New South Wales Consolidated Regulations

LEGAL PROFESSION UNIFORM GENERAL RULES 2015 - REG 13

13 Consideration of application for grant or renewal of Australian practising certificate

(1) For the purposes of section 45 of the Uniform Law, in considering whether an applicant is or is not a fit and proper person to hold an Australian practising certificate, the designated local regulatory authority may have regard to any of the following matters--

(a) whether the applicant is currently of good fame and character,

(b) whether the applicant is, or has been--

(i) an insolvent under administration, or

(ii) a director or principal of an incorporated legal practice while the legal practice is or was insolvent, or

(iii) a director of a company while the company is or was insolvent,

(c) whether the applicant has been convicted or found guilty of an offence in Australia or a foreign country, and if so--

(i) the nature of the offence, and

(ii) how long ago the offence was committed, and

(iii) the applicant's age when the offence was committed,

(d) whether the applicant has engaged in legal practice in Australia--

(i) when not permitted to do so under a law or previous law of a State or Territory, or

(ii) if admitted, in contravention of a condition to which the admission was subject, or

(iii) if holding an Australian practising certificate, in contravention of a condition to which the certificate was subject or while the certificate was suspended,

(e) whether the applicant has engaged in legal practice in a foreign country--

(i) when not permitted to do so by or under a law of that country, or

(ii) if permitted to do so, in contravention of a condition to which the permission was subject,

(f) whether the applicant--

(i) is currently subject to an unresolved complaint, investigation, charge or order under an Australian law relating to the legal profession or under a corresponding foreign law, or

(ii) has been the subject of disciplinary action, however expressed, under an Australian law relating to the legal profession, or under a corresponding foreign law, that involved a finding adverse to the applicant,

(g) whether the applicant--

(i) is the subject of current disciplinary action, however expressed, in another profession or occupation in Australia or a foreign country, or

(ii) has been the subject of disciplinary action, however expressed, in another profession or occupation in Australia or a foreign country that involved a finding adverse to the applicant,

(h) whether the applicant's name has been removed from--

(i) a roll of Australian lawyers, however described or expressed, in any jurisdiction, or

(ii) a foreign roll of practitioners,

(i) whether the applicant's right to engage in legal practice has been suspended or cancelled in Australia or a foreign country,

(j) whether the applicant has contravened, in Australia or a foreign country, a law about trust money or trust accounts,

(k) whether, under an Australian law relating to the legal profession or a law of the Commonwealth, a supervisor, manager or receiver, however described, is, or has been, appointed in relation to any legal practice engaged in by the applicant,

(l) whether the applicant is, or has been, subject to an order under an Australian law relating to the legal profession or a law of the Commonwealth, disqualifying the applicant from--

(i) being employed by, or a partner of, an Australian legal practitioner, or

(ii) managing a corporation,

(m) whether the applicant is currently unable to carry out satisfactorily the inherent requirements of practice as an Australian legal practitioner,

(n) whether the applicant has provided incorrect or misleading information in relation to any application for an Australian practising certificate under an Australian law relating to the legal profession,

(o) whether the applicant has contravened a condition of a previous Australian practising certificate under an Australian law relating to the legal profession,

(p) whether the applicant has contravened an Australian law relating to the legal profession,

(q) whether the applicant has contravened--

(i) an order of a court or tribunal made in any proceedings, or

(ii) (without limitation) an order of a designated local regulatory authority or other person or body under legislation of any jurisdiction so far as the legislation relates to the control or discipline of any Australian lawyers or to the practice of law,

(r) whether the applicant has failed at any time to pay a required contribution or levy to the fidelity fund of a jurisdiction,

(s) whether the applicant has failed to comply with a requirement under an Australian law relating to the legal profession in relation to professional indemnity insurance,

(t) whether the applicant has failed to pay any costs or expenses for which the applicant was liable under an Australian law relating to the legal profession,

(u) any other matter that is related to a matter referred to in another provision of this rule.

(2) In determining whether an applicant has or will have professional indemnity insurance as required by the Uniform Law, the designated local regulatory authority may have regard to--

(a) evidence in the form of written advice from an insurer or other provider or from an insurance broker to the effect that an insurer or other provider has agreed to issue a policy of professional indemnity insurance, or

(b) evidence that the premium for a policy of professional indemnity insurance has been received and accepted by the insurer or other provider for the purposes of the issue of the policy.

(3) Without limiting any other power of the designated local regulatory authority to refuse to grant an Australian practising certificate, the designated local regulatory authority may refuse to grant an Australian practising certificate for a barrister if the applicant has not successfully completed any examination required by the designated local regulatory authority to be passed as a prerequisite to undertaking a reading program referred to in section 50 of the Uniform Law.