LEGAL PROFESSION ACT 2004

New South Wales Consolidated Acts

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LEGAL PROFESSION ACT 2004

- As at 1 September 2008
- Act 112 of 2004

TABLE OF PROVISIONS

Long Title

CHAPTER 1 - INTRODUCTION

PART 1.1 - PRELIMINARY

1. Name of Act
2. Commencement
3. Purposes

PART 1.2 - INTERPRETATION

4. Definitions
5. Terms relating to lawyers
6. Terms relating to legal practitioners
7. Terms relating to associates and principals of law practices
8. Home jurisdiction
9. Suitability matters
10. Information notices
11. References to convictions for offences

CHAPTER 2 - GENERAL REQUIREMENTS FOR ENGAGING IN LEGAL PRACTICE

PART 2.1 - PRELIMINARY

12. Simplified outline of Chapter

PART 2.2 - RESERVATION OF LEGAL WORK AND LEGAL TITLES

Division 1 - Preliminary

13. Purposes

Division 2 - General prohibitions on unqualified practice

14. Prohibition on engaging in legal practice when not entitled
15. Prohibition on representing or advertising entitlement to engage in legal practice when not entitled
16. Presumptions about taking or using certain names, titles or descriptions specified in regulations

Division 3 - Prohibitions regarding associates, clerks and non-legal partners

17. Associates who are disqualified or convicted persons
18. Prohibition on employment of certain lay associates
19. Prohibition on partnerships with certain non-legal partners
20. Proceedings on prohibition orders

Division 4 - General

21. Professional discipline

PART 2.3 - ADMISSION OF LOCAL LAWYERS

Division 1 - Preliminary

22. Purpose
23. Definitions

Division 2 - Eligibility and suitability for admission

24. Eligibility for admission
25. Suitability for admission
26. Early consideration of suitability
27. (Repealed)
28. Appeals
29. Binding effect of declaration or order
30. Entitlement to be represented, heard and make representations

Division 3 - Admission to the legal profession

31. Admission
32. Roll of local lawyers
33. Local lawyer is officer of Supreme Court
34. Miscellaneous provisions respecting admission

Division 4 - Legal Profession Admission Board
Note

35. Consideration of applications for admission
36. Compliance certificates
37. Consideration of applicant’s eligibility and suitability
37A. Communication with other authorities

Division 5 - Admission rules

38. Admission rules

Division 6 - Miscellaneous

38A. Non-compellability of certain witnesses

PART 2.4 - LEGAL PRACTICE BY AUSTRALIAN LEGAL PRACTITIONERS

Division 1 - Preliminary

39. Purposes

Division 2 - Legal practice in this jurisdiction by Australian legal practitioners

40. Entitlement of holder of Australian practising certificate to practise in this jurisdiction

Division 3 - Local practising certificates generally

41. Local practising certificates
42. Suitability to hold local practising certificate
43. Duration of local practising certificate
44. Local legal practitioner is officer of Supreme Court

Division 4 - Grant or renewal of local practising certificates

45. Application for grant of local practising certificate
46. Manner of application
47. Timing of application for renewal of local practising certificate
48. Grant or renewal of local practising certificate

Division 5 - Conditions on local practising certificates

49. Conditions generally
50. Conditions imposed by Council
51. Imposition or variation of conditions pending criminal proceedings
52. Statutory condition regarding conditions imposed on interstate admission
53. Statutory condition regarding practice as solicitor
54. Statutory condition regarding practice as a barrister
55. Statutory condition regarding notification of offence
56. Additional conditions on practising certificates of barristers
57. Conditions imposed by legal profession rules
58. Compliance with conditions

Division 6 - Amendment, suspension or cancellation of local practising certificates

59. Application of this Division
60. Grounds for suspending or cancelling local practising certificate
61. Amending, suspending or cancelling local practising certificates
62. Operation of amendment, suspension or cancellation of local practising certificate
63. Other ways of amending or cancelling local practising certificate
64. Relationship of this Division with Chapter 4

Division 7 - Special powers in relation to local practising certificates-show cause events

65. (Repealed)
66. Applicant for local practising certificate-show cause event
67. Holder of local practising certificate-show cause event
68. Investigation and consideration of show cause event
69. Power to renew practising certificate or defer action in special circumstances
70. No decision in required period-suspension of practising certificate and referral to Commissioner
71. Commissioner taking over determination of matter
72. Council to implement decisions under this Division
73. Failure to comply with conditions imposed under this Division
74. Restriction on making further applications
75. Review of decisions by Tribunal
76. Parties to Tribunal proceedings
77. Relationship of this Division with Chapters 4 and 6

