Learning Outcomes
By the end of this article, you will be able to identify the meaning and scope of the SRA Principle requiring solicitors to act with independence. You will know how to spot situations where the duty may be threatened, distinguish between conflicts of interest and threats to independence, and advise on appropriate steps to maintain professional objectivity. You will be fully prepared to answer SQE2-style exam questions on this area.
SQE2 Syllabus
For SQE2, you are required to understand the duty to act with independence as part of the SRA Principles. Particular attention in your revision should be given to:
- the meaning and application of independence within the SRA Principles
- recognising common scenarios where independence may be compromised or questioned
- distinguishing between independence, conflicts of interest, and improper influence
- advising on required conduct and practical steps to maintain independence in legal practice.
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 does the SRA Principle of acting with independence require of a solicitor?
- Give two examples of situations where a solicitor’s independence might be at risk.
- Can a solicitor’s personal financial difficulties provide a justification for allowing a client to improperly influence their advice? Explain.
- How should a solicitor respond if their continued involvement in a case would appear to compromise their independence?
Introduction
Acting with independence is a core requirement of the SRA Principles and a fundamental ethical expectation for solicitors. For the purposes of the SQE2, you must not only know the definition of independence but also be able to identify and explain practical situations in which this principle is engaged or may be threatened.
Solicitors are expected to act without improper influence, whether from clients, third parties, financial interests, employers, or any source that could affect objective professional judgment. This can arise in commercial transactions, litigation, criminal practice, and firm-wide relationships.
Key Term: independence
Independence means acting without undue influence, pressure, or conflict so that your advice and decision-making are objective, honest, and determined by the law and your client’s best interests, not by external or improper factors.
A failure to maintain independence can undermine client trust, damage the profession’s reputation, and expose the solicitor to disciplinary action. Being able to identify threats to independence and knowing how to safeguard your own or your colleagues’ professional objectivity is therefore central to legal practice.
The Duty to Act with Independence
All solicitors regulated by the SRA are required to act “with independence.” This principle is broad: it applies in all of your dealings—whether advising, representing, negotiating, or simply communicating with clients or others.
Solicitors must exercise independent judgment. The client's wishes, the demands of an employer, or commercial or personal interests can never justify acting against the law or professional obligations. While solicitors should always act in the best interests of a client, this objective must never override the duties owed to the court, to the legal system, and to the principles set out in the SRA’s regulatory framework.
Key Term: improper influence
Improper influence is pressure or persuasion—direct or indirect—that might cause you to depart from professional judgment or act contrary to your ethical or legal duties.
Common sources of improper influence include clients, commercial partners, other lawyers, employers, friends, family, or your own financial circumstances.
Key Term: conflict of interest
A conflict of interest arises if your duty to act in the best interests of one client conflicts (or may conflict) with your own interests or your duty to another client.Key Term: own interest conflict
An own interest conflict is where your personal, business, financial, or other interests (or those of someone close to you) conflict with or risk conflicting with your duty to a client.
Recognising Threats to Independence
Some scenarios where independence may be at risk include:
- Being offered personal benefits, gifts, or favours by a client in return for ‘helpful’ legal advice.
- Acting for a client while holding a personal stake in the outcome (e.g. shares, contingent fees, or bonuses tied to a result).
- Accepting instructions or pursuing strategies that are legally or ethically dubious because a client insists.
You must be alert to more subtle threats. A longstanding relationship with a client or third party may gradually make it harder to give honest advice. Alternatively, fear of losing lucrative work could tempt solicitors to “go along” with questionable conduct.
Financial pressure creating risks: Financial or job insecurity cannot justify a loss of professional independence. Such circumstances may make it more likely that a solicitor is tempted to act inappropriately, but are never valid justifications.
Worked Example 1.1
Sheena, a solicitor, faces personal financial hardship. A client facing arrest offers to pay Sheena a bonus if she persuades the police to accept a false alibi. Sheena is tempted to comply.
Answer:
Sheena must refuse the client’s offer. Agreeing would involve dishonesty, lack of integrity, and breach the core duty of independence. Her financial situation is never a justification for compromising professional conduct.
Common Situations Testing Independence
Referrals with Commission or Incentives
Solicitors must avoid arrangements where personal benefit—such as commission for referring clients to others—might affect their advice. Independence requires you to advise based on the client’s best interests and the law, not financial incentives.
Potential Witness in Your Own Case
If you or someone in your firm may be called as a witness in a matter, your independence may be compromised. You must consider whether you can continue to act without breaching your duty. If independence is threatened, you should cease acting.
Worked Example 1.2
Mark is a partner in a law firm. He refers conveyancing clients to a mortgage broker and receives a percentage fee for every referral—even when the broker is not the best choice for the client.
Answer:
Mark is not acting independently. The commission puts his personal interest at odds with his duty to the client. He should only refer clients based on the client’s needs, not for personal gain, and should always disclose relevant interests.
Responding to Threats to Independence
A solicitor faced with any threat to independence must:
- Identify the threat. Is there a real or significant risk that your judgment or actions will be unduly influenced?
- Act immediately. Disclose the issue to colleagues or supervisors if appropriate.
- Take all necessary steps to remove the threat—this may include refusing or ceasing to act.
- Where appropriate, document the steps taken and, if needed, report the issue according to the firm’s policies or to the SRA.
- If in doubt, seek confidential guidance from the firm’s COLP (Compliance Officer for Legal Practice) or the SRA’s Professional Ethics helpline.
Exam Warning
Even if a client explicitly consents to you acting despite a risk to your independence, you must not proceed. There are no exceptions to the duty to maintain independence—client consent does not change this obligation.
Worked Example 1.3
A solicitor is acting for several clients in a corporate transaction. One client is a close personal friend who suggests overlooking a minor but material legal requirement to ‘help things along.’ The solicitor is inclined to agree.
Answer:
The solicitor must refuse the friend’s request and document the advice. Indulging the friend would violate the duty of independence and objectivity, and could expose the solicitor and the firm to serious consequences.
Revision Tip
When analysing scenarios on the exam, ask: “Is there any reason—personal, commercial, or otherwise—that might improperly affect or appear to affect my advice, actions, or decision-making as a solicitor?”
Maintaining Independence in Practice
Solicitors should implement safeguards and procedures across the firm to support and enforce professional independence. This can include:
- Regular training on professional ethics and independence.
- Policies requiring full disclosure of potential personal or financial interests.
- Systems for supervision, second opinions, or escalation of complex cases.
Every solicitor is responsible for their own independence, but firms must take steps to reduce risk across all staff—including trainees and support staff who interact with clients and third parties.
Key Point Checklist
This article has covered the following key knowledge points:
- The SRA Principle requiring solicitors to act with independence and objectivity at all times.
- Independence means resisting undue pressure or improper influence from any person or circumstance.
- The duty of independence is absolute—there are no exceptions, and client consent cannot override it.
- Own interest conflicts and improper influence are distinct but often arise together; both threaten proper legal advice.
- Maintaining independence may require refusing or ceasing to act, even if this results in commercial or personal disadvantage.
- Solicitors—and law firms—must have procedures to identify, disclose, and address threats to independence.
- A breach of the principle can result in disciplinary action and damage to client relationships or the reputation of the profession.
Key Terms and Concepts
- independence
- improper influence
- conflict of interest
- own interest conflict