New South Wales Consolidated Regulations

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LEGAL PROFESSION UNIFORM GENERAL RULES 2015

- Made under the Legal Profession Uniform Law (NSW)
- As at 20 August 2021
- Reg 246 of 2015

TABLE OF PROVISIONS

CHAPTER 1 - PRELIMINARY

   PART 1.1 - INTRODUCTION

   1.      Citation
   2.      Commencement
   3.      Objective
   4.      Authorising provision

   PART 1.2 - INTERPRETATION

   5.      Definitions
   6.      Professional associations excluded from being incorporated legal practices
   7.      Supervised legal practice

CHAPTER 2 - THRESHOLD REQUIREMENTS FOR LEGAL PRACTICE

   PART 2.1 - UNQUALIFIED LEGAL PRACTICE

   8.      Authorising provision
   9.      Entitlement to certain titles
   10.     Exemption from prohibition on engaging in legal practice

   PART 2.2 - VACANT
   Note

CHAPTER 3 - LEGAL PRACTICE
           PARTS 3.1, 3.2 - VACANT

   PART 3.3 - AUSTRALIAN LEGAL PRACTITIONERS

   11.     Authorising provision
   12.     Application for grant or renewal of Australian practising certificate
   13.     Consideration of application for grant or renewal of Australian practising certificate
   14.     Statutory condition--to engage in supervised legal practice
   15.     Statutory condition--notification of certain offences
   16.     Discretionary conditions on Australian practising certificate
   17.     Duration of Australian practising certificate
   18.     Applicant for grant or renewal of Australian practising certificate intending to practise outside Australia

   PART 3.4 - FOREIGN LAWYERS

   19.     Authorising provision
   20.     Application for Australian registration certificate
   21.     Grounds for refusing to grant or renew Australian registration certificate
   22.     Discretionary conditions on Australian registration certificate
   23.     Duration of Australian registration certificate

   PART 3.5 - VARIATION, SUSPENSION AND CANCELLATION OF, OR REFUSAL TO RENEW, CERTIFICATES

   24.     Authorising provision
   25.     Notice by holder of certificate of automatic show cause event
   26.     Notice by holder of certificate of designated show cause event

   PART 3.6 - VACANT

   PART 3.7 - INCORPORATED AND UNINCORPORATED LEGAL PRACTICES

   27.     Authorising provision
   28.     Notice of intention to engage in legal practice
   29.     Notice of cessation of legal practice
   30.     Provisions relating to notices
   31.     Disclosure obligations
   32.     Directors of incorporated legal practice and pro bono services
           PARTS 3.8, 3.9 - VACANT

CHAPTER 4 - BUSINESS PRACTICE AND PROFESSIONAL CONDUCT

   PART 4.1 - VACANT

   PART 4.2 - TRUST MONEY AND TRUST ACCOUNTS

           Division 1 - Preliminary

   33.     Authorising provision
   34.     Definitions

           Division 2 - Trust money and trust accounts

   35.     Maintenance of general trust account
   36.     Receipting of trust money
   37.     Deposit records for trust money
   38.     Computerised accounting systems--copies of trust records
   39.     Computerised accounting systems--chronological record of information to be made
   40.     Computerised accounting systems--requirements regarding systems
   41.     Computerised accounting systems--back-ups
   42.     Withdrawal of trust money for payment of legal costs
   43.     Method of payment
   44.     Trust account receipts cash books
   45.     Trust account payments cash book
   46.     Journal transfers
   47.     Recording transactions in trust ledger accounts
   48.     Reconciliation of trust records
   49.     Trust ledger account in name of law practice or legal practitioner associate
   50.     Notification requirements regarding general trust accounts
   51.     Law practice closing down, closing office or ceasing to receive or hold trust money
   52.     Trust account statements
   53.     Trust account statements for commercial or government clients
   54.     Statements regarding receipt or holding of trust money
   55.     Trust money subject to specific powers
   56.     Authority to receive trust money
   57.     Disclosure of accounts used to hold money
   58.     When, how and where money is received
   59.     Register of investments
   60.     Register of powers and estates in relation to trust money

           Division 3 - Controlled money

   61.     Maintenance of controlled money account
   62.     Receipt of controlled money
   63.     Withdrawal of controlled money from controlled money account
   64.     Register of controlled money