Division 8 - Further provisions relating to local practising certificates

78. Immediate suspension of local practising certificate
79. Surrender of local practising certificate
80. Return of local practising certificate

Division 9 - Practice as a barrister or solicitor

81. Practice as a barrister
82. Practice as a solicitor
83. Client access
84. Advertising
85. Regulation of advertising and other marketing of services
86. Specialisation
87. Advocates
88. Joint advocates
89. Attendance
90. Prohibition of official schemes for recognition of seniority or status

Division 10 - Fees for practising certificates

91. Fee for practising certificate
92. Late fee
92A. Late fee for certain applications for new practising certificates
93. (Repealed)
94. Submission of budget to Attorney General
95. Audit of Council activities

Division 11 - Interstate legal practitioners

96, 97. (Repealed)
98. Requirement for professional indemnity insurance
99. (Repealed)
100. Extent of entitlement of interstate legal practitioner to practise in this jurisdiction
101. Additional conditions on practice of interstate legal practitioners
102. Special provisions about interstate legal practitioner engaging in unsupervised legal practice as solicitor in this jurisdiction
103. Interstate legal practitioner is officer of Supreme Court

Division 12 - Miscellaneous

104. Protocols
105. Consideration and investigation of applicants or holders
106. Register of local practising certificates
107. Orders or injunctions
108. Appeal against certain decisions of Councils
109. Attorney General
110. Crown Solicitor
111. Government and other lawyers-exemption from certain conditions
112. Government lawyers-exemption from certain provisions
113. Government lawyers-imposition of additional conditions
114. Government lawyers of other jurisdictions
115. Non-compellability of certain witnesses

PART 2.5 - INTER-JURISDICTIONAL PROVISIONS REGARDING ADMISSION AND PRACTISING CERTIFICATES

Division 1 - Preliminary

116. Purpose
117. Definition
118. Other requirements not affected

Division 2 - Notifications to be given by local authorities to interstate authorities

119. Official notification to other jurisdictions of applications for admission and associated matters
120. Official notification to other jurisdictions of removals from local roll
121. Council to notify other jurisdictions of certain matters

Division 3 - Notifications to be given by lawyers to local authorities

122. Lawyer to give notice of removal of name from interstate roll
123. Lawyer to give notice of interstate orders
124. Lawyer to give notice of foreign regulatory action
125. Provisions relating to requirement to notify

Division 4 - Taking of action by local authorities in response to notifications received

126. Peremptory removal of local lawyer’s name from local roll following removal in another jurisdiction
127. Peremptory cancellation of local practising certificate following removal of name from interstate roll
128. Show cause procedure for removal of lawyer’s name from local roll following foreign regulatory action
129. Show cause procedure for cancellation of local practising certificate following foreign regulatory action
130. Order for non-removal of name or non-cancellation of local practising certificate
131. Local authority may give information to other local authorities

PART 2.6 - INCORPORATED LEGAL PRACTICES AND MULTI-DISCIPLINARY PARTNERSHIPS

Division 1 - Preliminary

132. Purposes
133. Definitions

Division 2 - Incorporated legal practices

134. Nature of incorporated legal practice
135. Non-legal services and businesses of incorporated legal practices
136. Corporations eligible to be incorporated legal practice
137. Notice of intention to start providing legal services
138. Prohibition on representations that corporation is incorporated legal practice
139. Notice of termination of provision of legal services
140. Incorporated legal practice must have legal practitioner director
141. Obligations of legal practitioner director relating to misconduct
142. Incorporated legal practice without legal practitioner director
143. Obligations and privileges of practitioners who are officers or employees
144. Professional indemnity Insurance
145. Conflicts of interest
146. Disclosure obligations
147. Effect of non-disclosure of provision of certain services
148. Application of legal profession rules
149. Requirements relating to advertising
150. Extension of vicarious liability relating to failure to account, pay or deliver and dishonesty to incorporated legal practices
151. Sharing of receipts, revenue or other income
152. Disqualified persons
153. Banning of incorporated legal practices
154. Disqualification from managing incorporated legal practice
155. Disclosure of information to Australian Securities and Investments Commission
156. External administration proceedings under Corporations Act 2001 (Cth)
157. External administration proceedings under other legislation
158. Incorporated legal practice that is subject to receivership under this Act and external administration under Corporations Act 2001 (Cth)
159. Incorporated legal practice that is subject to receivership under this Act and external administration under other legislation
160. Co-operation between courts
161. Relationship of Act to constitution of incorporated legal practice
162. Relationship of Act to legislation establishing incorporated legal practice
163. Relationship of Act to Corporations legislation
164. Undue influence

