This legislation has been repealed.
- 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 (Repealed) 28.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