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CELE SQE1 模拟练习

Examination Timing: 00H01M20S

A solicitor, Sarah Brown, refers a client to a financial advisor who is the appointed representative of a large bank to advise on the purchase of some unit trusts in a fund managed by the bank. The financial advisor intends to proceed with purchasing the trusts on the client’s behalf. 


Which of the following best describes whether the financial advisor is permitted to purchase the trusts on the client’s behalf?

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Referring a client to an appointed representative who is not able to provide independent advice breaches mandatory principle 4 of the SRA Code of Conduct, which requires solicitors to act in the client’s best interests. Although an introduction to an exempt person is generally excluded from the RAO, this exclusion does not apply to appointed representatives who cannot give independent advice. This means the solicitor failed to act in the best interests of the client by not ensuring the advisor was independent and competent to provide unbiased advice. 


Key Point: This question assesses understanding of the ethical obligations under the SRA Code of Conduct when referring clients to financial advisors, and the importance of ensuring that advisors can provide independent advice.

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