LEGAL PROFESSION BILL 2004

Queensland Bills

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This is a Bill, not an Act. For current law, see the Acts databases.

LEGAL PROFESSION BILL 2004

Queensland LEGAL PROFESSION BILL 2004

Queensland LEGAL PROFESSION BILL 2004 TABLE OF PROVISIONS Section Page CHAPTER 1--INTRODUCTION PART 1--PRELIMINARY 1 Short title . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32 2 Commencement. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32 3 Main purposes of this Act . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32 PART 2--INTERPRETATION Division 1--Dictionary 4 Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33 Division 2--Meaning of particular terms involving a legal title and related matters 5 Meaning of terms involving lawyer. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33 6 Meaning of terms involving legal practitioner . . . . . . . . . . . . . . . . . . . . . . . 33 7 Application to Australian lawyers and Australian legal practitioners . . . . . . 34 8 Meaning of "barrister". . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35 9 Meaning of "solicitor". . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35 10 Meaning of "government legal officer" and related matters . . . . . . . . . . . . . 35 11 Meaning of "associate" and "principal" and related matters . . . . . . . . . . . . 36 Division 3--Meaning of other terms for this Act 12 Meaning of "home jurisdiction" . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37 13 Meaning of "suitability matter". . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38 14 Meaning of "serious offence" . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40 15 Meaning of "conviction" and "quashing a conviction". . . . . . . . . . . . . . . . . 40 16 Meaning of "information notice" . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41 Division 4--Other matters relating to interpretation 17 Notes in text. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42

2 Legal Profession Bill 2004 18 Timing for doing things. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42 19 Appeal period for appeal to Supreme Court or tribunal . . . . . . . . . . . . . . . . 42 20 Grounds that are reasonable in the circumstances. . . . . . . . . . . . . . . . . . . . . 42 Division 5--Other relevant matter 21 Contravention of provision that is capable of constituting unsatisfactory professional conduct or professional misconduct . . . . . . . . . . . . . . . . . . . . . 43 CHAPTER 2--ENGAGING IN LEGAL PRACTICE OTHER THAN BY AUSTRALIAN-REGISTERED FOREIGN LAWYERS PART 1--PRELIMINARY 22 Simplified outline of ch 2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43 PART 2--RESERVATION OF LEGAL WORK AND RELATED MATTERS 23 Part does not apply to a person if authorised under a Commonwealth law or a government legal officer. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44 24 Prohibition on engaging in legal practice when not entitled . . . . . . . . . . . . . 45 25 Prohibition on representing or advertising entitlement to engage in legal practice when not entitled .................................... 46 26 Part does not affect liability of particular Australian lawyers under ch 3 . . . 46 PART 3--ADMISSION OF LEGAL PRACTITIONERS Division 1--Preliminary 27 Main purpose of ch 2, pt 3. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47 28 Definitions for ch 2, pt 3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47 Division 2--Eligibility and suitability for admission as legal practitioners 29 Eligibility for admission under this Act as a legal practitioner . . . . . . . . . . . 47 30 Suitability for admission under this Act as a legal practitioner. . . . . . . . . . . 48 Division 3--Application for admission 31 Main purposes of ch 2, pt 3, div 3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49 32 Application for admission under this Act as a legal practitioner. . . . . . . . . . 49 33 Role of the board relating to application for admission . . . . . . . . . . . . . . . . 49 34 Role of Supreme Court relating to application for admission. . . . . . . . . . . . 50 Division 4--Early consideration of suitability 35 Main purpose of ch 2, pt 3, div 4. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51 36 Early consideration of suitability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51 37 Involvement of Supreme Court whether by referral or on appeal . . . . . . . . . 52

3 Legal Profession Bill 2004 Division 5--Roll of legal practitioners 38 Roll of legal practitioners . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52 39 Local legal practitioner is officer of Supreme Court . . . . . . . . . . . . . . . . . . . 52 Division 6--Miscellaneous 40 Conditional admission. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53 41 Board may appear before Supreme Court . . . . . . . . . . . . . . . . . . . . . . . . . . . 53 42 Fees payable . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53 43 Provision regarding admission rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53 PART 4--LEGAL PRACTICE BY AUSTRALIAN LEGAL PRACTITIONERS Division 1--Preliminary 44 Main purposes of ch 2, pt 4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54 45 Meaning of "relevant regulatory authority" . . . . . . . . . . . . . . . . . . . . . . . . . 54 46 How suitability relating to holding local practising certificate is to be decided ................................................. 54 Division 2--Legal practice in this jurisdiction 47 Entitlement to practise in this jurisdiction. . . . . . . . . . . . . . . . . . . . . . . . . . . 56 Division 3--Matters relating to applications for grant or renewal of local practising certificates 48 Application for grant or renewal of local practising certificate. . . . . . . . . . . 56 49 Manner of application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58 50 Professional indemnity insurance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59 51 Continuing obligation for professional indemnity insurance . . . . . . . . . . . . 60 Division 4--Grant or renewal of local practising certificates 52 Grant or renewal of local practising certificate . . . . . . . . . . . . . . . . . . . . . . . 60 53 Conditions imposed by law society or bar association . . . . . . . . . . . . . . . . . 61 54 Applications relating to conditions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62 55 Duration of local practising certificates. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63 56 Local legal practitioner is officer of Supreme Court . . . . . . . . . . . . . . . . . . . 63 Division 5--Conditions applying to local practising certificates 57 Conditions generally . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63 58 Statutory condition regarding notification of offence . . . . . . . . . . . . . . . . . . 64 59 Statutory condition regarding legal practice as solicitor . . . . . . . . . . . . . . . . 64

4 Legal Profession Bill 2004 60 Statutory condition regarding conditions imposed on interstate admission . 65 61 Compliance with conditions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66 Division 6--Special powers relating to local practising certificates 62 Application for local practising certificate if show cause event happened after first admission ......................................... 66 63 Requirement if show cause event . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67 64 Refusal, cancellation, suspension or amendment, of local practising certificate because of failure to show cause ...................... 67 65 Restriction on making further application. . . . . . . . . . . . . . . . . . . . . . . . . . . 68 Division 7--Amendment, cancellation or suspension of local practising certificates 66 Application of ch 2, pt 4, div 7 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69 67 Grounds for amending, cancelling or suspending a local practising certificate .............................................. 69 68 Amending, cancelling or suspending local practising certificate . . . . . . . . . 69 Division 8--Provisions that apply to other actions including actions under div 6 or 7 69 Consensual amendment or cancellation etc. . . . . . . . . . . . . . . . . . . . . . . . . . 70 70 Removal from local roll. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71 71 Operation of amendment, cancellation or suspension of local practising certificate ............................................. 71 72 Return of amended, cancelled or suspended local practising certificate . . . . 72 73 Relationship of divs 6 and 7 with ch 7, pt 2 . . . . . . . . . . . . . . . . . . . . . . . . . 73 Division 9--Interstate legal practitioners 74 Requirement for interstate practising certificate and professional indemnity insurance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73 75 Extent of entitlement of interstate legal practitioner to practise in this jurisdiction .............................................. 74 76 Additional condition on interstate legal practitioner engaging in legal practice in this jurisdiction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75 77 Special provision about interstate legal practitioner engaging in unsupervised legal practice in this jurisdiction . . . . . . . . . . . . . . . . . . . . . 75 78 Interstate legal practitioner is officer of Supreme Court . . . . . . . . . . . . . . . . 76 Division 10--Miscellaneous provisions about local practising certificates and other matters 79 Immediate suspension or amendment of local practising certificate. . . . . . . 76

5 Legal Profession Bill 2004 80 Protocols . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78 81 Consideration of applicant for local practising certificate and certificate holder ................................................. 79 82 Register of local practising certificates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79 83 Regulatory authority may charge reasonable fees. . . . . . . . . . . . . . . . . . . . . 80 PART 5--LEGAL PRACTICE BY INCORPORATED LEGAL PRACTICES Division 1--Preliminary 84 Main purpose of ch 2, pt 5. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80 85 Meaning of "incorporated legal practice" . . . . . . . . . . . . . . . . . . . . . . . . . . . 80 86 Definitions for ch 2, pt 5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81 Division 2--Incorporated legal practices providing legal services 87 Non-legal services and businesses of incorporated legal practices . . . . . . . . 82 88 Corporations eligible to be incorporated legal practices . . . . . . . . . . . . . . . . 82 89 Notice of intention to start providing legal services . . . . . . . . . . . . . . . . . . . 83 90 Prohibition on corporations or directors etc. representing that corporation is incorporated legal practice. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84 91 Notice of termination of provision of legal services . . . . . . . . . . . . . . . . . . . 84 Division 3--Legal practitioner directors, and other legal practitioners employed by incorporated legal practices 92 Incorporated legal practice must have legal practitioner director . . . . . . . . . 84 93 Obligations of legal practitioner director relating to misconduct . . . . . . . . . 85 94 Incorporated legal practice without legal practitioner director . . . . . . . . . . . 86 95 Obligations and privileges of an Australian legal practitioner who is an officer or employee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87 Division 4--Particular matters including application of other provisions of relevant laws 96 Insurance obligations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88 97 Conflicts of interest . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88 98 Disclosure obligations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89 99 Effect of non-disclosure on provision of particular services. . . . . . . . . . . . . 90 100 Application of a legal profession rule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90 101 Requirements relating to advertising. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90 102 Application of provisions of relevant laws relating to trust money or trust accounts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91

6 Legal Profession Bill 2004 103 Application provisions about client agreements etc. to incorporated legal practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91 104 Extension to incorporated legal practice of vicarious liability relating to failure to account and dishonesty ............................. 92 105 Sharing of receipts. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92 106 Disqualified persons . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92 Division 5--Ensuring compliance with this Act by incorporated legal practices 107 Commissioner or law society may audit incorporated legal practice . . . . . . 93 108 Banning of incorporated legal practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94 109 Disqualification from managing incorporated legal practice . . . . . . . . . . . . 96 110 Disclosure of information to the Australian Securities and Investments Commission ............................................ 97 Division 6--External administration 111 External administration proceedings under Corporations Act . . . . . . . . . . . 97 112 External administration proceedings under other legislation . . . . . . . . . . . . 98 113 Incorporated legal practice that is subject to receivership under this Act and external administration under Corporations Act. . . . . . . . . . . . . . . . . . . 98 114 Incorporated legal practice that is subject to receivership under this Act and external administration under other legislation . . . . . . . . . . . . . . . . . . . 99 Division 7--Miscellaneous 115 Cooperation between courts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100 116 Relationship of Act to constitution of incorporated legal practice . . . . . . . . 100 117 Relationship of Act to legislation establishing incorporated legal practice . 101 118 Relationship of Act to Corporations legislation and certain other instruments ........................................... 101 119 Undue influence. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101 120 Obligations of individual practitioners not affected . . . . . . . . . . . . . . . . . . . 102 121 Regulation may require training requirement for legal practitioner director 102 PART 6--LEGAL PRACTICE BY MULTI-DISCIPLINARY PARTNERSHIPS Division 1--Preliminary 122 Main purpose of ch 2, pt 6. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103 123 Meaning of "multi-disciplinary partnership" . . . . . . . . . . . . . . . . . . . . . . . . 103

7 Legal Profession Bill 2004 Division 2--Multi-disciplinary partnerships providing legal services 124 Conduct of multi-disciplinary partnerships. . . . . . . . . . . . . . . . . . . . . . . . . . 103 125 Notice of intention to start practice in multi-disciplinary partnership . . . . . 104 Division 3--Legal practitioner partners and other legal practitioners employed by multi-disciplinary partnerships 126 General obligations of legal practitioner partners . . . . . . . . . . . . . . . . . . . . . 104 127 Obligations of legal practitioner partner relating to misconduct. . . . . . . . . . 105 128 Actions of partner who is not an Australian legal practitioner . . . . . . . . . . . 105 129 Obligations and privileges of Australian legal practitioner who is partner or employee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106 130 Conflicts of interest . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106 131 Disclosure obligations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106 132 Effect of non-disclosure on provision of particular services. . . . . . . . . . . . . 107 133 Application of a legal profession rule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 108 134 Requirements relating to advertising. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 108 135 Requirements relating to trust accounts and particular moneys . . . . . . . . . . 109 136 Application of provisions about client agreements etc. to multi-disciplinary partnerships . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109 137 Sharing of receipts. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109 138 Disqualified persons . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110 139 Prohibition on partnership with particular partner who is not an Australian legal practitioner . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110 140 Undue influence. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111 141 Obligations of practitioners not affected . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111 142 Regulations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112 PART 7--FIDELITY COVER Division 1--Preliminary 143 Purpose of ch 2, pt 7 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112 144 Definitions for ch 2, pt 7 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112 145 Application of pt 7 defaults of particular barristers . . . . . . . . . . . . . . . . . . . 113 146 Time of default . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114 Division 2--Fidelity fund 147 Establishment of fidelity fund . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114 148 Insurance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115

8 Legal Profession Bill 2004 149 Limitation on borrowing powers of law society for fidelity fund . . . . . . . . . 115 150 Fund to be kept in separate account . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115 151 Moneys payable into fidelity fund. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 116 152 Expenditure from fund . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 116 153 Audit of accounts. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117 154 Law society may delegate its powers in relation to the fidelity fund to a committee of management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117 155 Minister may require report about fund . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117 156 Contribution to fidelity fund . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 118 157 Levy for benefit of fidelity fund . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 118 158 Law society may advance moneys from its general funds to fidelity fund . . 119 Division 3--Defaults to which this part applies 159 Meaning of "relevant jurisdiction" . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119 160 Defaults to which this part applies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 120 161 Defaults relating to financial services or investments . . . . . . . . . . . . . . . . . . 120 Division 4--Claims about defaults 162 Claims about defaults . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 122 163 Time limit for making claims . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 122 164 Advertisements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123 165 Time limit for making claims following advertisement . . . . . . . . . . . . . . . . 124 166 Claims not affected by certain matters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 124 167 Investigation of claims. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125 Division 5--Deciding claims 168 Law society to decide claim . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125 169 Maximum amount allowable. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126 170 Costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126 171 Interest . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 127 172 Reduction of claim because of other benefits . . . . . . . . . . . . . . . . . . . . . . . . 127 173 Subrogation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 128 174 Proceedings brought under right of subrogation . . . . . . . . . . . . . . . . . . . . . . 129 175 Repayment of surplus amount. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 129 176 Notification of delay in making decision . . . . . . . . . . . . . . . . . . . . . . . . . . . 129 177 Notification of decision . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 130

9 Legal Profession Bill 2004 Division 6--Appeals 178 Appeal against decision on claim . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 130 179 Appeal against failure to decide claim within 1 year . . . . . . . . . . . . . . . . . . 131 180 Proceedings on appeal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132 Division 7--Payments from fidelity fund for defaults 181 Payments for defaults . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132 182 Caps on payments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132 183 Sufficiency of fidelity fund . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133 Division 8--Claims by law practices or associates 184 Claims by law practices or associates about defaults . . . . . . . . . . . . . . . . . . 134 185 Claims by law practices or associates about notional defaults . . . . . . . . . . . 134 Division 9--Defaults involving interstate elements 186 Concerted interstate defaults . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135 187 Defaults involving interstate elements if committed by 1 associate only . . . 136 Division 10--Inter-jurisdictional provisions 188 Protocols . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 137 189 Forwarding claims to corresponding authority in another jurisdiction . . . . . 137 190 Investigation of defaults to which this part applies . . . . . . . . . . . . . . . . . . . . 138 191 Investigation of defaults to which a corresponding law applies . . . . . . . . . . 138 192 Investigation of concerted interstate defaults . . . . . . . . . . . . . . . . . . . . . . . . 138 193 Recommendations by law society to corresponding authority . . . . . . . . . . . 139 194 Recommendations to and decisions by law society after receiving recommendations from corresponding authority . . . . . . . . . . . . . . . . . . . . . 139 195 Request to another jurisdiction to investigate aspects of claim. . . . . . . . . . . 140 196 Request from another jurisdiction to investigate aspects of claim . . . . . . . . 140 197 Cooperation with other authorities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 140 Division 11--Miscellaneous 198 Interstate legal practitioner becoming authorised to withdraw from local trust account . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 141 199 Application of part to incorporated legal practices . . . . . . . . . . . . . . . . . . . . 141 200 Application of part to multi-disciplinary partnerships . . . . . . . . . . . . . . . . . 142 201 Application of part to Australian lawyers whose practising certificates have lapsed . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 142

10 Legal Profession Bill 2004 PART 8--FINANCIAL ARRANGEMENTS FOR THOSE WHO MAY ENGAGE IN LEGAL PRACTICE IN THIS JURISDICTION Division 1--Preliminary 202 Main purposes of ch 2, pt 8 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 143 203 Definitions for ch 2, pt 8 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 144 204 Relationship with other laws . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 144 Division 2--Prescribed accounts 205 Regulation for prescribed account. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 144 206 Deposits to prescribed account . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 145 Division 3--Interest on trust accounts paid to department 207 Arrangement with financial institution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 145 Division 4--Legal Practitioner Interest on Trust Accounts Fund 208 Establishment of fund . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 145 209 Payments from fund . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 146 210 Minister to decide distribution. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 147 211 Submission of budgets. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 148 PART 9--RULES ABOUT THOSE WHO MAY ENGAGE IN LEGAL PRACTICE IN THIS JURISDICTION Division 1--Preliminary 212 Main purposes of ch 2, pt 9 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 148 213 Power to make rules not limited to specific references to provision in other chapters or parts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 149 214 Definition for ch 2, pt 9 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 149 Division 2--Legal profession rules 215 Rules to be made by Governor in Council . . . . . . . . . . . . . . . . . . . . . . . . . . 149 216 Rule may apply to persons generally or by using a defined term involving a legal title . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 150 217 Particular provision about barristers rule . . . . . . . . . . . . . . . . . . . . . . . . . . . 150 218 Solicitors rule or barristers rule may apply to government legal officer . . . . 151 219 Incorporated legal practice rule can not provide for particular matters . . . . 151 220 Recommendations to the Minister about legal profession rules . . . . . . . . . . 151 221 Monitoring role of committee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 152 222 Public notice of proposed legal profession rule . . . . . . . . . . . . . . . . . . . . . . 152 223 Binding nature of each legal profession rule. . . . . . . . . . . . . . . . . . . . . . . . . 153

11 Legal Profession Bill 2004 224 Relationship of legal profession rule to this Act and regulation . . . . . . . . . . 153 225 Relationship of legal profession rule and administration rule. . . . . . . . . . . . 153 Division 3--Administration rules 226 Rules other than legal profession rule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 154 227 Indemnity rule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 156 228 Relationship of administration rule to this Act and regulation . . . . . . . . . . . 157 229 Availability of an administration rule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 157 PART 10--INTER-JURISDICTIONAL PROVISIONS REGARDING ADMISSION AND PRACTISING CERTIFICATES Division 1--Preliminary 230 Main purpose of ch 2, pt 10. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 158 231 Relationship of this part with ch 3. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 158 Division 2--Notifications to be given to interstate authorities 232 Notification to other jurisdictions about application for admission . . . . . . . 158 233 Notification to other jurisdictions about removal from local roll . . . . . . . . . 159 234 Law society and bar association to notify other jurisdictions about actions by it ..................................................... 159 Division 3--Notifications to be given by lawyers to local authorities 235 Lawyer to give notice of removal in another jurisdiction . . . . . . . . . . . . . . . 160 236 Lawyer to give notice of removal in foreign country . . . . . . . . . . . . . . . . . . 160 237 Provisions relating to requirement to notify . . . . . . . . . . . . . . . . . . . . . . . . . 161 Division 4--Taking of action by local authorities in response to notifications received 238 Peremptory removal of local lawyer's name from local roll following removal in another jurisdiction ................................ 161 239 Peremptory cancellation of local practising certificate following removal of name from interstate roll .................................. 162 240 Order for non-removal of name or non-cancellation of practising certificate 162 241 Show cause procedure for removal of local lawyer's name from local roll following removal in foreign country ......................... 163 242 Local authority may give information to other local authority . . . . . . . . . . . 164