Division 3 - Multi-disciplinary partnerships

165. Nature of multi-disciplinary partnership
166. Conduct of multi-disciplinary partnerships
167. Notice of intention to start practice in multi-disciplinary partnership
168. General obligations of legal practitioner partners
169. Obligations of legal practitioner partner relating to misconduct
170. Actions of partner who is not an Australian legal practitioner
171. Obligations and privileges of practitioners who are partners or employees
172. Conflicts of interest
173. Disclosure obligations
174. Effect of non-disclosure of provision of certain services
175. Application of legal profession rules
176. Requirements relating to advertising
177. Sharing of receipts, revenue or other income
178. Disqualified persons
179. Prohibition on partnerships with certain partners who are not Australian legal practitioners
180. Undue influence

Division 4 - Miscellaneous

181. Obligations of individual practitioners not affected
182. Regulations

PART 2.7 - LEGAL PRACTICE BY FOREIGN LAWYERS

Division 1 - Preliminary

183. Purpose
184. Definitions
185. This Part does not apply to Australian legal practitioners

Division 2 - Practice of foreign law

186. Requirement for registration
187. Entitlement of Australian-registered foreign lawyer to practise in this jurisdiction
188. Scope of practice
189. Form of practice
190. Application of Australian professional ethical and practice standards
191. Designation
192. Letterhead and other identifying documents
193. Advertising
194. Foreign lawyer employing Australian legal practitioner
195. Trust money and trust accounts
196. Professional indemnity insurance
197. Fidelity cover

Division 3 - Local registration of foreign lawyers generally

198. Local registration of foreign lawyers
199. Duration of registration
200. Locally registered foreign lawyer is not officer of Supreme Court

Division 4 - Applications for grant or renewal of local registration

201. Application for grant or renewal of registration
202. Manner of application
203. Requirements regarding applications for grant or renewal of registration

Division 5 - Grant or renewal of registration

204. Grant or renewal of registration
205. Requirement to grant or renew registration if criteria satisfied
206. Refusal to grant or renew registration

Division 6 - Amendment, suspension or cancellation of local registration

207. Application of this Division
208. Grounds for amending, suspending or cancelling local registration
209. Amending, suspending or cancelling registration
210. Operation of amendment, suspension or cancellation of registration
211. Other ways of amending or cancelling registration
212. Relationship of this Division with Chapter 4

Division 7 - Special powers in relation to local registration-show cause events

213. Applicant for local registration-show cause event
214. Locally registered foreign lawyer-show cause event
215. Refusal, amendment, suspension or cancellation of local registration-failure to show cause
216. Restriction on making further applications
217. Relationship of this Division with Chapters 4 and 6

Division 8 - Further provisions relating to local registration

218. Immediate suspension of registration
219. Surrender of local registration certificate and cancellation of registration
220. Automatic suspension or cancellation of registration on grant of practising certificate or other disciplinary action
221. Suspension or cancellation of registration not to affect disciplinary processes
222. Return of local registration certificate on amendment, suspension or cancellation of registration

Division 9 - Conditions on registration

223. Conditions generally
224. Conditions imposed by domestic registration authority
225. Imposition or variation of conditions pending criminal proceedings
226. Statutory condition regarding notification of offence
227. Conditions imposed by legal profession rules
228. Compliance with conditions

Division 10 - Interstate-registered foreign lawyers

229. Extent of entitlement of interstate-registered foreign lawyer to practise in this jurisdiction
230. Additional conditions on practice of interstate-registered foreign lawyers

Division 11 - Miscellaneous

231. Consideration and investigation of applicants and locally registered foreign lawyers
232. Register of locally registered foreign lawyers
233. Publication of information about locally registered foreign lawyers
234. Supreme Court orders about conditions
235. Exemption by domestic registration authority
236. Membership of professional association
237. Refund of fees
238. Appeals or reviews
239. Joint rules

PART 2.8 - COMMUNITY LEGAL CENTRES

240. Community legal centres
241. Application of legal profession rules

CHAPTER 3 - CONDUCT OF LEGAL PRACTICE

PART 3.1 - TRUST MONEY AND TRUST ACCOUNTS

Division 1 - Preliminary

242. Purposes
243. Definitions
244. Money involved in financial services or investments
245. Determinations about status of money
246. Application of Part to law practices and trust money
247. Protocols for determining where trust money is received
248. When money is received
249. Discharge by legal practitioner associate of obligations of law practice
250. Liability of principals of law practice
251. Former practices, principals and associates
252. Barristers not to receive trust money

