Learning Outcomes
After studying this article, you will be able to explain the meaning and legal significance of Principle 2 of the SRA Principles, identify circumstances where a solicitor's conduct may fail to uphold public trust and confidence in the profession, and apply this knowledge in practical SQE2 scenarios or client-facing advice. You will also be able to distinguish Principle 2 from related SRA Principles and understand the regulatory consequences of a breach.
SQE2 Syllabus
For SQE2, you are required to understand the practical operation and impact of the SRA Principles, particularly the expectation of upholding public trust in the solicitors' profession. Pay particular attention in your revision to:
- the definition and role of Principle 2 (public trust and confidence) within the SRA Principles framework
- recognising actions, omissions, or behaviour which may breach this Principle in both personal and professional contexts
- assessing the regulatory and disciplinary outcomes of a Principle 2 breach, including how the SRA approaches enforcement
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 is required of solicitors under Principle 2 of the SRA Principles?
- Can a solicitor breach Principle 2 through conduct in private life?
- Which of the following will most likely breach Principle 2: persistent rudeness to colleagues, a minor motoring conviction, or involvement in a fraudulent investment scheme? Explain.
- Are there circumstances where a solicitor may breach Principle 2 without acting dishonestly or committing a crime?
Introduction
Principle 2 of the SRA Principles requires every solicitor to act in a way that upholds public trust and confidence in the solicitors’ profession and in legal services provided by authorised persons. This core requirement goes beyond technical compliance and demands the highest ethical behaviour. Public trust is the bedrock for clients' willingness to place their money, interests, and secrets in the hands of solicitors.
The Purpose of Principle 2
Principle 2 is not only directed at preventing unlawful activity. Its purpose is to protect the profession's reputation, so the public remains willing to rely on solicitors as honest and ethical practitioners. Even a perception of impropriety can erode public confidence and damage the standing of the profession as a whole.
Key Term: Principle 2 (public trust and confidence)
The SRA Principle requiring all regulated persons to act in a way that upholds public trust and confidence in the solicitors' profession and legal services.
Who Must Comply?
The obligation to uphold public trust applies to all solicitors, Registered European Lawyers (RELs), Registered Foreign Lawyers (RFLs), authorised persons, and firms regulated by the SRA. The Principle also affects managers, employees, and compliance officers.
Key Term: authorised person
Any person authorised by the SRA or another legal regulator to carry on legal activities.
When Does Principle 2 Apply?
Principle 2 applies continuously to both professional and personal conduct. The SRA will consider behaviour outside of work if it could reasonably bring the reputation of the profession into disrepute, regardless of whether the act relates to legal practice.
What Conduct Might Breach Principle 2?
The SRA's approach to Principle 2 is broad. Conduct may breach Principle 2 even if:
- it is not a crime or regulatory violation
- it occurs outside legal practice (for example, on social media or in community activities)
- it does not involve dishonesty or intent to mislead
Worked Example 1.1
A solicitor attends a private party and repeatedly makes racist and sexist comments. The party is not work-related and there are no clients present. A video of this conduct is shared online. The solicitor argues it was "off duty" behaviour.
Answer:
The solicitor is at risk of breaching Principle 2. Even though the conduct was outside the workplace, racist or sexist behaviour is likely to undermine public trust and confidence in solicitors as a whole.
Types of Conduct Likely to Breach Principle 2
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Breaching Principle 2 may arise from, for example:
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Involvement in or connection to fraudulent schemes, financial misconduct, or criminal activity (even if not convicted)
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Sending or reposting offensive or discriminatory material on social media, whether in personal or professional capacity
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Bullying, harassment, or discriminatory conduct to colleagues, clients, or others
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Abusing the trusted role of solicitor for personal gain or to take unfair advantage of others
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Serious incompetence or reckless disregard for regulatory rules
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Persistently rude, threatening, or abusive written or verbal communications
Key Term: public trust and confidence
The expectation by society that members of the solicitors’ profession behave ethically and can be relied upon to act in clients’ and the public's best interests.Key Term: offensive communication
A message or statement (including emails or social media posts) that is abusive, discriminatory, or likely to cause serious offence to a reasonable person.