12 Legal Profession Bill 2004 CHAPTER 3--COMPLAINTS, INVESTIGATION MATTERS AND DISCIPLINE PART 1--PRELIMINARY Division 1--Preliminary 243 Main purposes of ch 3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 164 Division 2--Key concepts 244 Meaning of "unsatisfactory professional conduct" . . . . . . . . . . . . . . . . . . . . 165 245 Meaning of "professional misconduct". . . . . . . . . . . . . . . . . . . . . . . . . . . . . 165 246 Conduct capable of constituting unsatisfactory professional conduct or professional misconduct .................................... 166 247 Meaning of "respondent" . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 166 Division 3--Application of this chapter 248 Application of chapter to lawyers, former lawyers and former practitioners 167 249 Practitioners to whom this chapter applies . . . . . . . . . . . . . . . . . . . . . . . . . . 167 250 Conduct to which this chapter applies--generally . . . . . . . . . . . . . . . . . . . . 167 251 Conduct to which this chapter applies--insolvent under administration, serious offences and tax offences .............................. 169 252 Chapter also applies to law practice employees . . . . . . . . . . . . . . . . . . . . . . 169 Division 4--Commissioner's obligations for complaints 253 Duty to deal with complaints efficiently and expeditiously . . . . . . . . . . . . . 170 254 Duty to inform complainant about action taken for complaint . . . . . . . . . . . 170 PART 2--MAKING COMPLAINTS 255 Conduct about which complaint may be made . . . . . . . . . . . . . . . . . . . . . . . 170 256 Making a complaint. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 171 257 Further information and verification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 171 258 Complaints made over 3 years after conduct concerned . . . . . . . . . . . . . . . . 172 259 Summary dismissal of complaints. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 173 260 Withdrawal of complaints . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 174 261 Commissioner may delay dealing with complaint . . . . . . . . . . . . . . . . . . . . 175 PART 3--MEDIATION FOR COMPLAINTS INVOLVING CONSUMER DISPUTE 262 Definition for ch 3, pt 3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175 263 Mediation of complaint involving consumer dispute solely . . . . . . . . . . . . . 176 264 Mediation of hybrid complaint . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 176

13 Legal Profession Bill 2004 PART 4--STARTING INVESTIGATIONS BASED ON COMPLAINT OR WITHOUT A COMPLAINT 265 Referral by commissioner to law society or bar association . . . . . . . . . . . . . 177 266 Commissioner investigating a complaint or investigation matter . . . . . . . . . 177 267 Australian lawyer to be notified of complaint or investigation matter . . . . . 178 268 Role of law society or bar association. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 179 269 Powers for investigations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 180 270 Submissions by respondent . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 181 271 Referral of matters for cost assessment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 181 272 Regulation may provide for covering cost of costs assessor under s 269 or 271 .............................................. 182 PART 5--DISCIPLINE Division 1--Decision of commissioner 273 Decision of commissioner after investigation . . . . . . . . . . . . . . . . . . . . . . . . 182 274 Dismissal of complaint . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 182 275 Record of decision. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183 Division 2--Proceedings in disciplinary body 276 Starting proceeding before a disciplinary body. . . . . . . . . . . . . . . . . . . . . . . 183 277 Hearings. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183 278 Variation of discipline application. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183 279 Joinder . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 184 Division 3--Decisions of disciplinary bodies 280 Decisions of tribunal about an Australian legal practitioner . . . . . . . . . . . . . 184 281 Orders to be filed in Supreme Court and information notices to be given to parties etc. ............................................ 186 282 Decisions of committee about discipline application . . . . . . . . . . . . . . . . . . 187 283 Orders to be filed in Supreme Court and information notices to be given to parties etc. ............................................ 188 284 Interlocutory and interim orders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 189 285 Compliance with decisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 189 286 Costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 190 287 Other remedies not affected. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 191

14 Legal Profession Bill 2004 PART 6--COMPENSATION ORDERS Division 1--Preliminary 288 Meaning of "compensation order" . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 191 Division 2--Compensation orders 289 Compensation order relating to pecuniary loss . . . . . . . . . . . . . . . . . . . . . . . 192 290 Effect of compensation order . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 192 291 Other remedies not affected. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 193 PART 7--APPEALS FROM DECISIONS OF DISCIPLINARY BODIES 292 Appeal may be made to Court of Appeal from tribunal's decision . . . . . . . . 193 293 Appeal to tribunal against committee's decision. . . . . . . . . . . . . . . . . . . . . . 194 294 Appeal to Court of Appeal in relation to a decision of committee . . . . . . . . 194 PART 8--PUBLICATION OF DISCIPLINARY ACTIONS 295 Definition for ch 3, pt 8 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 194 296 Discipline register . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 195 297 Other means of publicising disciplinary action. . . . . . . . . . . . . . . . . . . . . . . 196 298 Disciplinary action taken because of infirmity, injury or illness . . . . . . . . . . 196 299 Quashing of disciplinary action. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 197 300 Liability for publicising disciplinary action . . . . . . . . . . . . . . . . . . . . . . . . . 197 301 General provisions about disclosure of information . . . . . . . . . . . . . . . . . . . 198 PART 9--INTER-JURISDICTIONAL PROVISIONS 302 Protocols . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 199 303 Request to another jurisdiction to investigate complaint or investigation matter .................................................. 199 304 Request from another jurisdiction to investigate complaint . . . . . . . . . . . . . 199 305 Sharing of information with corresponding authorities . . . . . . . . . . . . . . . . 200 306 Cooperation with corresponding authorities . . . . . . . . . . . . . . . . . . . . . . . . . 200 307 Compliance with orders made under corresponding laws. . . . . . . . . . . . . . . 201 308 Other powers or functions not affected . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 201 PART 10--MISCELLANEOUS 309 Information about complaints procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . 201 310 Performance criteria . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 202 311 Annual and other reports to the Minister. . . . . . . . . . . . . . . . . . . . . . . . . . . . 202

15 Legal Profession Bill 2004 312 Confidentiality of client communications . . . . . . . . . . . . . . . . . . . . . . . . . . . 203 313 Waiver of legal professional privilege or benefit of duty of confidentiality . 203 CHAPTER 4--EXTERNAL INTERVENTION PART 1--PRELIMINARY 314 Main purposes of ch 4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 204 315 Definitions for ch 4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 205 316 Application of ch 4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 205 317 Application of chapter to other persons . . . . . . . . . . . . . . . . . . . . . . . . . . . . 206 PART 2--STARTING EXTERNAL INTERVENTIONS 318 Circumstances warranting external intervention . . . . . . . . . . . . . . . . . . . . . . 206 319 Decision regarding external intervention . . . . . . . . . . . . . . . . . . . . . . . . . . . 207 PART 3--SUPERVISORS 320 Appointment of supervisor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 209 321 Notice of appointment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 209 322 Effect of service of notice of appointment . . . . . . . . . . . . . . . . . . . . . . . . . . 210 323 Role of supervisor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 211 324 Records of law practice under supervision . . . . . . . . . . . . . . . . . . . . . . . . . . 212 325 Termination of supervisor's appointment . . . . . . . . . . . . . . . . . . . . . . . . . . . 212 PART 4--MANAGERS 326 Appointment of manager. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 213 327 Notice of appointment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 214 328 Effect of service of notice of appointment . . . . . . . . . . . . . . . . . . . . . . . . . . 214 329 Role of manager . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 215 330 Records and accounts of law practice under management . . . . . . . . . . . . . . 217 331 Deceased estates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 217 332 Termination of manager's appointment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 218 PART 5--RECEIVERS 333 Appointment of receiver . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 218 334 Notice of appointment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 219 335 Effect of service of notice of appointment . . . . . . . . . . . . . . . . . . . . . . . . . . 220 336 Role of receiver . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 221 337 Records and accounts of law practice under receivership . . . . . . . . . . . . . . . 221

16 Legal Profession Bill 2004 338 Power of receiver to take possession of regulated property . . . . . . . . . . . . . 222 339 Power of receiver to take delivery of regulated property . . . . . . . . . . . . . . . 222 340 Power of receiver to deal with regulated property. . . . . . . . . . . . . . . . . . . . . 223 341 Power of receiver to require documents or information . . . . . . . . . . . . . . . . 223 342 Examinations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 223 343 Lien for costs on regulated property of the law practice . . . . . . . . . . . . . . . . 224 344 Regulated property of a law practice is not to be attached . . . . . . . . . . . . . . 225 345 Recovery of regulated property where there has been a breach of trust etc.. 225 346 Improperly destroying property etc. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 227 347 Deceased estates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 227 348 Termination of receiver's appointment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 227 PART 6--GENERAL 349 Conditions on appointment of external intervener for a law practice . . . . . . 228 350 Status of acts of external intervener for a law practice . . . . . . . . . . . . . . . . . 229 351 Eligibility for reappointment or authorisation. . . . . . . . . . . . . . . . . . . . . . . . 229 352 Appeal against appointment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 229 353 Directions of Supreme Court. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 230 354 Requirement for financial institution to disclose and permit access to accounts ................................................. 230 355 Fees, legal costs and expenses. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 230 356 Reports by external intervener for law practice. . . . . . . . . . . . . . . . . . . . . . . 231 357 Confidentiality for external intervener for law practice . . . . . . . . . . . . . . . . 231 CHAPTER 5--PRACTICE OF FOREIGN LAW BY FOREIGN LAWYERS PART 1--PRELIMINARY 358 Main purpose of ch 5. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 233 359 Definitions for ch 5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 233 360 Chapter does not apply to Australian legal practitioners. . . . . . . . . . . . . . . . 234 PART 2--PRACTICE OF FOREIGN LAW 361 Requirement for registration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 234 362 Entitlement of Australian-registered foreign lawyer to practise in this jurisdiction ............................................... 235 363 Scope of practice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 235

17 Legal Profession Bill 2004 364 Form of practice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 236 365 Application of Australian professional ethical and practice standards . . . . . 236 366 Designation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 237 367 Letterhead and other identifying documents . . . . . . . . . . . . . . . . . . . . . . . . . 239 368 Advertising . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 239 369 Foreign lawyer employing Australian legal practitioner . . . . . . . . . . . . . . . . 240 370 Trust money and trust accounts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 240 371 Professional indemnity insurance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 241 372 Fidelity cover. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 241 PART 3--LOCAL REGISTRATION OF FOREIGN LAWYERS GENERALLY 373 Local registration of foreign lawyers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 241 374 Duration of registration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 241 375 Local registered foreign lawyer is not officer of Supreme Court . . . . . . . . . 242 PART 4--APPLICATION FOR GRANT OR RENEWAL OF LOCAL REGISTRATION 376 Application for grant or renewal of registration . . . . . . . . . . . . . . . . . . . . . . 242 377 Manner of application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 242 378 Requirements regarding applications for the grant or renewal of registration ............................................. 243 PART 5--GRANT OR RENEWAL OF LOCAL REGISTRATION 379 Grant or renewal of local registration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 245 380 Requirement to grant or renew registration if criteria satisfied . . . . . . . . . . . 246 381 Refusal to grant or renew registration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 247 PART 6--AMENDMENT, CANCELLATION OR SUSPENSION OF LOCAL REGISTRATION 382 Application of ch 5, pt 6 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 248 383 Grounds for amending, cancelling or suspending registration . . . . . . . . . . . 249 384 Amending, cancelling or suspending registration . . . . . . . . . . . . . . . . . . . . . 249 385 Operation of amendment, cancellation or suspension of registration . . . . . . 251 386 Other ways of amending or cancelling registration. . . . . . . . . . . . . . . . . . . . 251 387 Relationship of this part with ch 3. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 252

18 Legal Profession Bill 2004 PART 7--SPECIAL POWERS IN RELATION TO LOCAL REGISTRATION 388 Applicant for local registration if show cause event happened after first registration as overseas-registered foreign lawyer . . . . . . . . . . . . . . . . . . . . 252 389 Requirement if show cause event . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 253 390 Refusal, cancellation or suspension of local registration--failure to show cause ................................................... 253 391 Restriction on making further applications . . . . . . . . . . . . . . . . . . . . . . . . . . 254 392 Relationship of this part with chs 3 and 7 . . . . . . . . . . . . . . . . . . . . . . . . . . . 255 PART 8--FURTHER PROVISIONS RELATING TO LOCAL REGISTRATION 393 Immediate suspension of registration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 255 394 Surrender of local registration certificate and cancellation of registration . . 256 395 Automatic cancellation of registration on grant of practising certificate . . . 257 396 Cancellation or suspension of registration not to affect disciplinary processes ............................................... 257 397 Return of local registration certificate on amendment, suspension or cancellation of registration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 257 PART 9--CONDITIONS ON REGISTRATION 398 Conditions generally . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 258 399 Conditions imposed by law society. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 258 400 Statutory condition regarding notification of offence . . . . . . . . . . . . . . . . . . 258 401 Conditions imposed by regulation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 259 402 Compliance with conditions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 259 PART 10--INTERSTATE-REGISTERED FOREIGN LAWYERS 403 Extent of entitlement of interstate-registered foreign lawyer to practise in this jurisdiction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 260 404 Additional conditions on practice of interstate-registered foreign lawyers. . 260 PART 11--MISCELLANEOUS 405 Consideration and investigation of applicants and holders . . . . . . . . . . . . . . 261 406 Register of locally-registered foreign lawyers. . . . . . . . . . . . . . . . . . . . . . . . 262 407 Publication of information about locally-registered foreign lawyers . . . . . . 262 408 Supreme Court orders about conditions . . . . . . . . . . . . . . . . . . . . . . . . . . . . 262 409 Exemption by law society . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 262 410 Membership of professional association . . . . . . . . . . . . . . . . . . . . . . . . . . . . 263

19 Legal Profession Bill 2004 411 Refund of fees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 263 CHAPTER 6--ESTABLISHMENT OF ENTITIES FOR THIS ACT, AND RELATED MATTERS PART 1--LEGAL SERVICES COMMISSIONER Division 1--Preliminary 412 Main purposes of ch 6, pt 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 263 Division 2--Appointment 413 Legal Services Commissioner . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 264 414 Appointment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 264 415 Term of appointment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 264 416 Remuneration and conditions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 264 417 Acting commissioner. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 265 418 Termination of appointment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 265 419 Resignation of commissioner . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 265 Division 3--Functions 420 Functions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 266 Division 4--Legal Services Commission 421 Establishment of commission . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 266 422 Staff and other resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 266 423 Preservation of rights if public service officer appointed or engaged . . . . . . 267 424 Preservation of rights if person becomes public service officer . . . . . . . . . . 267 425 Preservation of rights if public service officer seconded. . . . . . . . . . . . . . . . 267 Division 5--Miscellaneous matters about the commissioner 426 Delegation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 268 427 Arrangements with regulatory authority about copies of documents . . . . . . 268 PART 2--DISCIPLINARY TRIBUNAL Division 1--Preliminary 428 Main purpose of ch 6, pt 2. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 269 Division 2--Establishment of Legal Practice Tribunal and related matters 429 Establishment, members and chairperson of tribunal . . . . . . . . . . . . . . . . . . 269 430 Way tribunal is to operate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 269 431 Jurisdiction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 269

20 Legal Profession Bill 2004 432 Powers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 269 433 Rule-making power . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 270 434 Practice directions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 270 435 Registrar . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 270 436 Tribunal's seal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 270 Division 3--Panels, members of panels and related matters 437 Establishment of panels for helping the tribunal. . . . . . . . . . . . . . . . . . . . . . 271 438 Appointment of panel member . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 271 439 Remuneration and appointment conditions of panel members . . . . . . . . . . . 272 440 Termination of appointment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 272 441 Resignation of members . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 273 Division 4--Role of tribunal members and panel members 442 Role of members . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 273 443 Disclosure of interests . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 273 Division 5--Constitution of tribunal for hearings 444 Constitution of tribunal for hearing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 274 Division 6--Other provisions 445 Institution of proceedings by the commissioner . . . . . . . . . . . . . . . . . . . . . . 275 446 Contempt of tribunal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 275 447 Conduct that is contempt and an offence . . . . . . . . . . . . . . . . . . . . . . . . . . . 275 448 Protection of members etc. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 275 PART 3--LEGAL PRACTICE COMMITTEE Division 1--Preliminary 449 Main purpose of ch 6, pt 3. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 276 450 Definitions for ch 6, pt 3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 276 Division 2--Establishment, membership of committee, functions and powers 451 Establishment of committee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 276 452 Committee members . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 276 453 Term of appointment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 277 454 Functions and powers of committee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 277 455 Administrative support . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 277

21 Legal Profession Bill 2004 Division 3--Provisions about committee members 456 Eligibility for membership . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 277 457 Termination of office . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 278 458 Resignation of committee member . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 278 459 Deputy chairperson . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 278 460 Remuneration and allowances of lay members . . . . . . . . . . . . . . . . . . . . . . . 279 Division 4--Provisions about committee performing advisory functions 461 Application of ch 6, pt 3, div 4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 279 462 Conduct of business. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 279 463 Time and place of meeting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 279 464 Quorum . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 279 465 Presiding at meetings. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 279 466 Conduct of meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 280 467 Minutes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 280 468 Disclosure of interests . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 281 Division 5--Provisions applying to committee for hearings 469 Constitution of committee for hearing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 282 470 Conduct of committee for hearing and deciding discipline applications . . . 282 471 Disclosure of interests . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 283 472 Protection of members etc. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 283 PART 4--PROVISIONS APPLYING TO EACH DISCIPLINARY BODY Division 1--Parties to proceedings 473 Parties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 284 Division 2--Conduct of proceedings 474 Public hearings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 285 475 Procedure for hearing by a disciplinary body . . . . . . . . . . . . . . . . . . . . . . . . 285 476 Recording evidence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 285 477 Disciplinary body may proceed in absence of party or may adjourn hearing 286 478 Matter may be decided on affidavit evidence . . . . . . . . . . . . . . . . . . . . . . . . 286 479 Standard of proof. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 286 480 Prohibited publication about hearing of a disciplinary application. . . . . . . . 287

22 Legal Profession Bill 2004 Division 3--Powers of disciplinary body 481 Power to disregard procedural lapses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 287 482 Directions for hearings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 288 483 Attendance notice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 288 484 Authentication of documents. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 289 Division 4--Offences 485 False or misleading information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 289 486 False or misleading documents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 290 PART 5--LEGAL PRACTITIONERS ADMISSIONS BOARD Division 1--Preliminary 487 Main purpose of ch 6, pt 5. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 290 488 Definitions for ch 6, pt 5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 290 Division 2--Establishment and membership of board 489 Establishment of board . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 291 490 Members of board . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 291 Division 3--Board's functions and powers 491 Functions and powers of board . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 291 492 Administrative support of the board . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 292 Division 4--Provisions about board members 493 Term of appointment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 292 494 Chairperson and deputy chairperson . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 292 495 Eligibility for membership . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 292 496 Termination of appointment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 292 497 Resignation of board member . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 293 Division 5--Board business 498 Conduct of business. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 293 499 Times and places of meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 293 500 Quorum . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 294 501 Presiding at meetings. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 294 502 Conduct of meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 294 503 Minutes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 295 504 Disclosure of interests . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 295

23 Legal Profession Bill 2004 Division 6--Miscellaneous 505 Application of particular Acts to board . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 296 PART 6--QUEENSLAND LAW SOCIETY INCORPORATED Division 1--Preliminary 506 Purposes of ch 6, pt 6 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 296 507 Definitions for ch 6, pt 6 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 297 Division 2--Constitution and related matters about the law society 508 Establishment of Queensland Law Society . . . . . . . . . . . . . . . . . . . . . . . . . . 297 509 Functions of the law society . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 298 510 General powers of the law society. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 298 511 Status of the law society because of its establishment in Act . . . . . . . . . . . . 298 512 Delegation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 299 Division 3--Membership of law society 513 Membership of law society . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 299 Division 4--Council and its membership and officers of the law society 514 Council of the law society . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 300 515 President, deputy president and vice-president of the law society . . . . . . . . 301 516 Dealing with casual vacancy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 301 517 No defect because of vacancy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 301 518 Secretary and other staff of the law society. . . . . . . . . . . . . . . . . . . . . . . . . . 301 Division 5--Council meetings 519 Conduct of business at meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 302 520 Presiding at meetings. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 302 521 Quorum . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 302 522 Conduct of council meetings. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 302 523 Minutes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 303 524 Disclosure of interest. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 303 Division 6--Law society may make rule 525 Rule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 304 526 Notice by Minister about law society making a rule. . . . . . . . . . . . . . . . . . . 305 527 Availability of a society rule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 305