Division 2 - Trust accounts and trust money

253. Maintenance of general trust account
254. Certain trust money to be deposited in general trust account
255. Holding, disbursing and accounting for trust money
255A. Manner of withdrawal of trust money from general trust account
256. Controlled money
256A. Manner of withdrawal of controlled money from controlled money account
257. Transit money
258. Trust money subject to specific powers
258A. Trust money received in the form of cash
259. Protection of trust money
260. Intermixing money
261. Dealing with trust money: legal costs and unclaimed money
262. Deficiency in trust account
263. Reporting certain irregularities and suspected irregularities
264. Keeping trust records
265. False names
266. Unclaimed money

Division 3 - Investigations

267. Appointment of investigators
268. Investigations
269. Application of Chapter 6
270. Investigator’s report
271. When costs of investigation are debt

Division 4 - External examinations

272. Designation of external examiners
273. Designation and appointment of associates as external examiners
274. Trust records to be externally examined
275. Final examination of trust records
276. Examination of affairs in connection with examination of trust records
277. Carrying out examination
278. External examiner’s report
279. Law practice liable for costs of examination

Division 5 - Provisions relating to ADIs

280. Approval of ADIs
281. ADI not subject to certain obligations and liabilities
282. Reports, records and information

Division 6 - Statutory deposits

283. Statutory deposits
284. Status and repayment of deposited money

Division 7 - Public Purpose Fund

285. Public Purpose Fund
286. Trustees of Public Purpose Fund
287. Management and control of Fund
288. Agreements relating to payment of interest on general trust accounts
289. Payments from Fund
290. Payment of certain costs and expenses from Fund
291. Submission of budgets and supplementary budgets to Director-General
292. Discretionary payments from Fund for other purposes
293. Performance audits
294. Information about Fund to be included in Law Society Council report

Division 8 - Miscellaneous provisions

295. Restrictions on receipt of trust money
296. Application of Part to incorporated legal practices and multi-disciplinary partnerships
297. Application of Part to community legal centres
298. Disclosure to clients-money not received or held as trust money
299. Disclosure of accounts used to hold money entrusted to law practice or legal practitioner associate
300. Regulations

PART 3.2 - COSTS DISCLOSURE AND ASSESSMENT

Division 1 - Preliminary

301. Purposes
302. Definitions
302A. Terms relating to third party payers

Division 2 - Application of this Part

303. Application of Part-first instructions rule
304. Part also applies by agreement or at client’s election
305. Displacement of Part
306. How and when does a client first instruct a law practice?
307. When does a matter have a substantial connection with this jurisdiction?
308. What happens when different laws apply to a matter?

Division 3 - Costs disclosure

309. Disclosure of costs to clients
310. Disclosure if another law practice is to be retained
311. How and when must disclosure be made to a client?
312. Exceptions to requirement for disclosure
313. Additional disclosure-settlement of litigious matters
314. Additional disclosure-uplift fees
315. Form of disclosure
316. Ongoing obligation to disclose
317. Effect of failure to disclose
318. Progress reports
318A. Disclosure to associated third party payers

Division 4 - Legal costs generally

319. On what basis are legal costs recoverable?
320. Security for legal costs
321. Interest on unpaid legal costs

Division 5 - Costs agreements

322. Making costs agreements
323. Conditional costs agreements
324. Conditional costs agreements involving uplift fees
325. Contingency fees are prohibited
326. Effect of costs agreement
327. Certain costs agreements are void
328. Setting aside costs agreements or provisions of costs agreements

Division 6 - Costs fixed by regulations

329. Regulations to provide for fixed costs
330. Provisions relating to regulations generally

Division 7 - Billing

331. Legal costs cannot be recovered unless bill has been served
332. Bills
332A. Request for itemised bill
333. Notification of client’s rights
334. Interim bills

Division 8 - Mediation of costs disputes

335. Meaning of “client” and “costs dispute”
336. Referral for mediation

Division 9 - Maximum costs in personal injury damages matters

337. Interpretation and application
338. Maximum costs fixed for claims up to $100,000
338A. Maximum costs increased by additional amount for certain claims heard by the District Court
339. Maximum costs do not affect solicitor-client costs under costs agreements
340. Costs can be awarded on indemnity basis for costs incurred after failure to accept offer of compromise
341. Court may order certain legal services to be excluded from maximum costs limitation
342. Apportionment of maximum costs between law practices
343. Meaning of “amount recovered” on a claim

Division 10 - Costs in civil claims where no reasonable prospects of success

344. Application of Division
345. Law practice not to act unless there are reasonable prospects of success
346. Preliminary legal work not affected
347. Restrictions on commencing proceedings without reasonable prospects of success
348. Costs order against law practice acting without reasonable prospects of success
349. Onus of showing facts provided reasonable prospects of success

