Learning Outcomes
This article provides a focused guide on applying written reporting strategies, analysing legal risk, and recognising ethical obligations when advising clients. After reading, you will be able to structure your advice effectively, evaluate legal and practical risks, and identify ethical issues relevant to written reports and recommendations—skills that are directly assessed in the SQE2 exam.
SQE2 Syllabus
For SQE2, you are required to understand how to deliver written reports that integrate risk analysis and ethical considerations. In your exam preparation, pay particular attention to:
- identifying and assessing legal and practical risks relevant to the client’s objectives
- structuring clear, logical, and concise written reports in response to a supervisor or client question
- recognising and addressing ethical issues, including confidentiality, conflicts of interest, and duty to the court, in written communication
- advising on courses of action and managing client expectations regarding risks, costs, and possible outcomes.
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.
- In a written report, what key elements should always be included when advising a supervisor on a client’s potential claim?
- What should you do if you identify a significant conflict of interest when preparing a report for a client?
- How would you present risks to a client who wishes to pursue an aggressive litigation strategy?
- State two professional conduct obligations that must be observed when submitting written advice to a client.
Introduction
When writing reports and advice for the SQE2 assessments, you must go beyond simply stating the law. You need to demonstrate the ability to assess risks, communicate clearly, and act ethically. This article provides a structured approach for preparing written reports, highlights risk analysis techniques, and discusses how to identify and address ethical issues in your written work.
Strategy for Written Reporting
In practice, solicitors spend significant time providing written advice—whether to clients, supervisors, or other professionals. Effective reports should be concise, well-structured, and tailored to the recipient's needs.
Structuring a Written Report
A good report will typically follow this order:
- Summary of Instructions/Issue: Briefly set out what you have been asked to do.
- Summary of Conclusions: Set out your headline advice/messages at the top for clarity.
- Relevant Facts: Concisely state the material facts guiding your analysis.
- Legal Analysis: Identify the specific legal issues arising and state the applicable law.
- Risk Analysis: Assess both legal and practical risks of possible options.
- Ethical and Professional Issues: Highlight and address any ethical considerations.
- Options and Recommendations: Advise on available next steps, stating clear recommendations.
- Practicalities and Costs: Advise the client about costs, timeframes, and other practical implications.
- Action Points: Clearly allocate next steps or decisions for both client and solicitor.
Key Term: Written Report
A structured analysis, usually drafted for a supervisor or client, that applies the law to facts, presenting risks and recommendations clearly in writing.
Worked Example 1.1
You are asked by your supervisor to report on whether your client should pursue a claim for breach of contract. The contract is unclear and there is a risk the other party will raise a valid defence.
Answer:
Begin your report by setting out the client’s objective (e.g., recovering damages for breach). Summarise the background facts. In your analysis, identify the strengths: e.g., apparent breach. State the weaknesses: e.g., contractual ambiguity and credible potential defence. Consider the risk of litigation costs. Advise on recommended next steps, including further evidence gathering if appropriate. Highlight any urgent deadlines (e.g., limitation). Present your recommendation with supporting reasoning.
Risk Analysis in Written Advice
For SQE2, risk analysis involves systematically addressing uncertainties and potential negative outcomes when advising a client. This goes beyond stating the literal legal position.
What to Consider
- Strengths and Weaknesses: Identify which facts favour/by favour or hinder your client’s position.
- Legal Uncertainties: Note ambiguities in law or fact that could affect the outcome.
- Cost and Time: Quantify financial exposure, likelihood of success, and likely timescales.
- Alternatives: Assess options (e.g., settlement, negotiation, litigation, ADR) and consequences.
- Client Objectives: Ensure the advice reflects what the client wants to achieve, within legal and ethical limits.
Key Term: Risk Analysis
The process of identifying and evaluating factors that may adversely affect the outcome for the client, including legal, financial, and practical risks.
Worked Example 1.2
A client wishes to file a claim against a former business partner but has incomplete evidence and there is a risk of a counterclaim.
Answer:
In your report, outline the evidence gaps and the risk of proceeding on weak facts. Advise on the potential that the former partner may file a counterclaim—and the cost/impact if that happens. Recommend practical steps like seeking further evidence and warn the client that proceeding without it introduces significant risk of loss and costs.
Ethical Considerations in Written Reporting
Written reports must always comply with ethical and professional standards. These obligations apply both when advising directly and when preparing drafts for supervisors or clients.
Common Ethical Issues
- Confidentiality: Preserve confidential client information and do not disclose without informed consent or legal obligation.
- Conflict of Interest: Avoid acting for conflicting interests and disclose any potential conflicts promptly.
- Honesty and Integrity: Do not misstate facts or law, omit adverse material deliberately, or mislead recipients.
- Duty to the Court: Avoid including information that could mislead a court, and always draw attention to adverse authority or facts if making submissions.
Key Term: Ethical Considerations
Professional responsibilities that require solicitors to act honestly, avoid conflicts, preserve confidentiality, and uphold standards of the profession in all written and oral advice.
Worked Example 1.3
You discover in the course of preparing advice to a client that your firm has recently acted for the opposing party in a related matter, creating a potential conflict.
Answer:
You must raise the conflict immediately with your supervisor and cease work until the situation is clarified. Do not proceed with drafting or sending advice until the conflict has been resolved in accordance with the firm’s protocols and the SRA Code of Conduct.Key Term: Professional Conduct
The rules and principles that dictate acceptable behaviour for solicitors, designed to protect clients, the courts, and the wider public.
Exam Warning
For SQE2, you may be tested both on your ability to spot a subtle ethical issue and on your ability to explain the correct response. Always record the steps you would take and when to escalate the matter.
Presenting Risks and Options
When advising, it is essential to present risks transparently. Avoid both minimising or overstating the client’s position.
Tips for Written Communication
- Use plain English and avoid jargon.
- Distinguish between facts, opinions, and recommendations.
- Structure your advice logically—use headings and subheadings.
- Disclose both strengths and weaknesses of each possible course of action.
- Set out options clearly, with pros and cons for each.
- Advise on practical consequences, such as costs or delays.
Revision Tip
For SQE2, practice drafting concise reports where you identify risks, set out ethical issues, and recommend clear next steps for the client, supervisor, or both.
Key Point Checklist
This article has covered the following key knowledge points:
- How to structure a written report for a client or supervisor
- The fundamentals of risk analysis and the identification of legal/practical risks
- The main ethical considerations for solicitors in written reporting
- How to manage conflicts, confidentiality, and the duty to the court in practice
- Ways to present risks and options transparently in writing to support informed client decisions
Key Terms and Concepts
- Written Report
- Risk Analysis
- Ethical Considerations
- Professional Conduct