24 Legal Profession Bill 2004 Division 7--Miscellaneous 528 Starting proceedings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 305 529 Recovery of unpaid amount. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 306 CHAPTER 7--SUITABILITY REPORTS AND INVESTIGATIONS PART 1--SUITABILITY REPORTS Division 1--Preliminary 530 Main purpose of ch 7, pt 1. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 306 531 Definitions for ch 7, pt 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 306 Division 2--Police reports 532 Relevant authority may ask for police report . . . . . . . . . . . . . . . . . . . . . . . . 307 Division 3--Health assessments 533 Health assessment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 308 534 Appointment of health assessor. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 309 535 Health assessment report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 309 536 Payment for health assessment and report . . . . . . . . . . . . . . . . . . . . . . . . . . 310 537 Use of health assessment report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 310 Division 4--General 538 Confidentiality of suitability report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 311 539 Operation of ch 7, pt 1. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 312 PART 2--INVESTIGATORS AND THEIR POWERS Division 1--Preliminary 540 Main purpose of ch 7, pt 2. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 313 541 Definitions for ch 7, pt 2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 313 Division 2--Investigators 542 Appointment, qualifications etc. of investigators . . . . . . . . . . . . . . . . . . . . . 313 543 Appointment conditions and limit on powers . . . . . . . . . . . . . . . . . . . . . . . . 314 544 Issue of identity card . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 314 545 Production or display of identity card . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 315 546 When investigator ceases to hold office . . . . . . . . . . . . . . . . . . . . . . . . . . . . 315 547 Resignation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 316 548 Return of identity card. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 316

25 Legal Profession Bill 2004 Division 3--Entry to places 549 Power to enter places. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 316 550 Entry with consent. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 317 551 Application for warrant . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 318 552 Issue of warrant . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 318 553 Application by electronic communication and duplicate warrant. . . . . . . . . 319 554 Defect in relation to a warrant . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 321 555 Warrants--procedure before entry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 321 Division 4--Powers of investigators after entry 556 General powers of investigator after entering places . . . . . . . . . . . . . . . . . . 322 557 Power to require reasonable help or information . . . . . . . . . . . . . . . . . . . . . 322 Division 5--Power of investigators to seize evidence 558 Seizing evidence at place entered under s 549 . . . . . . . . . . . . . . . . . . . . . . . 323 559 Securing seized things . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 324 560 Tampering with seized things . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 324 561 Powers to support seizure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 324 562 Receipt for seized things . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 325 563 Forfeiture of seized things . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 325 564 Dealing with forfeited things etc. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 326 565 Return of seized things . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 326 566 Access to seized things . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 326 Division 6--General enforcement matters 567 Notice of damage. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 326 568 Compensation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 327 569 False or misleading information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 328 570 False or misleading documents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 328 571 Obstructing investigators. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 328 572 Impersonation of investigators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 329 Division 7--Provisions about investigations relating to incorporated legal practices 573 Definition for ch 7, pt 2, div 7 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 329 574 Application of division to audits and investigations . . . . . . . . . . . . . . . . . . . 329 575 Examination of persons . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 330

26 Legal Profession Bill 2004 576 Inspection of books . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 331 577 Power to hold hearings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 332 578 Failure to comply with investigation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 332 CHAPTER 8--MISCELLANEOUS MATTERS PART 1--JURISDICTION OF THE SUPREME COURT 579 Inherent jurisdiction of Supreme Court. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 333 580 Jurisdiction of Supreme Court. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 333 581 Injunctions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 334 582 Hearing and deciding particular action without a jury . . . . . . . . . . . . . . . . . 335 PART 2--SUSPECTED OFFENCES, PARTICULAR ASSOCIATES AND OTHER MATTERS 583 Duty of relevant entities to report suspected offences. . . . . . . . . . . . . . . . . . 335 584 Associate who is proscribed person or has been convicted of serious offence etc. ........................................... 337 585 Executive officers must ensure corporation complies with Act. . . . . . . . . . . 339 586 Offences are summary offences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 340 587 Limitation on time for starting summary proceeding . . . . . . . . . . . . . . . . . . 340 588 Appointments and authority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 340 589 Signatures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 340 590 Evidentiary aids--documents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 341 PART 3--OTHER MATTERS 591 Information sharing among entities with functions under Act . . . . . . . . . . . 341 592 Offence of improper disclosure of information. . . . . . . . . . . . . . . . . . . . . . . 342 593 Protection from liability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 343 594 Approved forms. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 344 595 Regulation-making power . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 345 PART 4--AMENDMENT OF ACTS 596 Acts amended in sch 1. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 346 PART 5--TRANSITIONAL, SAVINGS AND REPEAL PROVISIONS Division 1--Definitions for ch 8, pt 5 597 Definitions for ch 8, pt 5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 346

27 Legal Profession Bill 2004 Division 2--Transitional provisions relating to ch 2, pt 2 (Reservation of legal work and related matters) 598 Act or omission that happened before the commencement may be relevant to an offence under ch 2, pt 2 ................................ 347 599 Offences committed before the commencement . . . . . . . . . . . . . . . . . . . . . . 347 Division 3--Transitional provisions relating to ch 2, pt 3 (Admission of legal practitioners) 600 Application for admission made before commencement but not heard by Supreme Court before commencement ...................... 348 601 References in other Acts to applicant for admission as a barrister or as a solicitor ............................................... 349 Division 4--Transitional provisions relating to ch 2, pt 4 (Legal Practice by Australian legal practitioners) 602 Purpose of div 4. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 349 603 Actions before commencement that continue to have effect. . . . . . . . . . . . . 349 604 Applications to law society outstanding at the commencement . . . . . . . . . . 351 605 Barristers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 351 606 Professional indemnity insurance as mentioned in s 50(3) . . . . . . . . . . . . . . 352 Division 5--Transitional provisions relating to ch 2, pt 7 (Fidelity cover) 607 Amounts payable to and from the fidelity fund before commencement . . . . 353 608 Delegation to committee of management before commencement . . . . . . . . 353 609 Claims for acts or omissions happening before commencement . . . . . . . . . 353 Division 6--Transitional provisions relating to ch 2, pt 9 (Rules about those who may engage in legal practice in this jurisdiction) 610 Continuation of rules of the law society . . . . . . . . . . . . . . . . . . . . . . . . . . . . 354 611 Bar association rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 355 Division 7--Transitional provisions relating to ch 3 (Complaints, investigation matters and discipline) 612 Complaints made to the council before commencement but not finally dealt with before that time. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 356 613 Complaints made to the legal ombudsman before commencement but not finally dealt with before that time . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 357 614 Basis of complaint mentioned in ss 256 or 613(2) . . . . . . . . . . . . . . . . . . . . 357 Division 8--Transitional provisions relating to matters that are to continue as external interventions under ch 4 (External intervention) 615 Continuation of appointment under the Queensland Law Society Act, repealed pt 2C to continue as appointment under ch 4 . . . . . . . . . . . . . . . . . 358

28 Legal Profession Bill 2004 Division 9--Transitional provisions relating to ch 6 generally (Establishment of entities for this Act, and related matters) 616 Records of Solicitors' Board and Barristers' Board . . . . . . . . . . . . . . . . . . . 359 617 Provisions that require person to be barrister at commencement for particular reasons. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 360 Division 10--Transitional provisions relating to ch 6 (Establishment of entities for this Act, and related matters), pt 6 (Queensland Law Society Incorporated) 618 Definitions for ch 8, pt 5, div 10 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 360 619 Things done under remade provisions continue to have effect . . . . . . . . . . . 360 620 Re-enacting does not affect legal personality etc. . . . . . . . . . . . . . . . . . . . . . 361 621 Re-enacting does not affect existing legal relationships . . . . . . . . . . . . . . . . 361 622 Powers exercised by law society or council before commencement. . . . . . . 362 623 Membership of the council if no more than 12 members, etc. . . . . . . . . . . . 362 624 Membership of the council if more than 12 members, etc.. . . . . . . . . . . . . . 362 625 Presidential members . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 363 626 Society rule continues to apply to vacation of office. . . . . . . . . . . . . . . . . . . 363 627 Delegation by the law society . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 364 Division 11--Transitional provisions relating to the Legal Practitioners Act 628 Main purposes of ch 8, pt 5, div 11 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 364 629 Amendment and relocation of the Legal Practitioners Act, s 58. . . . . . . . . . 364 630 Effect of relocation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 364 631 Accounts kept by society under the Legal Practitioners Act, s 51 . . . . . . . . 365 632 Repeal of remaining provisions of Legal Practitioners Act. . . . . . . . . . . . . . 365 633 References to Legal Practitioners Act and related matters . . . . . . . . . . . . . . 365 634 References to other Acts etc. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 366 635 Appeals under Legal Practitioners Act . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 366 Division 12--Transitional provisions relating to the Queensland Law Society Act 636 Main purposes of ch 8, pt 5, div 12 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 367 637 Repeals relating to solicitors complaints tribunal under Queensland Law Society Act . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 367 638 Repeals relating to legal ombudsman under the Queensland Law Society Act .................................................... 368

29 Legal Profession Bill 2004 639 Report by the commissioner for 2003-2004 financial year . . . . . . . . . . . . . . 368 640 Further amendment of Queensland Law Society Act . . . . . . . . . . . . . . . . . . 368 Division 13--Transitional provisions for, and repeal of, the Legal Profession Act 2003 641 Transitional provisions relating to appointment of Legal Services Commissioner under the Legal Profession Act 2003 . . . . . . . . . . . . . . . . . . 369 642 Repeal of Legal Profession Act 2003 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 369 Division 14--Regulation-making power for transitional purposes 643 Transitional regulation-making power . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 369 SCHEDULE 1 . . . . . . . . . . . . . . . . . . . . . . . . 370 ACTS AMENDED ACTS INTERPRETATION ACT 1954 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 370 BAIL ACT 1980 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 370 CRIMINAL LAW (REHABILITATION OF OFFENDERS) ACT 1986 . . . 370 DIRECTOR OF PUBLIC PROSECUTIONS ACT 1984 . . . . . . . . . . . . . . . 371 DISTRICT COURT OF QUEENSLAND ACT 1967. . . . . . . . . . . . . . . . . . 372 JUSTICES ACT 1886 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 374 JUSTICES OF THE PEACE AND COMMISSIONERS FOR DECLARATIONS ACT 1991. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 378 JUVENILE JUSTICE ACT 1992 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 378 LAND SALES ACT 1984. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 379 LAND TITLE ACT 1994 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 380 LEGAL AID QUEENSLAND ACT 1997 . . . . . . . . . . . . . . . . . . . . . . . . . . 382 MAGISTRATES COURTS ACT 1921 . . . . . . . . . . . . . . . . . . . . . . . . . . . . 386 PROPERTY AGENTS AND MOTOR DEALERS ACT 2000 . . . . . . . . . . 387 RETAIL SHOP LEASES ACT 1994 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 388 SUPREME COURT ACT 1995 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 388 SUPREME COURT LIBRARY ACT 1968 . . . . . . . . . . . . . . . . . . . . . . . . . 392 SUPREME COURT OF QUEENSLAND ACT 1991 . . . . . . . . . . . . . . . . . 393 TRUST ACCOUNTS ACT 1973 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 394 SCHEDULE 2 . . . . . . . . . . . . . . . . . . . . . . . . 399 AMENDMENTS OF LEGAL PRACTITIONERS ACT 1995, SECTION 58 SCHEDULE 3 . . . . . . . . . . . . . . . . . . . . . . . . 401

30 Legal Profession Bill 2004 LEGAL PRACTITIONERS ACT 1995, SECTION 58 AS AMENDED AND RELOCATED SCHEDULE 4 . . . . . . . . . . . . . . . . . . . . . . . . 402 AMENDMENT OF QUEENSLAND LAW SOCIETY ACT 1952 SCHEDULE 5 . . . . . . . . . . . . . . . . . . . . . . . . 412 DICTIONARY

2004 A BILL FOR An Act to provide for admission to, and the regulation of, the legal profession, and for entities involving members of the legal profession, and for other purposes

s1 32 s3 Legal Profession Bill 2004 The Parliament of Queensland enacts-- 1 CHAPTER 1--INTRODUCTION 2 PART 1--PRELIMINARY 3 1 Short title 4 This Act may be cited as the Legal Profession Act 2004. 5 2 Commencement 6 (1) Section 610(6) commences on the date of assent. 1 7 (2) The remaining provisions of this Act commence on a day to be fixed 8 by proclamation. 9 3 Main purposes of this Act 10 The main purposes of this Act are as follows-- 11 (a) to promote the administration of justice; 12 (b) to provide for the protection of consumers of legal services and 13 the public generally; 14 (c) to regulate legal practice in this jurisdiction, including the 15 practice of foreign law by foreign lawyers; 16 (d) to facilitate the regulation of legal practice on a national basis. 17 1 Section 610 (Continuation of rules of the law society)

s4 33 s6 Legal Profession Bill 2004 PART 2--INTERPRETATION 1 Division 1--Dictionary 2 4 Definitions 3 The dictionary in schedule 5 defines particular words used in this Act. 4 Division 2--Meaning of particular terms involving a legal title and 5 related matters 6 5 Meaning of terms involving lawyer 7 (1) An "Australian lawyer" is a person admitted under this Act as a 8 legal practitioner or admitted to the legal profession of another jurisdiction 9 under a corresponding law. 10 (2) A "local lawyer" is a person admitted under this Act as a legal 11 practitioner, whether or not the person is also admitted to the legal 12 profession of another jurisdiction under a corresponding law. 13 (3) An "interstate lawyer" is a person who is admitted to the legal 14 profession of another jurisdiction under a corresponding law, but is not 15 admitted under this Act as a legal practitioner. 16 6 Meaning of terms involving legal practitioner 17 (1) An "Australian legal practitioner" is an Australian lawyer who 18 holds a current local practising certificate or a current interstate practising 19 certificate. 20 (2) A "local legal practitioner" is an Australian lawyer who holds a 21 current local practising certificate. 22 (3) An "interstate legal practitioner" is an Australian lawyer who 23 holds a current interstate practising certificate, but does not hold a current 24 local practising certificate. 25

s7 34 s7 Legal Profession Bill 2004 7 Application to Australian lawyers and Australian legal 1 practitioners 2 (1) If an entity may exercise a power under this Act in relation to an 3 Australian lawyer, the entity may only exercise the power in relation to a 4 person who is-- 5 (a) a local lawyer or local legal practitioner; or 6 (b) an interstate lawyer or interstate legal practitioner, who is 7 engaged in, or proposes to engage in, legal practice in this 8 jurisdiction. 9 (2) If an entity may exercise a power under this Act in relation to an 10 Australian legal practitioner, the entity may only exercise the power in 11 relation to a person who is-- 12 (a) a local legal practitioner; or 13 (b) an interstate legal practitioner who is engaged in, or proposes to 14 engage in, legal practice in this jurisdiction. 15 (3) If the power that may be exercised under subsection (1) or (2) relates 16 to a person's previous act or omission, the power may also be exercised in 17 relation to a person who, at the time of the previous act or omission, was a 18 local lawyer, local legal practitioner or interstate legal practitioner engaged 19 in legal practice in this jurisdiction. 20 (4) Subsections (1) to (3) are subject to a provision that, other than as 21 mentioned in those subsections-- 22 (a) provides for the exercise of a power in relation to persons; or 23 (b) states the persons to whom the provision applies. 24 25 Example for subsection (4)-- 26 Section 248 states the persons to whom chapter 3 applies. (5) This section does not limit the Acts Interpretation Act 1954, 27 section 9.2 28 2 Acts Interpretation Act 1954, section 9 (Act to be interpreted not to exceed Parliament's legislative power)

s8 35 s 10 Legal Profession Bill 2004 8 Meaning of "barrister" 1 A "barrister" is-- 2 (a) a local legal practitioner who holds a current local practising 3 certificate to practise as a barrister granted or renewed by the bar 4 association; or 5 (b) an interstate legal practitioner who holds a current interstate 6 practising certificate that entitles the certificate holder to practise 7 only as a barrister or in the manner of a barrister. 8 9 Meaning of "solicitor" 9 A "solicitor" is-- 10 (a) a local legal practitioner who holds a current local practising 11 certificate to practise as a solicitor granted or renewed by the law 12 society; or 13 (b) an interstate legal practitioner who holds a current interstate 14 practising certificate that is not subject to a condition that allows 15 the legal practitioner to practise only as a barrister or in the 16 manner of a barrister. 17 10 Meaning of "government legal officer" and related matters 18 (1) A "government legal officer" is a person whose employment or 19 appointment in any of the following includes or may include engaging in 20 legal practice-- 21 (a) a department of this jurisdiction, the commission, or an agency 22 prescribed under a regulation for this paragraph; 23 (b) a department of government of the Commonwealth; 24 (c) a department of government of another jurisdiction; 25 (d) an agency of another jurisdiction if, under a corresponding law of 26 that jurisdiction, a person engaging in legal practice for the 27 agency is exempted from holding a practising certificate or 28 otherwise does not require a practising certificate. 29 (2) A government legal officer is "engaged in government work" when 30 the government legal officer is engaged in legal practice for the entity in 31 relation to which the person is an employee or appointee. 32

s 11 36 s 11 Legal Profession Bill 2004 (3) However, for an agency prescribed for subsection (1)(a), a regulation 1 may specify activities that are, or are not, government work. 2 (4) If a provision under a relevant law does not apply to a government 3 legal officer engaged in government work, the provision applies to the 4 person who is the government legal officer if the person is engaging in legal 5 practice other than being engaged in government work. 6 (5) If a government legal officer holds a practising certificate from the 7 bar association, a condition of the barrister's practising certificate about 8 only practising as a barrister does not apply to the government legal officer 9 to the extent that the government legal officer practises as a solicitor as part 10 of engaging in government work. 11 (6) A government legal officer who is an Australian lawyer does not 12 have any less rights, privileges, protections or immunities than an 13 Australian lawyer who is not a government legal officer. 14 (7) A government legal officer who is not an Australian lawyer is subject 15 to the same limitations and obligations to which a government legal officer 16 who is an Australian lawyer is subject. 17 (8) The provisions of a relevant law about the fidelity fund do not apply 18 to a government legal officer in his or her capacity as a government legal 19 officer engaged in government work even if the government legal officer is 20 the holder of a practising certificate. 21 (9) For a person whose employment or appointment in a department of 22 government of the Commonwealth includes or may include engaging in 23 legal practice as mentioned in subsection (1)(b), this Act is subject to the 24 Judiciary Act 1903 (Cwlth). 25 11 Meaning of "associate" and "principal" and related matters 26 (1) An "associate", of a law practice, is-- 27 (a) an Australian legal practitioner who is-- 28 (i) a sole practitioner if the law practice is constituted by the 29 practitioner; or 30 (ii) a partner in the law practice if the law practice is a law firm; 31 or 32 (iii) a legal practitioner director if the law practice is an 33 incorporated legal practice; or 34

s 12 37 s 12 Legal Profession Bill 2004 (iv) a legal practitioner partner in the law practice if the law 1 practice is a multi-disciplinary partnership; or 2 (v) an employee of the law practice; or 3 (b) an agent of the law practice who is not an Australian legal 4 practitioner; or 5 (c) an employee of the law practice who is not an Australian legal 6 practitioner; or 7 (d) an Australian-registered foreign lawyer who is a partner in the 8 law practice; or 9 (e) an Australian-registered foreign lawyer who has a relationship 10 with the law practice, being a relationship that is of a class 11 prescribed under a regulation. 12 (2) A "legal practitioner associate", of a law practice, is an associate of 13 the practice who is an Australian legal practitioner. 14 (3) A "lay associate", of a law practice, is an associate of the practice 15 who is not an Australian legal practitioner. 16 (4) A "principal", of a law practice, is an Australian legal practitioner 17 who is-- 18 (a) a sole practitioner if the law practice is constituted by the 19 practitioner; or 20 (b) a partner in the law practice if the law practice is a law firm; or 21 (c) a legal practitioner director if the law practice is an incorporated 22 legal practice; or 23 (d) a legal practitioner partner if the law practice is a 24 multi-disciplinary partnership. 25 Division 3--Meaning of other terms for this Act 26 12 Meaning of "home jurisdiction" 27 (1) The "home jurisdiction", for an Australian legal practitioner, is the 28 jurisdiction in which the legal practitioner's only or most recent current 29 Australian practising certificate was granted. 30

s 13 38 s 13 Legal Profession Bill 2004 (2) The "home jurisdiction", for an Australian-registered foreign 1 lawyer, is the jurisdiction in which the foreign lawyer's only or most recent 2 current registration was granted. 3 (3) The "home jurisdiction", for an associate of a law practice who is 4 neither an Australian legal practitioner nor an Australian-registered foreign 5 lawyer, is-- 6 (a) if only 1 jurisdiction is the home jurisdiction for the only 7 associate of the law practice who is an Australian legal 8 practitioner or for all the associates of the law practice who are 9 Australian legal practitioners--that jurisdiction; or 10 (b) if no 1 jurisdiction is the home jurisdiction for all the associates 11 of the law practice who are Australian legal practitioners-- 12 (i) the jurisdiction in which the office is situated at which the 13 associate performs most of his or her duties for the law 14 practice; or 15 (ii) if a jurisdiction can not be decided under 16 subparagraph (i)--the jurisdiction in which the associate is 17 enrolled under a law of the jurisdiction to vote at elections 18 for that jurisdiction; or 19 (iii) if a jurisdiction can not be decided under either 20 subparagraph (i) or (ii)--the jurisdiction decided under 21 criteria prescribed under a regulation. 22 13 Meaning of "suitability matter" 23 (1) Each of the following is a "suitability matter" in relation to a 24 person-- 25 (a) whether the person is currently of good fame and character; 26 (b) whether the person is or has been an insolvent under 27 administration; 28 (c) whether the person has been convicted of an offence in Australia 29 or a foreign country, and if so-- 30 (i) the nature of the offence; and 31 (ii) how long ago the offence was committed; and 32 (iii) the person's age when the offence was committed; 33 (d) whether the person engaged in legal practice in Australia-- 34