           Division 4 - External examinations

   65.     Designation of persons eligible to be appointed as external examiners
   65A.    Revocation of eligibility for appointment as external examiner
   66.     Appointment of external examiner by law practice
   67.     Standard form reports by external examiners
   68.     Final external examination
   69.     External examiner's report

   PART 4.3 - LEGAL COSTS

   70.     Authorising provision
   71.     Commercial or government clients
   72.     Alternative disclosure for legal costs below higher threshold
   72A.    Non-compliance with disclosure obligations--disapplication of section 178(1) and (2) of the Uniform Law
   73.     Giving bills
   74.     Itemised bill higher than lump sum bill
   75.     Interest on unpaid legal costs
   76.     Costs assessment--party not participating in assessment

   PART 4.4 - PROFESSIONAL INDEMNITY INSURANCE

   77.     Authorising provision
   78.     Minimum standards for professional indemnity insurance--law practices except barristers
   79.     Minimum standards for professional indemnity insurance--barristers
   80.     Notice to be given where certain legal services not covered by insurance
   81.     Regulatory authority may inspect policies
   82.     Exemptions

   PART 4.5 - FIDELITY COVER

   83.     Authorising provision
   84.     Time of default
   85.     Defaults to which Uniform Law does not apply
   86.     Making a claim
   87.     Investigation of claims
   88.     Change in status of law practice or associate does not affect claim
   89.     Advertisements
   89A.    Interest rate for payments
   90.     Notification of delay in making decision
   91.     Recommendations by the fidelity authority to other fidelity authorities

   PART 4.6 - BUSINESS MANAGEMENT AND CONTROL

           Division 1 - Prohibited businesses and services

   91A.    Related entities for purposes of section 258
   91B.    Managed investment schemes--general
   91BA.   Managed investment schemes--litigation funding schemes
   91C.    Mortgages
   91D.    Financial institutions

           Division 1A - Files about matters

   91E.    Opening and maintaining files

           Division 2 - Registers

   92.     Authorising provision
   93.     Register of files opened
   94.     Register of safe custody documents
   95.     Register of financial interests
   95A.    How registers are to be maintained

CHAPTER 5 - VACANT

CHAPTER 6 - EXTERNAL INTERVENTION

   PART 6.1 - INTRODUCTION

   96.     Authorising provision

   PART 6.2 - VACANT

   PART 6.3 - SUPERVISORS OF TRUST MONEY

   97.     Appointment of supervisor of trust money
   98.     Notice of appointment

   PART 6.4 - MANAGERS

   99.     Appointment of manager
   100.    Notice of appointment

   PART 6.5 - RECEIVERS

   101.    Appointment of receiver
   102.    Notice of appointment

   PART 6.6 - GENERAL

   103.    Fees, legal costs and expenses
   104.    Reports by external intervener
   105.    Report to designated local regulatory authority on disciplinary matters

CHAPTER 7 - VACANT

CHAPTER 8 - REGULATORY AUTHORITIES

   PART 8.1 - VACANT

   PART 8.2 - LEGAL SERVICES COUNCIL

   106.    Authorising provision
   107.    Delegation of Legal Services Council's functions

   PARTS 8.3-8.6 - VACANT

CHAPTER 9 - MISCELLANEOUS

   PART 9.1 - VACANT

   PART 9.2 - VACANT
   Note

   PART 9.3 - LEGAL PROFESSION REGISTERS

   108.    Authorising provision
   109.    Australian Legal Profession Register

   PARTS 9.4-9.8 - VACANT

   PART 9.9 - GENERAL

   110.    Authorising provision
   111.    General provisions about appeal or review--constructive decision
   111A.   Indexation of amounts

CHAPTER 10 - OTHER PROVISIONS
           Note

   PART 1 - PROVISIONS RELATING TO SCHEDULE 3 TO THE UNIFORM LAW

   112.    Authorising provision
   113.    Non-participant legal practitioner expecting to practise solely or principally in a participating jurisdiction--when exemption ceases
   114.    Non-participant registered foreign lawyer expecting to practise solely or principally in a participating jurisdiction--when exemption ceases
           SCHEDULE 1


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