Division 11 - Costs assessment

Subdivision 1 - Applications

349A. Definition
350. Application by client or third party payers for costs assessment
351. Application for costs assessment by law practice retaining another law practice
352. Application for costs assessment by law practice giving bill
353. Application for assessment of party/party costs
354. How to make an application for costs assessment
355. Consequences of application
356. Persons to be notified of application
356A. Regulations

Subdivision 2 - Assessment

357. Referral of matters to costs assessors
358. Costs assessor may require documents or further particulars
359. Consideration of applications by costs assessors
360. (Repealed)
361. Assessment of costs by reference to costs agreement
362. Costs fixed by regulations or other legislation
363. Criteria for costs assessment
363A. Interest on amount outstanding

Subdivision 3 - Party/party costs

364. Assessment of costs-costs ordered by court or tribunal
365. Effect of costs agreements in assessments of party/party costs
366. Court or tribunal may determine matters

Subdivision 4 - Determinations

367. Determinations of costs assessments
367A. Determinations of costs assessments for party/party costs
368. Certificate as to determination
369. Costs of costs assessment
370. Reasons for determination
371. Correction of error in determination
372. Determination to be final

Subdivision 5 - Review of determination by panel

373. Application by party for review of determination
373A. Application by Manager for review of determination of costs of costs assessment
374. Referral of application to panel
375. General functions of panel in relation to review application
376. Relevant documents to be produced to panel
377. Effect of review on costs assessor’s determination
378. Certificate as to determination of panel
379. Recovery of costs of review
380. Reasons for determination
381. Correction of error in determination
382. Appeal against determination of panel
383. Regulations

Subdivision 6 - Appeals

384. Appeal against decision of costs assessor as to matter of law
385. Appeal against decision of costs assessor by leave
386. Effect of appeal on application
387. Assessor can be party to appeal
388. Notices of appeal
389. Court may refer unreviewed determination to review panel

Subdivision 7 - General

390. Costs assessors
391. Protection from liability
392. Confidentiality
393. Referral for disciplinary action
394. Rules of procedure for applications
395. Division not to apply to interest on judgment debt
395A. Contracting out of Division by sophisticated clients

Division 12 - Miscellaneous

396. Application of Part to cross-vested matters
397. Application of Part to incorporated legal practices and multi-disciplinary partnerships
398. Application of Part to Australian-registered foreign lawyers
399. Imputed acts, omissions or knowledge
400. Costs of administering Part

PART 3.3 - PROFESSIONAL INDEMNITY INSURANCE

Division 1 - Preliminary

401. Purpose
402. Definitions

Division 2 - Barristers

403. Professional indemnity insurance for barristers

Division 3 - Solicitors

404. Definitions
405. Solicitors Mutual Indemnity Fund
406. Solicitor to be insured and to make contributions
407. Separate account
408. Investment of Indemnity Fund
409. Payments from Indemnity Fund
410. Payments relating to defaulting insurers
411. Contributions
412. Levies
413. Failure to pay contribution or levy
414. Investigation of Indemnity Fund
415. Powers of investigators
416. Application of Division to other persons
417. Provisions relating to HIH insurance

PART 3.4 - FIDELITY COVER

Division 1 - Preliminary

418. Purpose
419. Definitions
420. Time of default
421. Application of this Part

Division 2 - Fidelity Fund

422. Establishment of Legal Practitioners Fidelity Fund
423. Establishment of separate Legal Practitioners Fidelity Fund Account
424. Investment of Fidelity Fund
425. Payments from Fidelity Fund
426. Management Committee
427. Audit
428. Insurance
429. Borrowing

Division 3 - Contributions and levies

430. Contributions
431. Levies
432. Failure to pay contribution or levy

Division 4 - Defaults to which this Part applies

433. Meaning of “relevant jurisdiction”
434. Defaults to which this Part applies
435. Defaults relating to financial services or investments

Division 5 - Claims about defaults

436. Claims about defaults
437. Time limit for making claims
438. Advertisements
439. Time limit for making claims following advertisement
440. Claims not affected by certain matters
441. Advance payments

Division 6 - Determination of claims

442. Determination of claims
443. Claimant required to pursue claims etc
444. Maximum amount allowable
445. Costs
446. Interest
447. Reduction of claim because of other benefits
448. Subrogation
449. Repayment of certain amounts
450. Notification of delay in making decision
451. Notification of decision
452. Appeal against decision on claim
453. Appeal against failure to determine claim
454. Court proceedings