s 13 39 s 13 Legal Profession Bill 2004 (i) when not admitted, or not holding a practising certificate, as 1 required under a relevant law or a corresponding law; or 2 (ii) if admitted, in contravention of a condition on which 3 admission was granted; or 4 (iii) while the person's practising certificate is or was suspended 5 or in contravention of a condition applicable to the 6 certificate; 7 (e) whether the person has practised law in a foreign country-- 8 (i) when not permitted under a law of that country to do so; or 9 (ii) if permitted to do so, in contravention of a condition 10 applicable to the permission; 11 (f) whether the person is currently subject to an unresolved 12 complaint, investigation, charge or order under a relevant law, 13 corresponding law or corresponding foreign law; 14 (g) whether the person-- 15 (i) is the subject of current disciplinary action, however 16 expressed, in another profession or occupation in Australia 17 or a foreign country; or 18 (ii) has been the subject of disciplinary action, however 19 expressed, relating to the other profession or occupation that 20 involved a finding of guilt; 21 (h) whether the person's name has been removed from-- 22 (i) the local roll, including the roll of barristers and roll of 23 solicitors, but has not since been restored to or entered on a 24 local roll, including the roll of barristers and roll of 25 solicitors; or 26 (ii) an interstate roll, but has not since been restored to or 27 entered on an interstate roll; or 28 (iii) a foreign roll; 29 (i) whether the person's right to engage in legal practice has been 30 cancelled or suspended in Australia or a foreign country; 31 (j) whether the person has contravened, in Australia or a foreign 32 country, a law about trust money or trust accounts; 33 (k) whether, under a relevant law, a law of the Commonwealth or a 34 corresponding law, a supervisor, manager or receiver, however 35

s 14 40 s 15 Legal Profession Bill 2004 described, is or has been appointed for a law practice engaged in 1 by the person; 2 (l) whether the person is or has been subject to an order under a 3 relevant law, a law of the Commonwealth or a corresponding law, 4 disqualifying the applicant from being employed by, or a partner 5 of, an Australian legal practitioner or from managing a 6 corporation that is an incorporated legal practice; 7 (m) whether the person currently has a material physical or mental 8 infirmity. 9 (2) A matter mentioned in subsection (1) is a suitability matter for a 10 person even if it happened before the commencement of this section, 11 except if the provision in subsection (1) about the matter refers to the 12 current situation in relation to the person. 13 14 Meaning of "serious offence" 14 A "serious offence" is an offence whether committed in or outside this 15 jurisdiction that is-- 16 (a) an indictable offence against an Act, or against a law of the 17 Commonwealth or another jurisdiction, whether or not the 18 offence is or may be dealt with summarily; or 19 (b) an offence against a law of another jurisdiction that would be an 20 indictable offence against an Act if committed in this 21 jurisdiction, whether or not the offence could be dealt with 22 summarily if committed in this jurisdiction; or 23 (c) an offence against a law of a foreign country that would be an 24 indictable offence against a law of the Commonwealth, or an Act 25 if committed in this jurisdiction, whether or not the offence could 26 be dealt with summarily if committed in this jurisdiction. 27 15 Meaning of "conviction" and "quashing a conviction" 28 (1) A "conviction", for an offence, includes either of the following 29 whether or not a conviction is recorded on sentence-- 30 (a) a finding of guilt; 31 (b) the acceptance of a guilty plea. 32

s 16 41 s 16 Legal Profession Bill 2004 (2) Without limiting subsection (1), "quashing a conviction", for an 1 offence-- 2 (a) includes quashing-- 3 (i) a finding of guilt for the offence; or 4 (ii) the acceptance of a guilty plea for the offence; and 5 (b) does not include quashing a conviction if-- 6 (i) a finding of guilt in relation to the offence remains 7 unaffected; or 8 (ii) the acceptance of a guilty plea in relation to the offence 9 remains unaffected. 10 (3) A conviction includes a conviction before the commencement of this 11 section. 12 13 Note-- 14 See also the Criminal Law (Rehabilitation of Offenders) Act 1986, section 9A, table, 15 items 24 and 25. 16 Meaning of "information notice" 16 (1) An "information notice" is a written notice to a person about a 17 decision relating to the person stating-- 18 (a) the decision; and 19 (b) the reasons for the decision; and 20 (c) whether or not the person may appeal under this Act against the 21 decision to a stated court or entity; and 22 (d) if the person may appeal under this Act, the day by which the 23 appeal must be started. 24 (2) A provision under this Act may provide that an information notice for 25 the purposes of the provision must include other stated information. 26 (3) If a person may appeal within a number of days after the day an 27 information notice is given to the person, a defect in the notice does not 28 affect the person's right to appeal in relation to the matters dealt with in the 29 information notice. 30

s 17 42 s 20 Legal Profession Bill 2004 Division 4--Other matters relating to interpretation 1 17 Notes in text 2 A note in the text of this Act is part of this Act. 3 18 Timing for doing things 4 If no time is provided or allowed for doing something under this Act, the 5 thing is to be done as soon as practicable, and as often as is required. 6 19 Appeal period for appeal to Supreme Court or tribunal 7 If a provision of this Act provides that a person has a stated number of 8 days to appeal to the Supreme Court or the tribunal (the "appeal period"), 9 the court or tribunal may allow a person who may appeal within the appeal 10 period to appeal after that appeal period if the court or tribunal considers it 11 appropriate having regard to the extent of, and reasons for, the delay. 12 20 Grounds that are reasonable in the circumstances 13 (1) If a person is required, under this Act, to be satisfied or not satisfied 14 of, or have a belief or suspicion about, a particular matter before the person 15 may do or refrain from doing an act, or make a decision, the person must be 16 satisfied or not satisfied or have the belief or suspicion on grounds that are 17 reasonable in the circumstances. 18 (2) If, under this Act, a person who is satisfied or not satisfied of, or has a 19 belief or suspicion about, a particular matter is required to do or refrain 20 from doing an act, or make a decision, the person must be satisfied or not 21 satisfied, or have the belief or suspicion, on grounds that are reasonable in 22 the circumstances. 23 (3) If an entity is required under this Act to consider that a particular 24 matter is appropriate, including, for example, the following entities, before 25 the entity may do or refrain from doing an act or make a decision, the entity 26 must not do or refrain from doing the act, or make the decision, unless the 27 entity considers the particular matter is appropriate on grounds that are 28 reasonable in the circumstances-- 29 (a) a disciplinary body; 30 (b) the board; 31

s 21 43 s 22 Legal Profession Bill 2004 (c) a regulatory authority; 1 (d) the commissioner; 2 (e) an investigator. 3 Division 5--Other relevant matter 4 21 Contravention of provision that is capable of constituting 5 unsatisfactory professional conduct or professional misconduct 6 (1) This section applies if a provision states that a contravention of 7 another provision is capable of constituting unsatisfactory professional 8 conduct or professional misconduct and a penalty is provided for a 9 contravention of that other provision (the "offence provision"). 10 (2) A person may be punished for an offence under the offence provision 11 as well as being dealt with under chapter 33 in relation to the same matter. 12 CHAPTER 2--ENGAGING IN LEGAL PRACTICE 13 OTHER THAN BY AUSTRALIAN-REGISTERED 14 FOREIGN LAWYERS 15 PART 1--PRELIMINARY 16 22 Simplified outline of ch 2 17 Generally, this chapter seeks to achieve the main purposes of this Act by 18 providing that-- 19 (a) legal practice is engaged in only by persons who are properly 20 qualified and hold a current practising certificate; and 21 (b) only persons who are eligible and suitable for admission are 22 admitted under this Act as legal practitioners; and 23 3 Chapter 3 (Complaints, investigation matters and discipline)

s 23 44 s 23 Legal Profession Bill 2004 (c) an Australian lawyer may obtain a local practising certificate 1 from the law society or bar association and become a local legal 2 practitioner; and 3 (d) a corporation may engage in legal practice as an incorporated 4 legal practice while it has a legal practitioner director; and 5 (e) a partnership consisting of at least 1 partner who is not an 6 Australian legal practitioner may engage in providing legal 7 services in this jurisdiction if there is at least 1 legal practitioner 8 partner; and 9 (f) a fund is established and maintained to provide a source of 10 compensation for defaults of law practices; and 11 (g) accounts are to be kept by solicitors and interest payable on those 12 accounts is to be treated in a particular way; and 13 (h) rules about engaging in legal practice are to be made by the 14 Governor in Council after a process involving the law society or 15 bar association; and 16 (i) the regulation of legal practice on a national basis is promoted by 17 providing for inter-jurisdictional provisions regarding admission 18 and practising certificates. 19 PART 2--RESERVATION OF LEGAL WORK AND 20 RELATED MATTERS 21 23 Part does not apply to a person if authorised under a 22 Commonwealth law or a government legal officer 23 (1) This part does not apply to-- 24 (a) a person authorised to engage in legal practice under a law of the 25 Commonwealth; or 26 (b) a government legal officer engaged in government work. 27 (2) However, subsection (1) does not prevent this part applying to a 28 person only because the person has been enrolled as a barrister or solicitor, 29 as a barrister and solicitor or as a legal practitioner, of the High Court of 30 Australia. 31

s 24 45 s 24 Legal Profession Bill 2004 24 Prohibition on engaging in legal practice when not entitled 1 (1) A person must not engage in legal practice in this jurisdiction unless 2 the person is an Australian legal practitioner. 3 Maximum penalty--300 penalty units or 2 years imprisonment. 4 (2) Subsection (1) does not apply to any of the following-- 5 (a) a person who engages in legal practice, or in activities that 6 constitute legal practice in this jurisdiction, under a law of this 7 jurisdiction; 8 (b) an incorporated legal practice engaged in legal practice as 9 authorised under part 5;4 10 (c) an Australian-registered foreign lawyer engaged in the practice 11 of foreign law as authorised under chapter 5;5 12 (d) a person preparing or assisting in the preparation of a will if it is 13 prepared in the course of the person's employment with a trustee 14 company; 15 (e) a person preparing or assisting in the preparation of a contract if 16 it is prepared by a real estate agent for another person; 17 (f) a person engaged in activities that the person is authorised under 18 a regulation for this section to engage in. 19 (3) A person is not entitled to recover any amount for anything the 20 person did in contravention of subsection (1). 21 (4) A person may recover from someone else (the "other person"), as a 22 debt due to the person, any amount the person paid to the other person for 23 anything the other person did in contravention of subsection (1). 24 (5) This section is subject to chapter 2, part 4, division 9.6 25 (6) In this section-- 26 "real estate agent" see the Property Agents and Motor Dealers Act 2000, 27 schedule 2. 28 "trustee company" see the Trustee Companies Act 1968, section 4. 29 4 Part 5 (Legal practice by incorporated legal practices) 5 Chapter 5 (Practice of foreign law by foreign lawyers) 6 Chapter 2 (Engaging in legal practice other than by Australian-registered foreign lawyers), part 4 (Legal practice by Australian legal practitioners), division 9 (Interstate legal practitioners)

s 25 46 s 26 Legal Profession Bill 2004 25 Prohibition on representing or advertising entitlement to engage 1 in legal practice when not entitled 2 (1) A person must not, without a reasonable excuse, represent or 3 advertise that the person is entitled to engage in legal practice unless the 4 person is an Australian legal practitioner. 5 Maximum penalty--300 penalty units or 2 years imprisonment. 6 (2) A director, officer, employee or agent of a body corporate that is not a 7 corporation must not, without a reasonable excuse, represent or advertise 8 that the body corporate is entitled to engage in legal practice. 9 Maximum penalty--300 penalty units or 2 years imprisonment. 10 (3) Subsections (1) and (2) do not apply to a representation or 11 advertisement about a person being entitled to engage in legal practice as 12 mentioned in section 24(2). 13 (4) A reference in this section to representing or advertising that the 14 person is entitled to engage in legal practice includes doing anything that 15 states or implies that the person is entitled to engage in legal practice. 16 (5) This section is subject to chapter 2, part 4, division 9.7 17 26 Part does not affect liability of particular Australian lawyers 18 under ch 3 19 This part does not affect any liability that a person who is an Australian 20 lawyer but not an Australian legal practitioner may have under chapter 3.8 21 7 Chapter 2 (Engaging in legal practice other than by Australian-registered foreign lawyers), part 4 (Legal practice by Australian legal practitioners), division 9 (Interstate legal practitioners) 8 Chapter 3 (Complaints, investigation matters and discipline)

s 27 47 s 29 Legal Profession Bill 2004 PART 3--ADMISSION OF LEGAL PRACTITIONERS 1 Division 1--Preliminary 2 27 Main purpose of ch 2, pt 3 3 The main purpose of this part is to provide for persons who are eligible 4 and suitable for admission to be admitted under this Act as legal 5 practitioners. 6 28 Definitions for ch 2, pt 3 7 In this part-- 8 "admission rules" means the rules under the Supreme Court of 9 Queensland Act 1991, section 118,9 for admission under this Act of 10 legal practitioners and for associated matters. 11 "applicant for admission" means a person who has applied for admission 12 under this Act as a legal practitioner. 13 "Supreme Court", in relation to an exercise of power of the court, 14 means-- 15 (a) if the admission rules provide that the power may be exercised by 16 a single Supreme Court judge--a single Supreme Court judge; or 17 (b) otherwise--the Court of Appeal. 18 Division 2--Eligibility and suitability for admission as legal practitioners 19 29 Eligibility for admission under this Act as a legal practitioner 20 (1) A person is eligible for admission under this Act as a legal 21 practitioner only if the person-- 22 (a) is a natural person aged 18 years or more; and 23 (b) has attained approved academic qualifications or corresponding 24 academic qualifications; and 25 9 Supreme Court of Queensland Act 1991, section 118 (Rule-making power)

s 30 48 s 30 Legal Profession Bill 2004 (c) has satisfactorily completed approved practical legal training 1 requirements or corresponding practical legal training 2 requirements. 3 4 Note-- 5 See also schedule 3 for persons who may be eligible for admission under this Act as 6 legal practitioners. (2) In this section-- 7 "approved academic qualifications" means academic qualifications that 8 are approved under the admission rules for admission under this Act 9 as a legal practitioner. 10 "approved practical legal training requirements" means legal training 11 requirements that are approved under the admission rules for 12 admission under this Act as a legal practitioner. 13 "corresponding academic qualifications" means academic qualifications 14 that would qualify the person for admission to the legal profession in 15 another jurisdiction if the board is satisfied that substantially the same 16 minimum criteria apply for the approval of academic qualifications for 17 admission in the other jurisdiction as apply in this jurisdiction. 18 "corresponding practical legal training requirements" means legal 19 training requirements that would qualify the person for admission to 20 the legal profession in another jurisdiction if the board is satisfied that 21 substantially the same minimum criteria apply for the approval of 22 legal training requirements for admission in the other jurisdiction as 23 apply in this jurisdiction. 24 25 Note-- 26 The board is the Legal Practitioners Admissions Board established under 27 section 489.10 30 Suitability for admission under this Act as a legal practitioner 28 (1) A person is suitable for admission under this Act as a legal 29 practitioner only if the person is a fit and proper person. 30 (2) In deciding if the person is a fit and proper person, the Supreme 31 Court must consider-- 32 10 Section 489 (Establishment of board)

s 31 49 s 33 Legal Profession Bill 2004 (a) each of the suitability matters in relation to the person to the 1 extent a suitability matter is appropriate; and 2 (b) other matters that the court considers relevant. 3 (3) However, the Supreme Court may consider a person suitable for 4 admission under this Act as a legal practitioner despite a suitability matter 5 because of the circumstances relating to the matter. 6 Division 3--Application for admission 7 31 Main purposes of ch 2, pt 3, div 3 8 The main purposes of this division are-- 9 (a) to allow a person who considers himself or herself eligible for 10 admission and suitable for admission to apply to the Supreme 11 Court for admission under this Act as a legal practitioner; and 12 (b) to provide for the board's role in relation to an application for 13 admission under this Act as a legal practitioner. 14 32 Application for admission under this Act as a legal practitioner 15 (1) A person may apply (an "application for admission") to the 16 Supreme Court to be admitted under this Act as a legal practitioner. 17 (2) The application must be made in the approved form and under the 18 admission rules. 19 33 Role of the board relating to application for admission 20 (1) The board's role is to help the Supreme Court by making a 21 recommendation about each application for admission. 22 (2) The board must consider each application and, in particular, whether 23 or not-- 24 (a) the application is made under the admission rules; and 25 (b) the applicant is eligible for admission under this Act as a legal 26 practitioner; and 27

s 34 50 s 34 Legal Profession Bill 2004 (c) the applicant is suitable for admission under this Act as a legal 1 practitioner, including having regard to all suitability matters in 2 relation to the applicant to the extent appropriate; and 3 (d) there are other matters the Supreme Court may consider relevant. 4 (3) As part of considering the application, the board may, by notice to the 5 applicant, require-- 6 (a) the applicant to give it stated documents or information; or 7 (b) the applicant to cooperate with any inquiries by the board that it 8 considers appropriate. 9 (4) An applicant's failure to comply with a notice under subsection (3) 10 by the date stated in, and in the way required by, the notice is a ground for 11 recommending to the Supreme Court that the applicant not be admitted 12 under this Act as a legal practitioner. 13 (5) The board makes a recommendation to the Supreme Court about the 14 application by giving the recommendation to the Brisbane registrar and a 15 copy of it to the applicant. 16 (6) However, if the board considers it appropriate to apply to the 17 Supreme Court for a direction about a matter concerning an application, the 18 board may do so. 19 34 Role of Supreme Court relating to application for admission 20 (1) The Supreme Court must hear and decide each application for 21 admission in the way the court considers appropriate. 22 (2) Without limiting subsection (1), the court may-- 23 (a) if satisfied the applicant for admission is eligible and suitable for 24 admission under this Act as a legal practitioner--make an order 25 admitting the applicant as a legal practitioner; or 26 (b) otherwise--refuse the application. 27 (3) The court's order as mentioned in subsection (2)(a) may be made 28 unconditionally or on conditions the court considers appropriate. 29 (4) In deciding the application, the Supreme Court may rely on a 30 recommendation of the board under section 33. 31 (5) Also, the Supreme Court may hear and decide an application for a 32 direction as mentioned in section 33(6) and give a direction to the board as 33 the court considers appropriate. 34

s 35 51 s 36 Legal Profession Bill 2004 Division 4--Early consideration of suitability 1 35 Main purpose of ch 2, pt 3, div 4 2 The main purpose of this division is to allow a person, including 3 someone undertaking a course of legal studies, to apply for a declaration by 4 the board, or a direction of the Supreme Court, about whether a matter 5 relating to the person, including a suitability matter, may affect a current or 6 future application for admission. 7 36 Early consideration of suitability 8 (1) This section applies if a person considers a matter may adversely 9 affect an assessment of the person's suitability for admission under this Act 10 as a legal practitioner, including, for example, a suitability matter. 11 (2) The person may apply, in the approved form, to the board for a 12 declaration that the matter will not, without more, adversely affect the 13 board's assessment of the person's suitability for admission under this Act 14 as a legal practitioner. 15 (3) The board must consider the application and do 1 of the following-- 16 (a) make the declaration; 17 (b) refer the application to the Supreme Court for a direction if the 18 board considers a direction would be appropriate; 19 (c) refuse to make the declaration. 20 (4) A declaration made under subsection (3)(a), or under a direction 21 mentioned in subsection (3)(b), is binding on the board unless the applicant 22 failed to make a full and fair disclosure of all matters relevant to the 23 declaration sought. 24 (5) If the board decides to refuse to make the declaration sought-- 25 (a) the board must give the applicant an information notice about the 26 refusal; and 27 (b) the applicant may appeal to the Supreme Court against the 28 refusal within 28 days after the day the information notice is 29 given to the applicant. 30