Worked Example 1.2
A solicitor reposts a Tweet in support of a public call for violence against a political group. The repost is from the solicitor's private account, and the solicitor claims strong political views.
Answer:
Principle 2 may be breached here because the action is likely to reduce public trust and confidence in the legal profession, irrespective of the solicitor acting in a personal capacity.
Regulatory Approach and Consequences
The SRA can and does investigate conduct falling short of Principle 2, even if no client suffered direct harm. The SRA usually assesses:
- seriousness and risk of recurrence
- potential impact on public confidence and reputation of the profession
- whether conduct shows evidence of discriminatory views, abuse of position, or financial unreliability
Breaching Principle 2 can lead to sanctions, including fines, suspension or striking off the roll, even when no criminal or civil proceedings are involved.
Exam Warning
The SRA takes a broad view of what may damage public trust. A finding of a criminal offence, even unrelated to practice (such as assault or theft), will almost always breach Principle 2. But even non-criminal behaviour, if grossly inappropriate, can equally trigger a breach.
Interplay with Other Principles
Breaching Principle 2 does not require dishonesty (Principle 4) or a lack of integrity (Principle 5), but these often overlap. For instance, a solicitor acting dishonestly also undermines the profession’s reputation. In some cases, conduct lacking in professionalism or competence (e.g., repeated, unnecessary rudeness to clients or colleagues) may suffice for a Principle 2 breach.
Principle 2 in Relation to Clients and the Public
Clients trust solicitors with sensitive and valuable affairs. If solicitors act in ways that suggest they are not fit to be trusted, clients may refuse to take advice or may question the objectivity and fairness of the legal system as a whole.
Firms’ Obligations
Firms must ensure that systems, training, and supervision encourage ethical conduct at all levels. Repeated failures to address workplace misconduct, such as allowing bullying or discrimination, can lead to firm-wide Principle 2 breaches.
Examples of Principle 2 Breaches (by conduct type)
- Sending hidden, derogatory or intimidating e-mails to opposing parties to gain unfair advantage
- Posting or sharing discriminatory material online, even outside working hours
- Participating in or enabling high-risk or fraudulent investment schemes
- Failing to protect vulnerable clients or third parties from abuse or harm
Worked Example 1.3
A solicitor, in litigation, sends repeated emails to a self-represented party threatening baseless legal action unless the party settles, knowing the party is vulnerable and unrepresented.
Answer:
This conduct is likely to breach Principle 2, as it abuses the solicitor’s position of power for unfair gain and risks undermining public confidence in solicitors’ fairness.
The Importance of Perception
How the public, clients, and courts view solicitors’ behaviour is central. Even if the solicitor’s intent is not to deceive or harm, conduct that creates a risk of lost trust can amount to a breach.
Revision Tip
Always ask: “Would ordinary members of the public think less of the profession if they knew what happened?” If yes, Principle 2 may be engaged.
Key Point Checklist
This article has covered the following key knowledge points:
- Principle 2 requires solicitors to act in a way that upholds public trust and confidence in the profession and legal services at all times.
- This duty applies both in and outside practice, whether professional or personal conduct is in question.
- Not all improper behaviour will be criminal or dishonest—conduct bringing discredit on the profession may be enough for a breach.
- Offences or serious misconduct outside practice almost always amount to Principle 2 breaches.
- Disciplinary action for a Principle 2 breach can be severe even in the absence of loss or direct client harm.
- Firms must take steps to ensure that their systems, staff and communications do not risk undermining public trust.
Key Terms and Concepts
- Principle 2 (public trust and confidence)
- authorised person
- public trust and confidence
- offensive communication