New South Wales Repealed Acts

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This legislation has been repealed.

LEGAL PROFESSION ACT 2004


- As at 1 July 2015 
- 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.     Council to maintain register of prohibition orders and approvals

           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     (Repealed)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.     Administrative review of decisions by Tribunal
   76.     (Repealed)
   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
   302B.   Costs assessment is to take into account GST

           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
           558-560. (Repealed)
   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.    (Repealed)
   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.   (Repealed)
   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 2A
           Schedule 3 (Repealed)
           SCHEDULE 4
           SCHEDULE 5
           Schedule 6 (Repealed)
           SCHEDULE 7
           SCHEDULE 8
           SCHEDULE 9


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