s 37 52 s 39 Legal Profession Bill 2004 37 Involvement of Supreme Court whether by referral or on appeal 1 (1) If an application under section 36(2) is referred to the Supreme Court 2 as mentioned in section 36(3)(b), the court may give a direction to the 3 board as the court considers appropriate. 4 (2) If the applicant appeals to the Supreme Court against the decision of 5 the board to refuse to make the declaration, the appeal is to be by way of 6 rehearing, and fresh evidence or evidence in addition to or in substitution 7 for the evidence before the board may be given on the appeal. 8 (3) On an appeal under this section, the Supreme Court may make an 9 order as it considers appropriate. 10 Division 5--Roll of legal practitioners 11 38 Roll of legal practitioners 12 (1) The Supreme Court must keep a roll of legal practitioners (the "local 13 roll"). 14 (2) The local roll must include the roll of barristers, and the roll of 15 solicitors, as kept by the Supreme Court and as in existence immediately 16 before the commencement of this section. 17 (3) After the Supreme Court makes an order admitting a person as a legal 18 practitioner-- 19 (a) the registrar for the Supreme Court district at which the Supreme 20 Court is sitting must, under the admission rules, enter the 21 person's name on the local roll; and 22 (b) the person must sign the local roll. 23 (4) The person's admission under this Act as a legal practitioner takes 24 effect when the person signs the local roll. 25 39 Local legal practitioner is officer of Supreme Court 26 (1) A person becomes an officer of the Supreme Court on being admitted 27 under this Act as a legal practitioner. 28 (2) A person who immediately before the commencement of this section 29 was an officer of the Supreme Court, because of the person's admission as 30 a barrister or solicitor, continues to be an officer of that court. 31

s 40 53 s 43 Legal Profession Bill 2004 Division 6--Miscellaneous 1 40 Conditional admission 2 (1) This section applies to a person admitted under this Act as a legal 3 practitioner if-- 4 (a) the person's admission was subject to a condition, whether or not 5 the condition has been amended since it was imposed; and 6 (b) the condition as imposed or amended has not lapsed or been 7 revoked. 8 (2) The Supreme Court may do any of the following in relation to the 9 condition-- 10 (a) revoke or vary the condition on which the person was admitted 11 under this Act as a legal practitioner, whether on application of 12 the person or on the court's own initiative; 13 (b) order the removal of the person's name from the local roll for 14 contravening the condition. 15 (3) Without limiting subsection (2)(b), a contravention of a condition is 16 capable of constituting unsatisfactory professional conduct or professional 17 misconduct. 18 41 Board may appear before Supreme Court 19 The board, by a member of the board or by an Australian legal 20 practitioner acting for the board, is entitled to appear before and be heard 21 by the Supreme Court at a hearing about any application made under this 22 part. 23 42 Fees payable 24 The board must charge the fee prescribed under a regulation for matters 25 under this part or for matters dealt with in the admission rules. 26 43 Provision regarding admission rules 27 The admission rules must not require a person to satisfactorily complete, 28 before admission under this Act as a legal practitioner, a period of 29

s 44 54 s 46 Legal Profession Bill 2004 supervised training that is more than a period or periods equivalent to 1 1 full-time year, as decided under the admission rules. 2 PART 4--LEGAL PRACTICE BY AUSTRALIAN LEGAL 3 PRACTITIONERS 4 Division 1--Preliminary 5 44 Main purposes of ch 2, pt 4 6 The main purposes of this part are as follows-- 7 (a) to provide a system for the law society to grant or renew a local 8 practising certificate to a person who practises or intends to 9 practise as a solicitor; 10 (b) to provide a system for the bar association to grant or renew a 11 local practising certificate to a person who practises or intends to 12 practise only as a barrister; 13 (c) to facilitate the national practice of law by allowing an interstate 14 legal practitioner to engage in legal practice in this jurisdiction or 15 an interstate lawyer to obtain a local practising certificate. 16 45 Meaning of "relevant regulatory authority" 17 A "relevant regulatory authority" is-- 18 (a) if the person in relation to whom the expression is used practises, 19 or intends to practise, only as a barrister--the bar association; or 20 (b) otherwise--the law society. 21 46 How suitability relating to holding local practising certificate is to 22 be decided 23 (1) Suitability in relation to holding or continuing to hold a local 24 practising certificate is to be decided by reference to whether the applicant 25 or certificate holder is a fit and proper person to hold the certificate. 26

s 46 55 s 46 Legal Profession Bill 2004 (2) A regulatory authority of this jurisdiction, in considering whether a 1 person is, or is no longer, a fit and proper person to hold a local practising 2 certificate, may take into account any suitability matter relating to the 3 person and any of the following whether happening before or after the 4 commencement of this section-- 5 (a) whether the person obtained an Australian practising certificate 6 because of incorrect or misleading information; 7 (b) whether the person has contravened a condition of an Australian 8 practising certificate held by the person; 9 (c) whether the person has contravened a relevant law or a 10 corresponding law; 11 (d) whether the person has contravened-- 12 (i) an order of a disciplinary body or the Supreme Court; or 13 (ii) an order of a corresponding disciplinary body, or of a court 14 or tribunal of another jurisdiction exercising jurisdiction or 15 powers by way of appeal or review of an order of a 16 corresponding disciplinary body; 17 (e) whether the person has failed to pay an amount for which the 18 person is or was liable under a relevant law, including, for 19 example, an amount payable to the fidelity fund under a relevant 20 law; 21 (f) whether, without limiting paragraph (e), the person has 22 contravened a provision of a relevant law about professional 23 indemnity insurance; 24 (g) other matters the authority considers are appropriate to take into 25 account because of the public interest in the integrity of the legal 26 profession. 27 (3) Even though the regulatory authority considers a matter mentioned in 28 subsection (2) in relation to a person, the authority may consider the person 29 is suitable to hold a local practising certificate after considering the 30 circumstances of the matter mentioned in that subsection. 31 (4) A regulatory authority can not take into account, as a ground for 32 refusing to grant or renew, or for cancelling, a local practising certificate, a 33 matter if the matter was-- 34 (a) disclosed in an application for admission to the legal profession 35 in another jurisdiction; and 36

s 47 56 s 48 Legal Profession Bill 2004 (b) a Supreme Court or a corresponding authority of another 1 jurisdiction decided the matter was not sufficient to refuse an 2 application for admission to the legal profession. 3 (5) However, subsection (4) does not prevent the regulatory authority 4 taking account of the matter as relevant when considering other matters in 5 relation to the person. 6 Division 2--Legal practice in this jurisdiction 7 47 Entitlement to practise in this jurisdiction 8 (1) Subject to this Act, an Australian legal practitioner is entitled to 9 engage in legal practice in this jurisdiction. 10 (2) Also, a government legal officer engaged in government work is 11 entitled to engage in legal practice in this jurisdiction as a government legal 12 officer even though the government legal officer is not an Australian legal 13 practitioner. 14 (3) Subsection (2) does not prevent a government legal officer from 15 being the holder of a local practising certificate. 16 Division 3--Matters relating to applications for grant or renewal of local 17 practising certificates 18 48 Application for grant or renewal of local practising certificate 19 (1) An Australian lawyer may apply to a regulatory authority for the 20 grant or renewal of a local practising certificate if eligible to do so. 21 (2) An Australian lawyer is eligible to apply for the grant or renewal of a 22 local practising certificate if the lawyer complies with any regulation 23 relating to eligibility for the practising certificate and-- 24 (a) for an Australian lawyer who is not an Australian legal 25 practitioner at the time of making the application-- 26 (i) the lawyer's place of residence in Australia is this 27 jurisdiction; or 28 (ii) the lawyer reasonably expects to be engaged in legal 29 practice principally from this jurisdiction during the 30 currency of the certificate applied for; or 31

s 48 57 s 48 Legal Profession Bill 2004 (iii) the lawyer does not have a place of residence in Australia; 1 or 2 (b) for an Australian lawyer who is an Australian legal practitioner at 3 the time of making the application-- 4 (i) the jurisdiction in which the lawyer engages in legal 5 practice principally is this jurisdiction; or 6 (ii) the lawyer holds a current local practising certificate and 7 engages in legal practice principally in another jurisdiction 8 under an arrangement that is of a temporary nature; or 9 (iii) the lawyer reasonably expects to be engaged in legal 10 practice principally in this jurisdiction during the currency 11 of the certificate applied for; or 12 (iv) the lawyer's place of residence in Australia is this 13 jurisdiction; or 14 (v) the lawyer does not have a place of residence in Australia. 15 (3) For subsection (2)(b), the jurisdiction in which an Australian lawyer 16 engages in legal practice principally is to be decided by reference to the 17 lawyer's legal practice during the certificate period current at the time-- 18 (a) the application is made; or 19 (b) in the case of a late application--the application should have 20 been made. 21 (4) An Australian lawyer must not apply for the grant or renewal of a 22 local practising certificate if the lawyer is not eligible to make the 23 application. 24 (5) An Australian legal practitioner who engages in legal practice 25 principally in this jurisdiction during a financial year and intends to engage 26 in legal practice in the following financial year must apply for the grant or 27 renewal of a local practising certificate for the following financial year. 28 (6) Subsection (5) does not apply to an interstate legal practitioner who 29 applied for the grant or renewal of an interstate practising certificate on the 30 basis that-- 31 (a) the practitioner reasonably expected to engage in legal practice 32 principally in this jurisdiction under an arrangement that is of a 33 temporary nature; or 34

s 49 58 s 49 Legal Profession Bill 2004 (b) the practitioner reasonably expected to engage in legal practice 1 principally in another jurisdiction during the currency of the 2 interstate practising certificate. 3 (7) Also, subsection (5) does not apply to a local legal practitioner who 4 applied for the grant of an interstate practising certificate on the basis that 5 the practitioner reasonably expected to engage in legal practice principally 6 in the other jurisdiction during the currency of the interstate practising 7 certificate. 8 (8) The exemption under subsection (6)(a) stops operating at the end of 9 the period prescribed under a regulation for this subsection. 10 (9) A contravention of this section is capable of constituting 11 unsatisfactory professional conduct or professional misconduct. 12 49 Manner of application 13 (1) An application for the grant or renewal of a local practising certificate 14 must be-- 15 (a) made in the approved form of the relevant regulatory authority; 16 and 17 (b) made in the way provided for under an administration rule of the 18 relevant regulatory authority; and 19 (c) for an application for renewal--made within the period stated in 20 an administration rule of the relevant regulatory authority. 21 (2) An approved form for an application for the grant or renewal of a 22 local practising certificate-- 23 (a) may require information about the applicant's eligibility under 24 section 48 and suitability matters in relation to the applicant; and 25 (b) if the form requires information about suitability matters--must 26 direct the attention of the applicant to section 62(3)11 in relation 27 to information that need not be disclosed. 28 11 Section 62 (Application for local practising certificate if show cause event happened after first admission)

s 50 59 s 50 Legal Profession Bill 2004 50 Professional indemnity insurance 1 (1) This section applies to each of the following persons who makes an 2 application for the grant or renewal of a local practising certificate-- 3 (a) an Australian lawyer who is a government legal officer who, in 4 the lawyer's application for the grant or renewal of the certificate, 5 stated the lawyer did not intend to engage in legal practice other 6 than engaging in government work; 7 (b) an Australian lawyer who is employed by a corporation, that is 8 not an incorporated legal practice, and who provides only 9 in-house legal services to the corporation; 10 (c) another Australian lawyer other than an Australian lawyer 11 mentioned in paragraph (a) or (b). 12 (2) A relevant regulatory authority must not grant or renew a local 13 practising certificate unless the authority-- 14 (a) for an application by an Australian lawyer mentioned in 15 subsection (1)(a)--imposes a condition on the certificate that the 16 lawyer is not to engage in legal practice other than as a 17 government legal officer engaged in government work; or 18 (b) for an application by an Australian lawyer mentioned in 19 subsection (1)(b)--imposes a condition on the certificate that the 20 lawyer is not to engage in legal practice other than for providing 21 in-house legal services; or 22 (c) for an application by an Australian lawyer mentioned in 23 subsection (1)(c)--is satisfied the lawyer will, during the 24 currency of the practising certificate, be covered by professional 25 indemnity insurance that complies with this Act. 26 (3) Professional indemnity insurance complies with this Act in relation 27 to a practising certificate if it complies with the requirements prescribed 28 under a regulation. 29 (4) A regulation may, for example, require professional indemnity 30 insurance in relation to a practising certificate to be of a kind approved, or 31 provided under a scheme approved, or provided by an insurer approved, or 32 arranged, by the relevant regulatory authority for the practising certificate. 33 (5) An approval mentioned in subsection (4) may relate to professional 34 indemnity insurance approved under a corresponding law. 35

s 51 60 s 52 Legal Profession Bill 2004 51 Continuing obligation for professional indemnity insurance 1 (1) A local legal practitioner must not engage in legal practice in this 2 jurisdiction, or represent or advertise that the practitioner is entitled to 3 engage in legal practice in this jurisdiction, unless-- 4 (a) if conditions are imposed under section 50 on the practitioner's 5 practising certificate--the practitioner complies with the 6 conditions; and 7 (b) if the practitioner must, under that section, have professional 8 indemnity insurance--the practitioner complies with the 9 requirements prescribed under a regulation mentioned in 10 section 50(3) for professional indemnity insurance. 11 Maximum penalty--300 penalty units or 2 years imprisonment. 12 (2) If a person must, under section 50, have professional indemnity 13 insurance and the person becomes aware that the person will not be 14 covered by professional indemnity insurance that complies with the 15 requirements prescribed under a regulation mentioned in section 50(3), the 16 person must notify the regulatory authority of that fact, in the approved 17 form. 18 (3) A contravention of subsection (1) or (2) is capable of constituting 19 unsatisfactory professional conduct or professional misconduct. 20 Division 4--Grant or renewal of local practising certificates 21 52 Grant or renewal of local practising certificate 22 (1) A regulatory authority must consider an application that has been 23 made to it for the grant or renewal of a local practising certificate and 24 may-- 25 (a) grant or refuse to grant the certificate; or 26 (b) renew or refuse to renew the certificate. 27 (2) The regulatory authority may refuse to consider the application, or 28 refuse to grant or renew a local practising certificate, for 1 or more of the 29 following reasons-- 30 (a) the application is not made under this Act; 31 (b) the application is not made in the way required by an 32 administration rule of the authority relating to the application; 33

s 53 61 s 53 Legal Profession Bill 2004 (c) the application is not accompanied by the fee set by the authority 1 in an administration rule of the authority about fees for services. 2 (3) The authority must not grant or renew a local practising certificate if 3 the authority considers-- 4 (a) the applicant was not eligible to apply for the grant or renewal of 5 the certificate when the application was made; or 6 (b) the applicant's circumstances have changed since the application 7 was made and, having regard to information that has come to the 8 authority's attention, the applicant would not have been eligible 9 to make the application had the information been known when 10 the application was made; or 11 (c) the applicant is not suitable to hold the certificate.12 12 (4) If the authority grants or renews a local practising certificate, the 13 authority must give the applicant-- 14 (a) for the grant of a certificate--a local practising certificate; or 15 (b) for the renewal of a certificate--a new local practising certificate. 16 (5) If the authority refuses to grant or renew a local practising 17 certificate-- 18 (a) the authority must give the applicant an information notice about 19 the decision to refuse the application; and 20 (b) the applicant may appeal to the Supreme Court against the 21 refusal within 28 days after the day the information notice is 22 given to the applicant. 23 53 Conditions imposed by law society or bar association 24 (1) At the time a regulatory authority grants a local practising certificate, 25 the authority may impose any reasonable and relevant condition on the 26 practising certificate. 27 (2) Without limiting subsection (1), the condition may be about any of 28 the following-- 29 (a) limiting the certificate holder to supervised legal practice in the 30 way stated in the condition; 31 12 See section 46 (How suitability relating to holding a local practising certificate is to be decided).

s 54 62 s 54 Legal Profession Bill 2004 (b) controlling or otherwise regulating the operation of a trust 1 account; 2 (c) restricting the certificate holder to particular conditions 3 concerning employment or supervision; 4 (d) a matter agreed to by the certificate holder. 5 (3) Also, the condition may require the certificate holder to undertake 6 and complete education or an academic training course only if-- 7 (a) the regulatory authority, having regard to the certificate holder's 8 previous academic studies, legal training, experience or conduct, 9 considers that clients of the certificate holder may be at risk of 10 harm if the condition is not imposed; or 11 (b) the condition is 1 that is imposed generally on all certificate 12 holders or classes of certificate holders. 13 54 Applications relating to conditions 14 (1) This section applies if a regulatory authority imposes a condition on a 15 practising certificate, other than a condition applying in relation to a 16 practising certificate under an administration rule of the authority. 17 (2) If the applicant did not apply for a practising certificate subject to the 18 condition-- 19 (a) the regulatory authority must give the applicant an information 20 notice about the decision to impose the condition; and 21 (b) the applicant may appeal to the Supreme Court against the 22 imposition within 28 days after the day the information notice is 23 given to the applicant. 24 (3) The regulatory authority may revoke a condition imposed under this 25 section on application of the certificate holder in the approved form, or on 26 its own initiative, by giving written notice about the revocation to the 27 certificate holder. 28 (4) If a certificate holder applies for the revocation of a condition and the 29 relevant regulatory authority refuses to grant the application-- 30 (a) the authority must give the applicant an information notice about 31 the decision refusing the application; and 32

s 55 63 s 57 Legal Profession Bill 2004 (b) the applicant may appeal to the Supreme Court against the 1 imposition of the condition within 28 days after the day the 2 information notice is given to the applicant. 3 55 Duration of local practising certificates 4 (1) A local practising certificate granted under this Act is in force from 5 the date stated in it until the end of the financial year in which it is granted, 6 unless the certificate is sooner cancelled or suspended. 7 (2) A local practising certificate renewed under this Act is in force until 8 the end of the financial year following its previous period of currency, 9 unless the certificate is sooner cancelled or suspended. 10 (3) If a local legal practitioner applies for the renewal of a local 11 practising certificate before the time stated in the regulatory authority's 12 administration rule for applying for a renewal and the authority has not 13 decided the application by the following 1 July, the certificate-- 14 (a) continues in force on and after that 1 July until 1 of the following 15 happens-- 16 (i) the authority renews or refuses to renew the certificate; 17 (ii) the local legal practitioner withdraws the application for 18 renewal; 19 (iii) the certificate is cancelled or suspended; and 20 (b) if renewed, is taken to have been renewed on that 1 July. 21 56 Local legal practitioner is officer of Supreme Court 22 A person who is not already an officer of the Supreme Court becomes an 23 officer of the court on being granted a local practising certificate. 24 Division 5--Conditions applying to local practising certificates 25 57 Conditions generally 26 A local practising certificate is subject to the following-- 27

s 58 64 s 59 Legal Profession Bill 2004 (a) a condition imposed by the relevant regulatory authority under 1 division 413 at the time the certificate is granted unless the 2 condition is revoked at a later time; 3 (b) a statutory condition as mentioned in section 58 or 59; 4 (c) a condition imposed under division 6 or 7;14 5 (d) a condition imposed under chapter 315 or under a corresponding 6 law; 7 (e) a condition imposed under a regulation, a legal profession rule or 8 an administration rule. 9 10 Note-- 11 See section 603 about action taken by the solicitor's complaints tribunal that continues 12 to have effect after the commencement of that section. 58 Statutory condition regarding notification of offence 13 (1) It is a statutory condition of a local practising certificate that the 14 certificate holder must give notice in the approved form to the relevant 15 regulatory authority if the certificate holder is convicted of an offence that 16 would have to be disclosed under the admission rules for an application for 17 admission. 18 (2) The notice must be given to the regulatory authority within 7 days 19 after the conviction. 20 (3) The regulatory authority's administration rules may specify the 21 person to whom, or the address to which, the notice is to be given or sent. 22 (4) This section does not apply to a show cause event to which 23 division 616 applies. 24 59 Statutory condition regarding legal practice as solicitor 25 (1) Each local practising certificate granted or renewed by the law 26 society must state whether the certificate holder-- 27 13 Division 4 (Grant or renewal of local practising certificates) 14 Division 6 (Special powers relating to local practising certificates) or 7 (Amendment, cancellation or suspension of local practising certificates) 15 Chapter 3 (Complaints, investigation matters and discipline) 16 Division 6 (Special powers relating to local practising certificates)