Division 7 - Payments from Fidelity Fund for defaults

455. Payments for defaults
456. Caps on payments
457. Sufficiency of Fidelity Fund

Division 8 - Claims by law practices or associates

458. Claims by law practices or associates about defaults
459. Claims by law practices or associates about notional defaults

Division 9 - Defaults involving interstate elements

460. Concerted interstate defaults
461. Defaults involving interstate elements where committed by one associate only

Division 10 - Inter-jurisdictional provisions

462. Protocols
463. Forwarding of claims
464. Investigation of defaults to which this Part applies
465. Investigation of defaults to which a corresponding law applies
466. Investigation of concerted interstate defaults and other defaults involving interstate elements
467. Recommendations by Law Society Council to corresponding authorities
468. Recommendations to and decisions by Law Society Council after receiving recommendations from corresponding authorities
469. Request to another jurisdiction to investigate aspects of claim
470. Request from another jurisdiction to investigate aspects of claim
471. Co-operation with other authorities

Division 11 - Miscellaneous

472. Interstate legal practitioner becoming authorised to withdraw from local trust account
473. Application of Part to incorporated legal practices
474. Application of Part to multi-disciplinary partnerships
475. Application of Part to sole practitioners whose practising certificates lapse
476. Availability of property of Law Society

PART 3.5 - MORTGAGE PRACTICES AND MANAGED INVESTMENT SCHEMES

Division 1 - Preliminary

477. Definitions
478. State regulated mortgage-meaning

Division 2 - Mortgage practices

479. Conduct of mortgage practices
480. Nomination of practice as State regulated mortgage practice
481. Requirement to notify Law Society of State regulated mortgages
482. Solicitor to have fidelity cover in respect of regulated mortgages
483. Bar on claims against Fidelity Fund relating to regulated mortgages
484. Notification of insurance arrangements for regulated mortgage
485. Failure to obtain fidelity insurance for regulated mortgage

Division 3 - Managed investment schemes

486. Involvement of solicitors in managed investment schemes
487. Claims against Fidelity Fund relating to managed investment schemes connected with solicitors
488. Transfer of mortgages to responsible entity
489. Regulations and rules relating to managed investment schemes

Division 4 - Transitional arrangements-pre-existing mortgages

490. Part extends to pre-existing mortgages

Division 5 - Miscellaneous

491. Law Society may require information about mortgage practices
492. Indemnity insurance
493. Regulations and rules relating to Part

CHAPTER 4 - COMPLAINTS AND DISCIPLINE

PART 4.1 - PRELIMINARY AND APPLICATION

Division 1 - Preliminary

494. Purposes and objects
495. Definitions
496. Unsatisfactory professional conduct
497. Professional misconduct
498. Conduct capable of being unsatisfactory professional conduct or professional misconduct

Division 2 - Application

499. Practitioners to whom this Chapter applies
500. Application of Chapter to lawyers, former lawyers and former practitioners
501. Conduct to which this Chapter applies-generally
502. Conduct to which this Chapter applies-insolvency, serious offences and tax offences

PART 4.2 - COMPLAINTS ABOUT AUSTRALIAN LEGAL PRACTITIONERS

503. Complaints
504. Making of complaints
505. To whom complaint made
506. Complaints made over 3 years after conduct concerned
507. Further information and verification
508. Practitioner to be notified of complaint
509. Submissions by practitioner
510. Preliminary assessment
511. Summary dismissal of complaints
512. Withdrawal of complaints
513. Referral of complaints to Council

PART 4.3 - MEDIATION

514. Definition
515. Mediation of complaint involving consumer dispute solely
516. Mediation of hybrid complaint
517. Compulsory mediation of consumer dispute
518. Facilitation of mediation
519. Nature of mediation
520. Mediators
521. Certificate of failure of mediation
522. Confidentiality of mediation process
523. Recommendation for investigation
524. Protection from liability

PART 4.4 - INVESTIGATION OF COMPLAINTS

525. Complaints to be investigated
526. Investigation of complaints by Commissioner
527. Investigation of complaints by Council
528. Consultation and cooperation on complaints
529. Monitoring by Commissioner of conduct of investigation
530. Directions by Commissioner about conduct of investigation
531. Appointment of investigator
531A. Authorised persons
532. Independent investigation of certain complaints
533. Referral of matters to costs assessors
534. Conduct that may be investigated
535. Modified complaints
536. Application of Chapter 6

PART 4.5 - DECISION OF COMMISSIONER OR COUNCIL

537. Decision of Commissioner or Council after investigation
538. Decision of Commissioner or Council without investigation
539. Dismissal of complaint
540. Summary conclusion of complaint procedure by caution, reprimand, compensation order or imposition of conditions
541. Record of decision
542. Reasons to be provided to complainant and practitioner

