- legal professional privilege
- conflict of interest
- client care
- vulnerable client