s 60 65 s 60 Legal Profession Bill 2004 (a) may only engage in supervised legal practice; or 1 (b) may engage in unsupervised legal practice. 2 (2) An administration rule of the law society may provide for the 3 requirements for a person to be eligible for a practising certificate that 4 states that the certificate holder may engage in unsupervised legal practice. 5 (3) However, the administration rule must not state that a person is 6 eligible for a practising certificate providing for unsupervised legal practice 7 unless-- 8 (a) if the person completed supervised legal training to qualify--the 9 person has undertaken a period or periods equivalent to 10 18 months supervised legal practice, worked out under a 11 regulation, after the date the practitioner's first practising 12 certificate was granted; or 13 (b) if the person completed other practical legal training to 14 qualify--the practitioner has undertaken a period or periods 15 equivalent to 2 years supervised legal practice, worked out under 16 a regulation, after the date the practitioner's first practising 17 certificate was granted. 18 (4) In this section-- 19 "qualify" means qualify for admission under this Act as a legal 20 practitioner or admission to the legal profession in another 21 jurisdiction. 22 "supervised legal training" means practical legal training principally 23 under the supervision of an Australian lawyer, whether involving 24 articles of clerkship or otherwise. 25 60 Statutory condition regarding conditions imposed on interstate 26 admission 27 It is a statutory condition of a local practising certificate that the 28 certificate holder must not contravene the following-- 29 (a) a condition that was imposed on the holder's admission to the 30 legal profession under a corresponding law (an "imposed 31 condition") if the imposed condition is still in force; 32 (b) an imposed condition as amended from time to time. 33

s 61 66 s 62 Legal Profession Bill 2004 61 Compliance with conditions 1 (1) The holder of a current local practising certificate must not 2 contravene, in this jurisdiction or elsewhere, a condition to which the 3 certificate is subject. 4 5 Example-- 6 If a person engages in unsupervised legal practice and the relevant practising certificate 7 states the certificate holder may only engage in supervised legal practice, the person 8 contravenes a condition of the certificate. (2) A contravention of subsection (1) is capable of constituting 9 unsatisfactory professional conduct or professional misconduct. 10 Division 6--Special powers relating to local practising certificates 11 62 Application for local practising certificate if show cause event 12 happened after first admission 13 (1) This section applies if-- 14 (a) a person is applying for the grant of a local practising certificate 15 under this Act; and 16 (b) a show cause event in relation to the person happened, whether 17 before or after the commencement of this section, after the 18 person was first admitted under this Act as a legal practitioner or 19 to the legal profession in another jurisdiction, however the 20 admission was expressed at the time of that admission. 21 (2) As part of the application, the person must give to the relevant 22 regulatory authority a written statement-- 23 (a) about the show cause event; and 24 (b) explaining why, despite the event, the applicant is a suitable 25 person to hold a local practising certificate. 26 (3) However, a person need not give a statement under subsection (2) if 27 the person has previously given the regulatory authority a statement under 28 this section, or a notice and statement under section 63, for the event stating 29 why, despite the event, the person is, or continues to be, a suitable person to 30 hold a local practising certificate. 31 (4) The regulatory authority must give a copy of a statement under 32 subsection (2) to the commissioner. 33

s 63 67 s 64 Legal Profession Bill 2004 (5) A contravention of subsection (2) is capable of constituting 1 unsatisfactory professional conduct or professional misconduct. 2 63 Requirement if show cause event 3 (1) If a show cause event happens in relation to a local legal practitioner, 4 the practitioner must give to the relevant regulatory authority both of the 5 following-- 6 (a) within 7 days after the date of the event--notice, in the approved 7 form, that the event happened; 8 (b) within 28 days after the date of the event--a written statement 9 explaining why, despite the event, the practitioner continues to be 10 a suitable person to hold a local practising certificate. 11 (2) The regulatory authority must give a copy of the notice and the 12 statement under subsection (1) to the commissioner. 13 (3) A contravention of subsection (1) is capable of constituting 14 unsatisfactory professional conduct or professional misconduct. 15 (4) However, if a written statement is given after the 28 days mentioned 16 in subsection (1)(b), the regulatory authority may accept the statement and 17 take it into consideration. 18 64 Refusal, cancellation, suspension or amendment, of local 19 practising certificate because of failure to show cause 20 (1) The relevant regulatory authority may refuse to grant or renew, or 21 may cancel, suspend or amend, a local practising certificate if the applicant 22 or certificate holder-- 23 (a) is required by section 62 or 6317 to give a written statement 24 relating to a matter to the regulatory authority and the applicant 25 or certificate holder has not done so; or 26 (b) has given a written statement under section 62 or 63 but the 27 authority does not consider that the applicant or certificate holder 28 has shown in the statement that the person is a suitable person to 29 hold or to continue to hold a local practising certificate. 30 17 Section 62 (Application for local practising certificate if show cause event happened after first admission) or 63 (Requirement if show cause event)

s 65 68 s 65 Legal Profession Bill 2004 (2) For subsection (1)(b), a written statement accepted by the regulatory 1 authority as mentioned in section 63(4) is taken to be given under 2 section 63. 3 (3) If the regulatory authority decides to refuse to grant or renew, or to 4 cancel, suspend or amend, a local practising certificate-- 5 (a) the authority must give the applicant or certificate holder an 6 information notice about the decision; and 7 (b) the applicant or certificate holder may appeal to the Supreme 8 Court against the decision within 28 days after the day the 9 information notice is given to the applicant or certificate holder. 10 (4) Also, the regulatory authority must give a copy of the information 11 notice to the commissioner. 12 65 Restriction on making further application 13 (1) This section applies if a regulatory authority decides under section 64 14 to refuse to grant or renew a local practising certificate or to cancel a local 15 practising certificate. 16 (2) The authority may also decide that the applicant or certificate holder 17 is not entitled to apply for the grant of a local practising certificate for a 18 stated period of not more than 5 years. 19 (3) If the authority makes a decision under subsection (2), the authority 20 must include the decision in the information notice required under 21 section 64(3)(a) and the applicant or certificate holder may also appeal to 22 the Supreme Court against the decision within 28 days after the day the 23 information notice is given to the applicant or certificate holder. 24 (4) A person about whom a decision has been made under this section, or 25 under a provision of a corresponding law, is not entitled to apply for the 26 grant of a local practising certificate during the period stated in the 27 decision. 28

s 66 69 s 68 Legal Profession Bill 2004 Division 7--Amendment, cancellation or suspension of local practising 1 certificates 2 66 Application of ch 2, pt 4, div 7 3 This division does not apply to a show cause event in relation to which a 4 regulatory authority may exercise a power under division 6.18 5 67 Grounds for amending, cancelling or suspending a local 6 practising certificate 7 Each of the following is a ground for amending, cancelling or 8 suspending a local practising certificate-- 9 (a) the certificate holder is no longer a fit and proper person to hold 10 the certificate;19 11 (b) the certificate holder does not have, or no longer has, 12 professional indemnity insurance that complies with this Act in 13 relation to the relevant practising certificate; 14 (c) if a condition of the certificate is that the certificate holder is 15 limited to legal practice stated in the certificate--the certificate 16 holder is engaging in legal practice that the holder is not entitled 17 to engage in under this Act. 18 68 Amending, cancelling or suspending local practising certificate 19 (1) If the relevant regulatory authority believes a ground exists to amend, 20 cancel or suspend a person's local practising certificate (the "proposed 21 action"), the authority must give the person a notice (the "show cause 22 notice") that states-- 23 (a) the proposed action and-- 24 (i) if the proposed action is to amend the certificate in a 25 way--states the proposed amendment; and 26 (ii) if the proposed action is to suspend the certificate--states 27 the proposed period of suspension; and 28 18 Division 6 (Special powers relating to local practising certificates) 19 See section 46 (How suitability relating to holding a practising certificate is to be decided).

s 69 70 s 69 Legal Profession Bill 2004 (b) the grounds for proposing to take the proposed action; and 1 (c) an outline of the facts and circumstances that form the basis for 2 the authority's belief; and 3 (d) an invitation to the certificate holder to make written 4 representations to the authority, within a stated time of not less 5 than 28 days, why the proposed action should not be taken. 6 (2) If, after considering all written representations made within the stated 7 time or, in its discretion, after the stated time, the regulatory authority still 8 believes a ground exists to take the proposed action, the authority may-- 9 (a) if the show cause notice stated the proposed action was to amend 10 the practising certificate--amend the certificate in the way stated, 11 or in another way the authority is satisfied will be less onerous 12 for the certificate holder; or 13 (b) if the show cause notice stated the proposed action was to cancel 14 the practising certificate--cancel the certificate or suspend the 15 certificate for a period; or 16 (c) if the show cause notice stated the proposed action was to 17 suspend the practising certificate for a stated period--suspend 18 the certificate for a period no longer than the stated period or 19 amend the certificate in a way the authority is satisfied is 20 appropriate because of the written representations. 21 (3) If the regulatory authority decides to amend, cancel or suspend the 22 local practising certificate-- 23 (a) the authority must give the certificate holder an information 24 notice about the decision; and 25 (b) the certificate holder may appeal to the Supreme Court against 26 the decision within 28 days after the day the information notice is 27 given to the certificate holder. 28 Division 8--Provisions that apply to other actions including actions 29 under div 6 or 7 30 69 Consensual amendment or cancellation etc. 31 (1) Subsection (2) applies if-- 32

s 70 71 s 71 Legal Profession Bill 2004 (a) a local legal practitioner applies, in the approved form, to the 1 regulatory authority to amend or cancel the practitioner's 2 practising certificate; or 3 (b) the regulatory authority proposes to amend a local legal 4 practitioner's practising certificate-- 5 (i) only for a formal or clerical reason or in another way that 6 does not adversely affect the practitioner's interests; and 7 (ii) the practitioner agrees in writing to the amendment. 8 (2) The authority may amend or cancel the local practising certificate as 9 mentioned in subsection (1) by written notice given to the legal 10 practitioner. 11 70 Removal from local roll 12 (1) If a local legal practitioner's name is removed from the local roll, the 13 regulatory authority must cancel the practising certificate by information 14 notice given to the legal practitioner. 15 (2) The regulatory must give written notice of the cancellation to the 16 certificate holder. 17 71 Operation of amendment, cancellation or suspension of local 18 practising certificate 19 (1) This section applies if a decision is made to amend, cancel or 20 suspend a local practising certificate under section 64 or 68.20 21 (2) Subject to subsections (3) and (4), the amendment, cancellation or 22 suspension takes effect on the later of the following-- 23 (a) the day that the information notice about the decision is given to 24 the certificate holder; 25 (b) the day stated in the information notice. 26 (3) If the practising certificate is amended, cancelled or suspended 27 because the certificate holder has been convicted of an offence-- 28 20 Section 64 (Refusal, cancellation, suspension or amendment, of a local practising certificate because of a failure to show cause) or 68 (Amending, cancelling or suspending local practising certificate)

s 72 72 s 72 Legal Profession Bill 2004 (a) the Supreme Court may, on application of the certificate holder, 1 order that the amendment, cancellation or suspension be stayed 2 until-- 3 (i) the end of the time to appeal against the conviction; or 4 (ii) if an appeal is made against the conviction--the appeal is 5 finally decided, lapses or otherwise ends; and 6 (b) the amendment, cancellation or suspension does not have effect 7 during any period for which the stay is in force. 8 (4) If the practising certificate is amended, cancelled or suspended 9 because the certificate holder has been convicted of an offence and a court 10 quashes the conviction-- 11 (a) the amendment or suspension ceases to have effect when the 12 court quashes the conviction; or 13 (b) the cancellation ceases to have effect when the court quashes the 14 conviction and the certificate is restored as if it had merely been 15 suspended. 16 72 Return of amended, cancelled or suspended local practising 17 certificate 18 (1) This section applies if a local practising certificate is amended, 19 cancelled or suspended by a relevant regulatory authority under division 6 20 or 7 or section 69.21 21 (2) The regulatory authority may-- 22 (a) give the certificate holder a notice requiring the holder to return 23 the certificate to the authority in the way stated in the notice 24 within a stated period of not less than 7 days; or 25 (b) include in an information notice that the authority must give to 26 the certificate holder under division 6 or 7 a further notice 27 requiring the holder to return the certificate to the authority in the 28 way stated in the notice within a stated period of not less than 29 7 days. 30 21 Division 6 (Special powers relating to local practising certificates) or 7 (Amendment, cancellation or suspension of local practising certificates) or section 69 (Consensual amendment or cancellation etc.)

s 73 73 s 74 Legal Profession Bill 2004 (3) The certificate holder must comply with the requirement, unless the 1 holder has a reasonable excuse. 2 Maximum penalty--50 penalty units. 3 (4) The regulatory authority must return the practising certificate to the 4 certificate holder-- 5 (a) if the certificate is amended--after amending it; or 6 (b) if the certificate is suspended and is still current at the end of the 7 suspension period--at the end of the suspension period. 8 73 Relationship of divs 6 and 7 with ch 7, pt 2 9 (1) An investigator, who was nominated by a regulatory authority for 10 appointment as an investigator, may exercise powers under chapter 7, 11 part 222 for a matter under division 6 or a matter under division 7, as if the 12 matter were the subject of a complaint. 13 (2) Accordingly, the provisions of chapter 7, part 2 apply in relation to a 14 matter under division 6 and a matter under division 7, and so apply with 15 any necessary changes. 16 (3) Nothing in division 6 or 7 prevents-- 17 (a) a regulatory authority from making a complaint about a matter to 18 which division 6 or 7 relates; or 19 (b) the commissioner from investigating or referring a matter for 20 investigation as mentioned in section 265.23 21 Division 9--Interstate legal practitioners 22 74 Requirement for interstate practising certificate and professional 23 indemnity insurance 24 (1) An interstate legal practitioner must not engage in legal practice in 25 this jurisdiction, or represent or advertise that the practitioner is entitled to 26 engage in legal practice in this jurisdiction, unless the practitioner-- 27 22 Chapter 7 (Suitability reports and investigations), part 2 (Investigators and their powers) 23 Section 265 (Referral by commissioner to law society or bar association)

s 75 74 s 75 Legal Profession Bill 2004 (a) is covered by professional indemnity insurance that-- 1 (i) covers legal practice in this jurisdiction; and 2 (ii) complies with the requirements prescribed under a 3 regulation, being requirements that are no more onerous 4 than the requirements under section 50;24 or 5 (b) is employed by a corporation, other than an incorporated legal 6 practice, and the only legal services provided by the practitioner 7 in this jurisdiction are in-house legal services. 8 Maximum penalty--300 penalty units or 2 years imprisonment. 9 (2) A contravention of subsection (1) is capable of constituting 10 unsatisfactory professional conduct or professional misconduct. 11 (3) A regulation may require an interstate legal practitioner to disclose 12 information about professional indemnity insurance to clients or 13 prospective clients. 14 (4) This section does not apply to an interstate legal practitioner who-- 15 (a) is a government legal officer; and 16 (b) is engaged in legal practice in this jurisdiction only to the extent 17 that the practitioner is engaging in government work. 18 75 Extent of entitlement of interstate legal practitioner to practise in 19 this jurisdiction 20 (1) This part does not authorise an interstate legal practitioner to engage 21 in legal practice in this jurisdiction to a greater extent than a local legal 22 practitioner could be authorised under a local practising certificate. 23 (2) Also, the interstate legal practitioner's right to engage in legal 24 practice in this jurisdiction-- 25 (a) is subject to-- 26 (i) specific provisions under this Act applying to interstate legal 27 practitioners; and 28 (ii) any conditions imposed by the relevant regulatory authority 29 under section 76 in relation to the interstate legal 30 practitioner; and 31 24 Section 50 (Professional indemnity insurance)

s 76 75 s 77 Legal Profession Bill 2004 (b) to the greatest practicable extent and with all necessary 1 changes-- 2 (i) is the same as the practitioner's right to engage in legal 3 practice in the practitioner's home jurisdiction; and 4 (ii) is subject to any condition applicable to the practitioner's 5 right to engage in legal practice in that jurisdiction, 6 including any conditions imposed on the practitioner's 7 admission to the legal profession in that jurisdiction. 8 (3) An interstate legal practitioner must not engage in legal practice in 9 this jurisdiction in a way that is not authorised under this Act or in 10 contravention of any condition mentioned in this section. 11 (4) A contravention of this section is capable of constituting 12 unsatisfactory professional conduct or professional misconduct. 13 76 Additional condition on interstate legal practitioner engaging in 14 legal practice in this jurisdiction 15 (1) The relevant regulatory authority may impose a condition on an 16 interstate legal practitioner engaged in legal practice in this jurisdiction that 17 the authority may impose under this Act on a local practising certificate at 18 the time it is granted or renewed. 19 (2) However, conditions imposed under this section must not be more 20 onerous than conditions applying to local legal practitioners. 21 (3) If the regulatory authority imposes a condition on an interstate legal 22 practitioner engaged in legal practice in this jurisdiction-- 23 (a) the authority must give the interstate legal practitioner an 24 information notice about the decision to impose the condition; 25 and 26 (b) the interstate legal practitioner may appeal to the Supreme Court 27 against the decision within 28 days after the day the information 28 notice is given to the certificate holder. 29 77 Special provision about interstate legal practitioner engaging in 30 unsupervised legal practice in this jurisdiction 31 (1) An interstate legal practitioner must not engage in unsupervised legal 32 practice in this jurisdiction unless-- 33

s 78 76 s 79 Legal Profession Bill 2004 (a) if the person completed supervised legal training to qualify--the 1 person has undertaken a period or periods equivalent to 2 18 months supervised legal practice, worked out under a 3 regulation, after the date the practitioner's first practising 4 certificate was granted; or 5 (b) if the person completed other practical legal training to 6 qualify--the practitioner has undertaken a period or periods 7 equivalent to 2 years supervised legal practice, worked out under 8 a regulation, after the date the practitioner's first practising 9 certificate was granted. 10 (2) In this section-- 11 "qualify" means qualify for admission to the legal profession. 12 "supervised legal training" means practical legal training principally 13 under the supervision of an Australian legal practitioner, whether 14 involving articles of clerkship or otherwise. 15 78 Interstate legal practitioner is officer of Supreme Court 16 An interstate legal practitioner engaged in legal practice in this 17 jurisdiction has all the duties and obligations of an officer of the Supreme 18 Court, and for those duties and obligations, is subject to the jurisdiction of 19 the Supreme Court. 20 Division 10--Miscellaneous provisions about local practising certificates 21 and other matters 22 79 Immediate suspension or amendment of local practising 23 certificate 24 (1) This section applies if the relevant regulatory authority in relation to 25 a local legal practitioner considers it necessary in the public interest to take 26 action under this section in relation to that legal practitioner, whether or not 27 action in relation to the legal practitioner has been started under division 6 28 or 7.25 29 25 Division 6 (Special powers relating to local practising certificates) or 7 (Amendment, cancellation or suspension of local practising certificates)

s 79 77 s 79 Legal Profession Bill 2004 (2) The relevant regulatory authority may immediately suspend the local 1 practising certificate of the legal practitioner for any of the following 2 reasons, whether they happened before or after the commencement of this 3 section-- 4 (a) the legal practitioner has become an insolvent under 5 administration; 6 (b) the legal practitioner has been convicted of a serious offence or 7 tax offence; 8 (c) a ground exists on which the certificate could be cancelled or 9 suspended under section 68.26 10 (3) The relevant regulatory authority may immediately amend a local 11 practising certificate of the legal practitioner to provide for either of the 12 following-- 13 (a) imposing or amending conditions about controlling or otherwise 14 regulating conditions about the legal practitioner's trust account; 15 (b) suspending stated operations in relation to the certificate holder's 16 trust account or directing the certificate holder not to operate the 17 account. 18 (4) The relevant regulatory authority suspends or amends a local 19 practising certificate by giving an information notice to the local legal 20 practitioner about the regulatory authority's decision to suspend or amend. 21 (5) The information notice must also state that the local legal practitioner 22 may make written representations to the regulatory authority about the 23 suspension or amendment. 24 (6) Subject to subsection (9), the practising certificate continues to be 25 subject to the suspension or amendment until the earlier of the following-- 26 (a) the time at which the regulatory authority informs the local legal 27 practitioner of the authority's decision by information notice 28 under section 68(3); 29 (b) the end of 56 days after the information notice is given to the 30 local legal practitioner under this section. 31 (7) If the local legal practitioner makes written representations to the 32 regulatory authority about the suspension or amendment, the authority 33 must consider the written representations. 34 26 Section 68 (Amending, cancelling or suspending local practising certificate)