PART 4.6 - REVIEW OF COUNCILS’ DECISIONS

543. Application for review
544. Reviews
545. Decision of Commissioner on review
546. Notification about review of Council decisions
547. Assistance by Council

PART 4.7 - IMMEDIATE SUSPENSION OF LOCAL PRACTISING CERTIFICATE

548. Immediate suspension of local practising certificate
549. Appeal
550. Other powers to suspend not affected

PART 4.8 - PROCEEDINGS IN TRIBUNAL

551. Commencement of proceedings
552. Time for commencing proceedings
553. Hearings
554. Joinder
555. Variation of disciplinary application
556. Nature of allegations
557. Substitution of applicant
558. Rules of evidence
559. Parties
560. Hearings to be conducted in public
561. Procedural lapses and defects in appointments
562. Determinations of Tribunal
563. Interlocutory and interim orders
564. Consent orders
565. Compliance with determinations and orders
566. Costs
567. Notification of progress and result of proceedings before Tribunal
568. Early termination of proceedings before Tribunal
569. Other remedies not affected

PART 4.9 - COMPENSATION

570. Request by complainant for compensation order
571. Compensation orders
572. Prerequisites to making of compensation orders
573. Making of compensation orders
574. Enforcement of compensation orders
575. Other remedies not affected

PART 4.10 - PUBLICISING DISCIPLINARY ACTION

576. Definitions
577. Register of Disciplinary Action
578. Other means of publicising disciplinary action
579. Quashing of disciplinary action
580. Liability for publicising disciplinary action
581. Disciplinary action taken where infirmity, injury or illness is involved
582. Effect of secrecy provisions and non-disclosure orders

PART 4.11 - INTER-JURISDICTIONAL PROVISIONS

583. Protocols
584. Request to another jurisdiction to investigate complaint
585. Request from another jurisdiction to investigate complaint
586. Sharing of information with corresponding authorities
587. Co-operation with other authorities
588. Compliance with orders made under corresponding laws
589. Other powers or functions not affected

PART 4.12 - MISCELLANEOUS

590. Jurisdiction of Supreme Court
591. Rules of procedural fairness
592. Duty to deal with complaints efficiently and expeditiously
593. Information about complaints procedure
594. Co-operation and information sharing between Commissioner and Councils
595. Pre-complaint powers where client is denied access to documents
596. Failure to comply with orders
597. Performance criteria
598. Reports to Attorney General
599. Conditions imposed under this Chapter
600. Effect of other proceedings
601. Protection from liability
602. Non-compellability of certain witnesses
603. Confidentiality of client communications
604. Waiver of privilege or duty of confidentiality
605. Undertakings by Commissioner or Council regarding privileged or confidential information
606, 607. (Repealed)
608. Undertakings by practitioner
609. Investigations not related to complaints under this Chapter

CHAPTER 5 - EXTERNAL INTERVENTION

PART 5.1 - PRELIMINARY

610. Purpose
611. Definitions
612. Application of Chapter to barristers
613. Application of Chapter to Australian-registered foreign lawyers
614. Application of Chapter to other persons

PART 5.2 - INITIATION OF EXTERNAL INTERVENTION

615. Circumstances warranting external intervention
616. Determination regarding external intervention

PART 5.3 - SUPERVISORS

617. Appointment of supervisor
618. Notice of appointment
619. Effect of service of notice of appointment
620. Role of supervisor of trust money
621. Records of and dealing with trust money of law practice under supervision
622. Termination of supervisor’s appointment

PART 5.4 - MANAGERS

623. Appointment of manager
624. Notice of appointment
625. Effect of service of notice
626. Role of manager
627. Records and accounts of law practice under management and dealings with trust money
628. Deceased estates
629. Termination of manager’s appointment

PART 5.5 - RECEIVERS

630. Appointment of receiver
631. Notice of appointment
632. Effect of service of notice
633. Role of receiver
634. Records and accounts of law practice under receivership and dealings with trust money
635. Power of receiver to take possession of regulated property
636. Power of receiver to take delivery of regulated property
637. Power of receiver to deal with regulated property
638. Power of receiver to require documents or information
639. Examinations
640. Lien for costs on regulated property
641. Regulated property not to be attached
642. Recovery of regulated property where there has been a breach of trust etc
643. Improperly destroying property etc
644. Deceased estates
645. Termination of receiver’s appointment