s 80 78 s 80 Legal Profession Bill 2004 (8) The regulatory authority may revoke the suspension or amendment at 1 any time, whether or not because of written representations made to it by 2 the local legal practitioner. 3 (9) Also, the regulatory authority may apply to the Supreme Court for an 4 order extending the period of the suspension or amendment and, if the 5 court considers it appropriate and the suspension or amendment has not 6 ended under subsection (6), the court may extend the period of the 7 suspension or amendment for a further period of not more than a further 8 56 days after the date of the court order. 9 (10) The regulatory authority must give the certificate holder an 10 information notice about its decision to apply under subsection (9) for an 11 order extending the period of the suspension or amendment. 12 80 Protocols 13 (1) A regulatory authority may enter into arrangements ("jurisdiction 14 protocols") with regulatory authorities of other jurisdictions about 15 deciding-- 16 (a) the jurisdiction from which an Australian lawyer practises law 17 principally or can reasonably expect to practise law principally; 18 or 19 (b) the circumstances in which an arrangement under which an 20 Australian legal practitioner practises in a jurisdiction-- 21 (i) may be regarded as being of a temporary nature; or 22 (ii) ceases to be of a temporary nature; or 23 (c) the circumstances in which an Australian legal practitioner may 24 reasonably expect to practise law principally in a jurisdiction 25 during the currency of the practitioner's practising certificate. 26 (2) For this Act, and to the extent that a jurisdiction protocol is relevant, 27 a matter mentioned in subsection (1)(a), (b) or (c) must be decided under 28 the relevant jurisdiction protocol. 29 (3) The regulatory authority may enter into an arrangement that amends, 30 revokes or replaces a jurisdiction protocol. 31 (4) A jurisdiction protocol, or an amendment, revocation or replacement 32 of a jurisdiction protocol, has effect in this jurisdiction only to the extent it 33 is approved under a regulation. 34

s 81 79 s 82 Legal Profession Bill 2004 81 Consideration of applicant for local practising certificate and 1 certificate holder 2 (1) The purpose of this section is to enable a regulatory authority to 3 obtain a document or information, or a person's cooperation, to the extent 4 necessary for the authority to consider whether or not-- 5 (a) to grant or renew a local practising certificate; or 6 (b) to amend, cancel or suspend a local practising certificate. 7 (2) The relevant regulatory authority may, by written notice to the 8 applicant or certificate holder, ask the applicant or certificate holder-- 9 (a) to give it a stated document or information that the authority 10 believes is necessary for the authority's consideration about a 11 local practising certificate; or 12 (b) to cooperate in a stated way with the authority in an investigation 13 or inquiry that the authority believes is necessary for the 14 authority's consideration about a local practising certificate. 15 (3) The regulatory authority may decide not to grant or renew a local 16 practising certificate, or to amend, cancel or suspend a local practising 17 certificate, if the applicant or the certificate holder fails-- 18 (a) to give the stated documents or information as requested under 19 subsection (2); or 20 (b) to cooperate with the authority in its investigations or inquiries as 21 requested under subsection (2). 22 82 Register of local practising certificates 23 (1) A regulatory authority must, in the way it considers appropriate, keep 24 a register of the names of Australian lawyers to whom it grants local 25 practising certificates. 26 (2) The register must-- 27 (a) state conditions, if any, imposed on a local practising certificate 28 relating to the certificate holder engaging in legal practice; and 29 (b) include other particulars prescribed under a regulation. 30 (3) A regulatory authority must keep its register-- 31 (a) available for inspection, without charge, at the authority's 32 principal place of business during normal business hours; or 33

s 83 80 s 85 Legal Profession Bill 2004 (b) on the authority's Internet site or an Internet site identified on the 1 authority's Internet site. 2 83 Regulatory authority may charge reasonable fees 3 (1) A regulatory authority may charge fees for the services that it 4 provides. 5 (2) The fees must be reasonable having regard to the funding that the 6 regulatory authority receives under this Act and the cost to the authority of 7 performing its functions under a relevant law. 8 (3) The fees set by a regulatory authority may be included in an 9 administration rule. 10 (4) Despite subsection (1), a regulatory authority may not charge a fee 11 for a service provided to another entity that has functions under a relevant 12 law except so far as the other entity has arranged, on a commercial basis, 13 for the regulatory authority to perform a service associated with the 14 functions of the other entity. 15 PART 5--LEGAL PRACTICE BY INCORPORATED 16 LEGAL PRACTICES 17 Division 1--Preliminary 18 84 Main purpose of ch 2, pt 5 19 The main purpose of this part is to regulate the provision of legal 20 services by corporations in this jurisdiction, whether or not the legal 21 services are provided in conjunction with other services. 22 85 Meaning of "incorporated legal practice" 23 (1) A corporation is an "incorporated legal practice" if it engages in 24 legal practice in this jurisdiction, whether or not it provides services that 25 are not legal services. 26

s 86 81 s 86 Legal Profession Bill 2004 (2) However, a corporation is not an incorporated legal practice if the 1 legal services provided by it are only either or both of the following 2 services-- 3 (a) in-house legal services; 4 (b) services that are not legally required to be provided by an 5 Australian legal practitioner and that are provided by an officer 6 or employee of the corporation who is not an Australian legal 7 practitioner. 8 (3) Also, a corporation that provides legal services is not an incorporated 9 legal practice if the corporation is prescribed under a regulation as a 10 corporation that is not an incorporated legal practice. 11 (4) Despite subsection (2) and (3), a corporation that is not an 12 incorporated legal practice as mentioned in those subsections must comply 13 with any regulation applying provisions of this part, with or without 14 changes, to that corporation. 15 (5) Nothing in this part affects or applies to the provision by an 16 incorporated legal practice of legal services in 1 or more other jurisdictions 17 under a corresponding law or corresponding laws. 18 86 Definitions for ch 2, pt 5 19 In this part-- 20 "corporation" means-- 21 (a) a company within the meaning of the Corporations Act; or 22 (b) a body corporate prescribed under a regulation for this definition. 23 "director" means-- 24 (a) in relation to a company within the meaning of the Corporations 25 Act--a director as defined in section 9 of that Act; or 26 (b) in relation to another body corporate prescribed under a 27 regulation--a person stated or described in the regulation as a 28 director. 29 "related body corporate" means-- 30 (a) in relation to a company within the meaning of the Corporations 31 Act--a related body corporate within the meaning of section 50 32 of that Act; or 33

s 87 82 s 88 Legal Profession Bill 2004 (b) in relation to another body corporate prescribed under a 1 regulation--a person prescribed under a regulation as a related 2 body corporate. 3 Division 2--Incorporated legal practices providing legal services 4 87 Non-legal services and businesses of incorporated legal practices 5 (1) An incorporated legal practice may provide any service and conduct 6 any business that the corporation may lawfully provide or conduct, except 7 as provided by this section. 8 (2) An incorporated legal practice must not conduct a managed 9 investment scheme. 10 (3) Also, if a regulation prohibits an incorporated legal practice, or a 11 related body corporate of the practice, from providing a service or 12 conducting a business of a kind stated in the regulation, the practice must 13 not provide the service or conduct the business. 14 15 Note-- 16 Contravention of this section or a regulation is a ground for banning an incorporated 17 legal practice under section 108.27 88 Corporations eligible to be incorporated legal practices 18 (1) Subject to this part, a corporation, other than a corporation 19 mentioned in section 85(2) or (3), is eligible to be an incorporated legal 20 practice. 21 (2) This section does not authorise a corporation to provide legal 22 services if the corporation is prohibited from doing so under-- 23 (a) this Act; or 24 (b) a law of the Commonwealth under which the corporation is 25 incorporated or its affairs are regulated; or 26 27 Section 108 (Banning of incorporated legal practices)

s 89 83 s 89 Legal Profession Bill 2004 (c) an Act, or a law of another jurisdiction, under which it is 1 incorporated or its affairs are regulated. 2 (3) An incorporated legal practice is not required to hold a practising 3 certificate. 4 89 Notice of intention to start providing legal services 5 (1) Before a corporation starts to engage in legal practice in this 6 jurisdiction, the corporation must give the law society notice, in the law 7 society approved form, of its intention to do so. 8 (2) A corporation must not engage in legal practice in this jurisdiction if 9 it has not given a notice under subsection (1). 10 Maximum penalty-- 11 (a) for a person guilty under the Criminal Code, chapter 2 of an 12 offence or for section 58528--300 penalty units; or 13 (b) for a corporation--1 500 penalty units. 14 (3) A corporation that starts to engage in legal practice in this jurisdiction 15 without giving a notice under subsection (1) is in default of this section 16 until it gives the law society notice, in the law society approved form, of the 17 failure to comply with that subsection and the fact that it has started to 18 engage in legal practice. 19 (4) The giving of a notice under subsection (3) does not affect a liability 20 under subsection (1) or (2). 21 (5) A corporation is not entitled to recover any amount for anything the 22 corporation did in contravention of subsection (2). 23 (6) A person may recover from a corporation, as a debt due to the person, 24 any amount the person paid to the corporation for anything the corporation 25 did in contravention of subsection (2). 26 28 Section 585 (Executive officers must ensure corporation complies with Act)

s 90 84 s 92 Legal Profession Bill 2004 90 Prohibition on corporations or directors etc. representing that 1 corporation is incorporated legal practice 2 (1) A corporation must not, without a reasonable excuse, represent or 3 advertise that the corporation is an incorporated legal practice unless a 4 notice in relation to the corporation has been given under section 89. 5 Maximum penalty--300 penalty units. 6 (2) A director, officer, employee or agent of a corporation must not, 7 without a reasonable excuse, represent or advertise that the corporation is 8 an incorporated legal practice unless a notice in relation to the corporation 9 has been given under section 89. 10 Maximum penalty--300 penalty units or 2 years imprisonment. 11 (3) A reference in this section to representing or advertising that a 12 corporation is an incorporated legal practice includes doing anything that 13 states or implies that the corporation is entitled to engage in legal practice. 14 91 Notice of termination of provision of legal services 15 A corporation must, within the period prescribed under a regulation after 16 it stops engaging in legal practice in this jurisdiction, give the law society 17 notice, in the law society approved form, of that fact. 18 Maximum penalty-- 19 (a) for a person guilty under the Criminal Code, chapter 2 of an 20 offence or for section 58529--20 penalty units; or 21 (b) for a corporation--100 penalty units. 22 Division 3--Legal practitioner directors, and other legal practitioners 23 employed by incorporated legal practices 24 92 Incorporated legal practice must have legal practitioner director 25 (1) An incorporated legal practice is required to have at least 1 legal 26 practitioner director who is validly appointed. 27 (2) Each legal practitioner director of an incorporated legal practice is, 28 for the purposes only of this Act, responsible for the management of the 29 29 Section 585 (Executive officers must ensure corporation complies with Act)

s 93 85 s 93 Legal Profession Bill 2004 legal services provided in this jurisdiction by the incorporated legal 1 practice. 2 (3) Each legal practitioner director of an incorporated legal practice must 3 ensure that appropriate management systems are implemented and 4 maintained to enable the provision of legal services by the practice-- 5 (a) under the professional obligations of Australian legal 6 practitioners and other obligations imposed under this Act; and 7 (b) so that the obligations of the Australian legal practitioners who 8 are officers or employees of the practice are not affected by other 9 officers or employees of the practice. 10 (4) If it ought reasonably to be apparent to a legal practitioner director of 11 an incorporated legal practice that the provision of legal services by the 12 practice will result in breaches of the professional obligations of an 13 Australian legal practitioner or other obligations imposed under this Act, 14 the director must take all reasonable action available to the director to 15 ensure that-- 16 (a) the breaches do not happen; and 17 (b) if a breach has happened--appropriate remedial action is taken 18 in relation to the breach. 19 (5) A contravention of subsection (3) or (4) or both by a legal 20 practitioner director is capable of constituting unsatisfactory professional 21 conduct or professional misconduct. 22 (6) Nothing in this part derogates from the obligations or liabilities of a 23 director of an incorporated legal practice under another law. 24 93 Obligations of legal practitioner director relating to misconduct 25 (1) Each of the following is capable of constituting unsatisfactory 26 professional conduct or professional misconduct by a legal practitioner 27 director-- 28 (a) unsatisfactory professional conduct or professional misconduct 29 of an Australian legal practitioner employed by the incorporated 30 legal practice; 31 (b) conduct of another director, not being an Australian legal 32 practitioner, of the incorporated legal practice that adversely 33 affects the provision of legal services by the practice; 34

s 94 86 s 94 Legal Profession Bill 2004 (c) the unsuitability of another director, not being an Australian legal 1 practitioner, of the incorporated legal practice to be a director of 2 a corporation that provides legal services. 3 (2) A legal practitioner director of an incorporated legal practice must 4 ensure that all reasonable action available to the legal practitioner director 5 is taken to deal with any unsatisfactory professional conduct or 6 professional misconduct of an Australian legal practitioner employed by 7 the practice. 8 (3) A contravention of subsection (2) is capable of constituting 9 unsatisfactory professional conduct or professional misconduct by the legal 10 practitioner director. 11 94 Incorporated legal practice without legal practitioner director 12 (1) An incorporated legal practice contravenes this subsection if it does 13 not have a legal practitioner director for the corporation for a period 14 exceeding 7 days. 15 (2) If an incorporated legal practice stops having a legal practitioner 16 director, the practice must give notice to the law society of that fact, in the 17 law society approved form, within 7 days after the practice stops having a 18 legal practitioner director. 19 Maximum penalty-- 20 (a) for a person guilty under the Criminal Code, chapter 2 of an 21 offence or for section 58530--60 penalty units; or 22 (b) for a corporation--300 penalty units. 23 (3) An incorporated legal practice that contravenes subsection (1) is 24 taken to be in default of legal practitioner director requirements under this 25 section for the period from the end of the period of 7 days until-- 26 (a) it has at least 1 legal practitioner director; or 27 (b) a person is appointed under this section, or the provisions of a 28 corresponding law, in relation to the practice. 29 (4) An incorporated legal practice must not provide legal services in this 30 jurisdiction during any period it is taken to be in default of legal 31 practitioner director requirements as mentioned in subsection (3). 32 30 Section 585 (Executive officers must ensure corporation complies with Act)

s 95 87 s 95 Legal Profession Bill 2004 Maximum penalty-- 1 (a) for a person guilty under the Criminal Code, chapter 2 of an 2 offence or for section 58531--180 penalty units; or 3 (b) for a corporation--900 penalty units. 4 (5) The law society may, if it considers it appropriate, appoint an 5 Australian legal practitioner who is an employee of the incorporated legal 6 practice, or another person nominated by the law society, in the absence of 7 a legal practitioner director, to perform or discharge the functions or duties 8 conferred or imposed on a legal practitioner director under this part. 9 (6) An Australian legal practitioner is not eligible to be appointed under 10 this section unless the practitioner holds an unrestricted practising 11 certificate. 12 (7) The appointment under this section of a person to perform or 13 discharge functions or duties of a legal practitioner director does not, for 14 any other purpose, confer or impose on the person any of the other 15 functions or duties of a director of the incorporated legal practice. 16 (8) An incorporated legal practice does not contravene subsection (1) 17 during any period during which a person holds an appointment under 18 subsection (5) in relation to the practice. 19 95 Obligations and privileges of an Australian legal practitioner who 20 is an officer or employee 21 (1) An Australian legal practitioner who provides legal services for an 22 incorporated legal practice in the capacity of an officer or employee of the 23 incorporated legal practice-- 24 (a) is not excused from compliance with the professional 25 obligations, or any obligations under any law, of an Australian 26 legal practitioner; and 27 (b) does not lose the professional privileges of an Australian legal 28 practitioner. 29 (2) For the purpose only of subsection (1), the professional obligations 30 and professional privileges of an Australian legal practitioner apply as if-- 31 (a) for an incorporated legal practice with 2 or more legal 32 practitioner directors--the practice were a partnership of the 33 31 Section 585 (Executive officers must ensure corporation complies with Act)

s 96 88 s 97 Legal Profession Bill 2004 legal practitioner directors and the employees of the practice 1 were employees of the legal practitioner directors; and 2 (b) for an incorporated legal practice with only 1 legal practitioner 3 director--the practice were a sole practitioner and the employees 4 of the practice were employees of the legal practitioner director. 5 (3) To remove any doubt, it is declared that the law relating to client legal 6 privilege, or other legal professional privilege, is not excluded or otherwise 7 affected because an Australian legal practitioner is acting in the capacity of 8 an officer or employee of an incorporated legal practice. 9 (4) The directors of an incorporated legal practice do not breach their 10 duties as directors merely because legal services are provided without fee 11 or reward by the Australian legal practitioners employed by the practice. 12 Division 4--Particular matters including application of other provisions 13 of relevant laws 14 96 Insurance obligations 15 (1) The provisions of this Act, including provisions of an administration 16 rule, relating to insurance apply with any necessary changes to 17 incorporated legal practices in relation to the provision of legal services in 18 the same way that the provisions apply to Australian legal practitioners. 19 (2) However, subsection (1) does not affect an obligation of an 20 Australian legal practitioner, who is an officer or employee of an 21 incorporated legal practice, to comply with the provisions of this Act or an 22 administration rule relating to insurance. 23 97 Conflicts of interest 24 (1) This section applies for the application of any law, including the 25 common law or a legal profession rule, relating to conflicts of interest to 26 the conduct of a legal practitioner director, or an Australian legal 27 practitioner who is an officer or employee of, an incorporated legal 28 practice. 29 (2) The interests of the incorporated legal practice or any related body 30 corporate are also taken to be those of the legal practitioner concerned, in 31 addition to any interests that the practitioner has apart from this subsection. 32

s 98 89 s 98 Legal Profession Bill 2004 (3) A legal profession rule may provide for additional duties and 1 obligations in connection with conflicts of interest arising out of the 2 conduct of an incorporated legal practice. 3 98 Disclosure obligations 4 (1) This section applies if a person engages an incorporated legal 5 practice to provide services that the person might reasonably assume to be 6 legal services, but does not apply if the practice provides only legal 7 services in this jurisdiction. 8 (2) Each legal practitioner director of the incorporated legal practice, and 9 any legal practitioner associate of the practice who provides the services 10 for the practice, must ensure that a disclosure that complies with the 11 requirements of this section and a regulation made for this section is made 12 to the person about the services. 13 Maximum penalty--100 penalty units. 14 (3) The disclosure must be made by giving the person a written notice-- 15 (a) setting out the services to be provided and identifying which of 16 those services are legal services; and 17 (b) stating whether or not all the legal services will be provided by 18 an Australian legal practitioner; and 19 (c) if some or all of the legal services to be provided will not be 20 provided by an Australian legal practitioner--identifying those 21 services and indicating the status or qualifications of the person 22 or persons who will provide those legal services; and 23 (d) stating that this Act applies to the provision of legal services but 24 not to the provision of the non-legal services. 25 (4) A regulation may provide for the following matters-- 26 (a) the way in which a disclosure is to be made; 27 (b) additional matters required to be disclosed in connection with the 28 provision of legal services or non-legal services by an 29 incorporated legal practice. 30 (5) Without limiting subsection (4), the additional matters may include 31 the kind of services provided by the incorporated legal practice and 32 whether those services are or are not covered by the provisions of this Act, 33 including, for example, provisions about insurance. 34

s 99 90 s 101 Legal Profession Bill 2004 (6) A disclosure under this section to a person about the provision of 1 legal services may relate to the provision of legal services on 1 occasion or 2 on more than 1 occasion. 3 99 Effect of non-disclosure on provision of particular services 4 (1) This section applies if-- 5 (a) section 98 applies to a service that is provided to a person who 6 has engaged an incorporated legal practice to provide the service 7 and that the person might reasonably assume to be a legal 8 service; and 9 (b) a disclosure has not been made under that section about the 10 service. 11 (2) The standard of care owed by the practice in relation to the service is 12 the standard that would be applicable if the service had been provided by 13 an Australian legal practitioner. 14 100 Application of a legal profession rule 15 A legal profession rule, so far as it applies to an Australian legal 16 practitioner, applies to an Australian legal practitioner who is an officer or 17 employee of an incorporated legal practice, unless the rule otherwise 18 provides. 19 101 Requirements relating to advertising 20 (1) A restriction imposed under this Act or another Act in connection 21 with advertising by Australian legal practitioners applies to advertising by 22 an incorporated legal practice in relation to the provision of legal services. 23 (2) If a restriction mentioned in subsection (1) is limited to a particular 24 branch of the legal profession or persons who practise in a particular style 25 of legal practice, the restriction applies only to the extent that the 26 incorporated legal practice carries on the business of that branch of the 27 legal profession or in that particular style of legal practice. 28 (3) An advertisement made in contravention of a restriction under this 29 section is, for the purposes of a disciplinary proceeding taken against an 30 Australian legal practitioner, taken to have been authorised by each legal 31 practitioner director of the incorporated legal practice. 32