PART 5.6 - GENERAL

646. Conditions on appointment of external intervener
647. Status of acts of external intervener
648. Eligibility for reappointment or authorisation
649. Appeal against appointment
650. Directions of Supreme Court
650A. Manager and receiver appointed for law practice
651. ADI disclosure requirements
652. Fees, legal costs and expenses
653. Reports by external intervener
654. Report to Commissioner of disciplinary matters
655. Confidentiality
656. Protection from liability

CHAPTER 6 - PROVISIONS RELATING TO INVESTIGATIONS

PART 6.1 - PRELIMINARY

657. Primary purpose of Chapter
658. Definitions

PART 6.2 - REQUIREMENTS RELATING TO DOCUMENTS, INFORMATION AND OTHER ASSISTANCE

659. Requirement to provide access to documents and information relating to affairs of law practice
660. Requirements in relation to complaint investigations

PART 6.3 - ENTRY AND SEARCH OF PREMISES

661. Application of Part and interpretation
662. Investigator’s power to enter premises
663. Search warrant
664. Powers of investigator while on premises

PART 6.4 - ADDITIONAL POWERS IN RELATION TO INCORPORATED LEGAL PRACTICES

665. Application of Part
666. Powers relating to investigations and audits to which this Part applies
667. Examination of persons
668. Inspection of books
669. Power to hold hearings

PART 6.5 - MISCELLANEOUS

670. Compliance audit of law practice
671. Failure to comply with investigatory powers etc
672. General provisions relating to requirements imposed under this Chapter
673. Report to Commissioner of disciplinary matters
674. Obstruction or misleading of investigator
675. Destruction of evidence
676. Obligation of Australian lawyers
677. Permitted disclosure of confidential information obtained in course of investigation, examination or audit
678. Secrecy of appointment of investigators

CHAPTER 7 - REGULATORY AUTHORITIES

PART 7.1 - LEGAL PROFESSION ADMISSION BOARD

679. Constitution of Admission Board
680. Membership of Admission Board
681. Functions of Admission Board

PART 7.2 - (Repealed)
None

PART 7.3 - LEGAL SERVICES COMMISSIONER

686. Appointment of Commissioner
687. Acting Commissioner
688. Functions of Commissioner
689. Commissioner may require Councils to provide information
689A. Functions of Commissioner in relation to advertising offences
690. Protocols relating to monitoring of regulatory functions
691. Annual report of Commissioner
692. Staff of Commissioner
693. Delegation of functions

PART 7.4 - PROFESSIONAL BODIES

Division 1 - Bar Association

694. Report on committees
695. Lay representation on committees
696. Functions of Bar Council

Division 2 - Law Society

697. Report on committees
698. Lay representation on committees
699. Functions of Law Society Council

Division 3 - Annual reports

700. Council to submit annual report

PART 7.5 - LEGAL PROFESSION RULES

Division 1 - Preliminary

701. Purpose

Division 2 - Rules

702. Rules for barristers
703. Rules for solicitors
704. Joint rules for Australian legal practitioners
705. Rules for incorporated legal practices and multi-disciplinary partnerships
706. Subject-matter of legal profession rules

Division 3 - Procedure for making rules

707. Commissioner to be notified of proposed rules
708. Public notice of proposed rules
709. Publication of rules
710. Commencement of rules

Division 4 - General provisions

711. Binding nature of legal profession rules
712. Legal profession rules inconsistent with Act or regulations
713. Availability of rules
714. Review of rules requested by Commissioner
715. (Repealed)
716. Rules may be declared inoperative
717. Other provisions as to rules

CHAPTER 8 - GENERAL PROVISIONS

718. Delegation
719. Liability of principals
720. Injunctions
721. Disclosure of information by local regulatory authorities
722. Confidentiality of personal information
722A. Protection of applications for referral for pro bono legal services
723. Unlawful disclosure of information
724. Professional privilege or duty of confidence does not affect validity of or compliance with certain requirements
725. Secrecy provisions do not apply after 30 years
726. Privilege of lawyers as officers of Supreme Court
727. Service of notices on practitioners
728. Supreme Court may order delivery up of documents etc
729. Contempt of the Supreme Court
729A. Appeals against orders and decisions of Tribunal
730. Protection from liability
730A. Duty to report suspected offences
731. Offences
732. Proof of certain matters not required
733. Evidentiary certificates
734. Approved forms
735, 736. (Repealed)
737. Savings, transitional and other provisions
738. Regulations
739. Review of Act
Schedule 1 (Repealed)
SCHEDULE 2
Schedule 3 (Repealed)
SCHEDULE 4
SCHEDULE 5
Schedule 6 (Repealed)
SCHEDULE 7
SCHEDULE 8
SCHEDULE 9

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