s 102 91 s 103 Legal Profession Bill 2004 (4) This section does not apply if the provision by which the restriction is 1 imposed expressly excludes the application of the restriction to 2 incorporated legal practices. 3 102 Application of provisions of relevant laws relating to trust money 4 or trust accounts 5 (1) A provision under a relevant law relating to trust money or trust 6 accounts applies to an incorporated legal practice in the same way as the 7 provision applies to a solicitor within the meaning of the Trust Accounts 8 Act 1973. 9 (2) For subsection (1)-- 10 (a) the obligations and rights of a solicitor within the meaning of the 11 Trust Accounts Act 1973 under the provision of a relevant law 12 extend to an incorporated legal practice, but only in connection 13 with legal services provided by the practice; and 14 (b) money received by a solicitor within the meaning of the Trust 15 Accounts Act 1973 for another person in the course of legal 16 practice includes money received by any officer or employee of 17 the incorporated legal practice for another person in the course of 18 providing legal services. 19 (3) A regulation may provide that specified provisions under a relevant 20 law relating to trust money or trust accounts do not apply to incorporated 21 legal practices or apply with specified changes. 22 103 Application provisions about client agreements etc. to 23 incorporated legal practices 24 A regulation may provide that specified provisions of the Queensland 25 Law Society Act 1952, parts 4A and 4B32 do not apply to incorporated legal 26 practices or apply with specified changes. 27 32 Queensland Law Society Act 1952, parts 4A (Client agreements) and 4B (Payment for work)

s 104 92 s 106 Legal Profession Bill 2004 104 Extension to incorporated legal practice of vicarious liability 1 relating to failure to account and dishonesty 2 (1) This section applies to any of the following, being a proceeding 3 based on the vicarious liability of an incorporated legal practice-- 4 (a) a civil proceeding relating to a failure to account for, pay or 5 deliver money or other property received by, or entrusted to, the 6 practice or to any officer or employee of the practice in the 7 course of the provision of legal services by the practice, being 8 money or other property under the direct or indirect control of 9 the practice; 10 (b) a civil proceeding for any other debt owed, or damages payable, 11 to a client because of a dishonest act or omission by a legal 12 practitioner associate employed by the practice in connection 13 with the provision of legal services to the client. 14 (2) If the incorporated legal practice would not, apart from this section, 15 be vicariously liable for any acts or omissions of its officers and employees 16 in the proceeding, but would be liable for those acts or omissions if the 17 practice and those officers and employees were carrying on business in 18 partnership, the practice is taken to be vicariously liable for those acts or 19 omissions. 20 105 Sharing of receipts 21 (1) Nothing under this Act prevents an Australian legal practitioner from 22 sharing with an incorporated legal practice receipts arising from the 23 provision of legal services by the practitioner. 24 (2) This section does not extend to the sharing of receipts in 25 contravention of section 106, and has effect subject to section 217.33 26 106 Disqualified persons 27 (1) An incorporated legal practice commits an offence if a person who is 28 a disqualified person-- 29 (a) is an officer or employee of the incorporated legal practice, 30 whether or not the person provides legal services, or is an officer 31 or employee of a related body corporate of the practice; or 32 33 Section 217 (Particular provision about barristers rule)

s 107 93 s 107 Legal Profession Bill 2004 (b) is a partner of the incorporated legal practice in a business that 1 includes the provision of legal services; or 2 (c) shares the receipts of the provision of legal services by the 3 incorporated legal practice; or 4 (d) is engaged or paid for the provision of legal services by the 5 incorporated legal practice. 6 Maximum penalty-- 7 (a) for a person guilty under the Criminal Code, chapter 2 of an 8 offence or for section 58534--60 penalty units; or 9 (b) for a corporation--300 penalty units. 10 (2) Failure by a legal practitioner director of an incorporated legal 11 practice to ensure that the incorporated legal practice complies with 12 subsection (1) is capable of constituting professional misconduct. 13 Division 5--Ensuring compliance with this Act by incorporated legal 14 practices 15 107 Commissioner or law society may audit incorporated legal 16 practice 17 (1) An ILP authority may conduct an audit of an incorporated legal 18 practice about-- 19 (a) the compliance of the practice, and of its officers and employees, 20 with the requirements of-- 21 (i) this part; or 22 (ii) a regulation, a legal profession rule or an administration 23 rule, so far as it applies to incorporated legal practices; or 24 (iii) an incorporated legal practice rule; and 25 (b) the management of the provision of legal services by the 26 incorporated legal practice, including the supervision of officers 27 and employees providing the services. 28 34 Section 585 (Executive officers must ensure corporation complies with Act)

s 108 94 s 108 Legal Profession Bill 2004 (2) An audit may be conducted whether or not a complaint has been 1 made against a person in relation to the provision of legal services by the 2 incorporated legal practice. 3 (3) A report of the audit-- 4 (a) must be given to the incorporated legal practice concerned; and 5 (b) may be given to another ILP authority; and 6 (c) may be taken into account for-- 7 (i) a discipline application involving legal practitioner directors 8 or other persons; or 9 (ii) the grant, renewal, amendment, cancellation or suspension 10 of a practising certificate. 11 108 Banning of incorporated legal practices 12 (1) The Supreme Court may, on application of an ILP authority, make an 13 order disqualifying a corporation from providing legal services in this 14 jurisdiction for the period the court considers appropriate if the court is 15 satisfied that-- 16 (a) a ground for disqualifying the corporation under this section has 17 been established; and 18 (b) the disqualification is justified. 19 (2) If the Supreme Court considers it appropriate, an order under this 20 section may be made-- 21 (a) subject to conditions as to the conduct of the incorporated legal 22 practice; or 23 (b) subject to conditions as to when or in what circumstances the 24 order is to take effect; or 25 (c) together with orders to safeguard the interests of clients or 26 employees of the incorporated legal practice. 27 (3) Action may be taken against an incorporated legal practice on any of 28 the following grounds-- 29 (a) a legal practitioner director or an Australian legal practitioner 30 who is an officer or employee of the corporation is found guilty 31 of professional misconduct under a relevant law or a 32 corresponding law; 33

s 108 95 s 108 Legal Profession Bill 2004 (b) an ILP authority is satisfied, after conducting an audit of the 1 incorporated legal practice, that the incorporated legal practice 2 has failed to implement satisfactory management and supervision 3 of its provision of legal services; 4 (c) the incorporated legal practice, or a related body corporate, has 5 contravened section 8735 or a regulation made under that section; 6 (d) the incorporated legal practice has contravened section 106;36 7 (e) a person is acting in the management of the incorporated legal 8 practice who is the subject of an order-- 9 (i) under section 109 or provisions of a corresponding law that 10 correspond to that section; or 11 (ii) under section 13937 or provisions of a corresponding law 12 that correspond to that section. 13 (4) If a corporation is disqualified under this section, the ILP authority 14 that applied for the order must notify the corresponding authority of every 15 other jurisdiction. 16 (5) If a corporation is disqualified from providing legal services in 17 another jurisdiction under a corresponding law, the commissioner may 18 decide that the corporation is taken to be disqualified from providing legal 19 services in this jurisdiction for the same period, but nothing in this 20 subsection prevents an ILP authority from instead applying for an order 21 under this section. 22 (6) A corporation that provides legal services in contravention of a 23 disqualification under this section commits an offence. 24 Maximum penalty-- 25 (a) for a person guilty under the Criminal Code, chapter 2 of an 26 offence or for section 58538--180 penalty units; or 27 (b) for a corporation--900 penalty units. 28 (7) A corporation that is disqualified under this section ceases to be an 29 incorporated legal practice. 30 35 Section 87 (Non-legal services and businesses of incorporated legal practices) 36 Section 106 (Disqualified persons) 37 Section 139 (Prohibition on partnership with particular partner who is not an Australian legal practitioner) 38 Section 585 (Executive officers must ensure corporation complies with Act)

s 109 96 s 109 Legal Profession Bill 2004 (8) Conduct of an Australian legal practitioner who provides legal 1 services for a corporation in the capacity of an officer or employee of the 2 corporation is capable of being unsatisfactory professional conduct or 3 professional misconduct if the practitioner ought reasonably to have known 4 that the corporation is disqualified under this section. 5 (9) A regulation may provide for the publication and notification of 6 orders made under this section, including notification of corresponding 7 authorities of other jurisdictions. 8 109 Disqualification from managing incorporated legal practice 9 (1) The Supreme Court may, on application of an ILP authority, make an 10 order disqualifying a person from managing a corporation that is an 11 incorporated legal practice for the period the court considers appropriate if 12 the court is satisfied that-- 13 (a) the person is a person who could be disqualified under the 14 Corporations Act, section 206C, 206D, 206E or 206F39 from 15 managing corporations; and 16 (b) the disqualification is justified. 17 (2) The Supreme Court may, on application of a person subject to a 18 disqualification order under this section, revoke the order. 19 (3) A disqualification order made under subsection (1) has effect for the 20 purposes only of this Act and does not affect the application or operation of 21 the Corporations Act. 22 (4) A regulation may provide for the publication and notification of 23 orders made under this section. 24 (5) A person who is disqualified from managing a corporation under 25 provisions of a corresponding law that correspond to this section is taken to 26 be disqualified from managing a corporation under this section. 27 39 Corporations Act, section 206C (Court power of disqualification--contravention of civil penalty provision), 206D (Court power of disqualification--insolvency and non-payment of debts), 206E (Court power of disqualification--repeated contraventions of Act) or 206F (ASIC's power of disqualification)

s 110 97 s 111 Legal Profession Bill 2004 110 Disclosure of information to the Australian Securities and 1 Investments Commission 2 (1) This section applies if an ILP authority, in connection with 3 performing functions or exercising powers under this Act, acquired 4 information concerning a corporation that is or was an incorporated legal 5 practice. 6 (2) The ILP authority may disclose to the Australian Securities and 7 Investments Commission information concerning the corporation that is 8 relevant to the commission's functions. 9 (3) Information may be provided under subsection (2) despite any law 10 relating to secrecy or confidentiality, including any provisions of this Act. 11 Division 6--External administration 12 111 External administration proceedings under Corporations Act 13 (1) This section applies to a proceeding in any court under the 14 Corporations Act, chapter 540-- 15 (a) relating to a corporation that is an externally-administered body 16 corporate under that Act and that is or was an incorporated legal 17 practice; or 18 (b) relating to a corporation that is or was an incorporated legal 19 practice becoming an externally-administered body corporate 20 under that Act. 21 (2) Each ILP authority is entitled to intervene in the proceeding, unless 22 the court decides that the proceeding does not concern or affect the 23 provision of legal services by the incorporated legal practice. 24 (3) The court may, when exercising its jurisdiction in the proceeding, 25 have regard to the interests of the clients of the incorporated legal practice 26 who have been or are to be provided with legal services by the practice. 27 (4) Subsection (3) does not authorise the court to make any decision that 28 is contrary to a specific provision of the Corporations Act. 29 40 Corporations Act, chapter 5 (External administration)

s 112 98 s 113 Legal Profession Bill 2004 (5) Subsections (2) and (3) are declared to be Corporations legislation 1 displacement provisions for the purposes of the Corporations Act, 2 section 5G in relation to the provisions of chapter 5 of that Act. 3 4 Note-- 5 The Corporations Act, section 5G, provides that if a State law declares a provision of a 6 State law to be a Corporations legislation displacement provision, any provision of the 7 Corporations legislation with which the State provision would otherwise be 8 inconsistent does not apply to the extent necessary to avoid the inconsistency. 112 External administration proceedings under other legislation 9 (1) This section applies to a proceeding for the external administration, 10 however expressed, of an incorporated legal practice but does not apply to a 11 proceeding to which section 111 applies. 12 (2) Each ILP authority is entitled to intervene in the proceeding, unless 13 the court decides that the proceeding does not concern or affect the 14 provision of legal services by the incorporated legal practice. 15 (3) The court may, when exercising its jurisdiction in the proceeding, 16 have regard to the interests of the clients of the incorporated legal practice 17 who have been or are to be provided with legal services by the practice. 18 (4) Subsection (3) does not authorise the court to make any decision that 19 is contrary to a specific provision of any legislation applicable to the 20 incorporated legal practice. 21 113 Incorporated legal practice that is subject to receivership under 22 this Act and external administration under Corporations Act 23 (1) This section applies if an incorporated legal practice is the subject of 24 both-- 25 (a) the appointment of a QLS receiver; and 26 (b) the appointment of a Corporations Act administrator. 27 (2) The QLS receiver is under a duty to notify the Corporations Act 28 administrator of the appointment of the QLS receiver, whether the 29 appointment precedes, follows or is contemporaneous with the 30 appointment of the Corporations Act administrator. 31 (3) The QLS receiver or the Corporations Act administrator, or both of 32 them jointly, may apply to the Supreme Court for the resolution of issues 33 arising from or in connection with the dual appointments and their 34

s 114 99 s 114 Legal Profession Bill 2004 respective powers, except if a proceeding mentioned in section 111 has 1 been started. 2 (4) The Supreme Court may make any orders it considers appropriate, 3 and no liability attaches to the QLS receiver or the Corporations Act 4 administrator for any act or omission done by the receiver or administrator 5 in good faith for the purpose of carrying out or acting under the orders. 6 (5) Each ILP authority is entitled to intervene in the proceeding, unless 7 the court decides that the proceeding does not concern or affect the 8 provision of legal services by the incorporated legal practice. 9 (6) The provisions of subsections (3) and (4) are declared to be 10 Corporations legislation displacement provisions for the purposes of the 11 Corporations Act, section 5G in relation to the provisions of chapter 5 of 12 that Act. 13 (7) In this section-- 14 "Corporations Act administrator" means-- 15 (a) a receiver, receiver and manager, liquidator (including a 16 provisional liquidator), controller, administrator or deed 17 administrator appointed under the Corporations Act; or 18 (b) a person who is appointed to exercise powers under that Act and 19 who is prescribed under a regulation for this definition. 20 "QLS receiver" means a receiver appointed under section 333.41 21 114 Incorporated legal practice that is subject to receivership under 22 this Act and external administration under other legislation 23 (1) This section applies if an incorporated legal practice is the subject of 24 both-- 25 (a) the appointment of a QLS receiver; and 26 (b) the appointment of an external administrator. 27 (2) The QLS receiver is under a duty to notify the external administrator 28 of the appointment of the QLS receiver, whether the appointment precedes, 29 follows or is contemporaneous with the appointment of the external 30 administrator. 31 41 Section 333 (Appointment of receiver)

s 115 100 s 116 Legal Profession Bill 2004 (3) The QLS receiver or the external administrator, or both of them 1 jointly, may apply to the Supreme Court for the resolution of issues arising 2 from or in connection with the dual appointments and their respective 3 powers. 4 (4) The Supreme Court may make any orders it considers appropriate, 5 and no liability attaches to the QLS receiver or the external administrator 6 for any act or omission done by the receiver or administrator in good faith 7 for the purpose of carrying out or acting under the orders. 8 (5) Each ILP authority is entitled to intervene in the proceeding, unless 9 the court decides that the proceeding does not concern or affect the 10 provision of legal services by the incorporated legal practice. 11 (6) In this section-- 12 "external administrator" means a person who is-- 13 (a) appointed to exercise powers under an Act other than a relevant 14 law, or under an Act of the Commonwealth or another 15 jurisdiction; and 16 (b) prescribed under a regulation for this definition. 17 "QLS receiver" means a receiver appointed under section 333. 18 Division 7--Miscellaneous 19 115 Cooperation between courts 20 Courts of this jurisdiction may make arrangements for communicating 21 and cooperating with other courts or tribunals in connection with the 22 exercise of powers under this part. 23 116 Relationship of Act to constitution of incorporated legal practice 24 A provision under a relevant law that applies in relation to an 25 incorporated legal practice prevails, to the extent of any inconsistency, over 26 the constitution or other constituent documents of the practice. 27

s 117 101 s 119 Legal Profession Bill 2004 117 Relationship of Act to legislation establishing incorporated legal 1 practice 2 (1) This section applies to a corporation, established by or under a law 3 whether or not of this jurisdiction, that is an incorporated legal practice but 4 is not a company under the Corporations Act. 5 (2) The provisions of this Act that apply to an incorporated legal practice 6 prevail, to the extent of any inconsistency, over provisions of the legislation 7 under which the corporation is established or regulated that are prescribed 8 under a regulation. 9 118 Relationship of Act to Corporations legislation and certain other 10 instruments 11 (1) A regulation may declare a provision under a relevant law that relates 12 to an incorporated legal practice to be a Corporations legislation 13 displacement provision for the purposes of the Corporations Act, 14 section 5G.42 15 (2) A regulation may declare a matter relating to an incorporated legal 16 practice that is prohibited, required, authorised or permitted under a 17 relevant law to be an excluded matter for the purposes of the Corporations 18 Act, section 5F,43 in relation to-- 19 (a) the whole of the Corporations legislation; or 20 (b) a specified provision of the Corporations legislation; or 21 (c) the Corporations legislation other than a specified provision; or 22 (d) the Corporations legislation other than to a specified extent. 23 (3) In this section-- 24 "matter" includes act, omission, body, person or thing. 25 119 Undue influence 26 A person, whether or not an officer or employee of an incorporated legal 27 practice, must not cause or induce an Australian legal practitioner who 28 42 Corporations Act, section 5G (Avoiding direct inconsistency arising between the Corporations legislation and State and Territory laws) 43 Corporations Act, section 5F (Corporations legislation does not apply to matters declared by State or Territory law to be an excluded matter)

s 120 102 s 121 Legal Profession Bill 2004 provides legal services for the practice, to contravene this Act or the 1 practitioner's professional obligations as an Australian legal practitioner. 2 Maximum penalty--300 penalty units. 3 120 Obligations of individual practitioners not affected 4 Except as provided by this part, nothing in this part affects an obligation 5 imposed on a legal practitioner director of an incorporated legal practice, or 6 a legal practitioner associate of the practice who provides legal services for 7 the practice, under this Act or another Act in his or her capacity as an 8 Australian legal practitioner. 9 121 Regulation may require training requirement for legal 10 practitioner director 11 (1) A regulation may provide for the following-- 12 (a) that a legal practitioner director of an incorporated legal practice 13 must undertake training as required by the regulation; 14 (b) the legal services provided by incorporated legal practices; 15 (c) other services provided by incorporated legal practices in 16 circumstances where a conflict of interest relating to the 17 provision of legal services may arise. 18 (2) Without limiting subsection (1)(a), the regulation may provide that a 19 person who has a qualification or experience of a type prescribed under the 20 regulation need not undertake that training. 21 (3) A regulation may provide that a breach of a provision of the 22 regulation is capable of constituting unsatisfactory professional conduct or 23 professional misconduct by a legal practitioner director, or by the 24 Australian legal practitioner responsible for the breach, or both. 25

s 122 103 s 124 Legal Profession Bill 2004 PART 6--LEGAL PRACTICE BY 1 MULTI-DISCIPLINARY PARTNERSHIPS 2 Division 1--Preliminary 3 122 Main purpose of ch 2, pt 6 4 The main purpose of this part is to regulate the provision of legal 5 services by multi-disciplinary partnerships in this jurisdiction, whether or 6 not the legal services are provided in conjunction with other services. 7 123 Meaning of "multi-disciplinary partnership" 8 (1) A partnership is a "multi-disciplinary partnership" if it is a 9 partnership between 1 or more Australian legal practitioners and 1 or more 10 other persons who are not Australian legal practitioners, if the partnership 11 business includes the provision of legal services in this jurisdiction as well 12 as other services. 13 (2) However, a partnership consisting only of 1 or more Australian legal 14 practitioners and 1 or more Australian-registered foreign lawyers is not a 15 multi-disciplinary partnership. 16 (3) Nothing in this part affects or applies to the provision by a 17 multi-disciplinary partnership of legal services in 1 or more other 18 jurisdictions. 19 Division 2--Multi-disciplinary partnerships providing legal services 20 124 Conduct of multi-disciplinary partnerships 21 (1) An Australian legal practitioner may be in partnership with a person 22 who is not an Australian legal practitioner, if the partnership business 23 includes the provision of legal services. 24 (2) Subsection (1) does not prevent an Australian legal practitioner from 25 being in partnership with a person who is not an Australian legal 26 practitioner, if the partnership business does not include the provision of 27 legal services. 28

s 125 104 s 126 Legal Profession Bill 2004 (3) A regulation may prohibit an Australian legal practitioner from being 1 in partnership with a person providing a service or conducting a business of 2 a kind specified under the regulation, if the partnership business includes 3 the provision of legal services. 4 125 Notice of intention to start practice in multi-disciplinary 5 partnership 6 (1) Before an Australian legal practitioner starts to provide legal services 7 in this jurisdiction as a partner in a multi-disciplinary partnership, the 8 practitioner must give the law society notice, in the law society approved 9 form, of his or her intention to do so. 10 Maximum penalty--100 penalty units. 11 (2) A regulation may prescribe the particulars to be included in the law 12 society approved form. 13 Division 3--Legal practitioner partners and other legal practitioners 14 employed by multi-disciplinary partnerships 15 126 General obligations of legal practitioner partners 16 (1) Each legal practitioner partner of a multi-disciplinary partnership is, 17 for the purposes only of this Act, responsible for the management of the 18 legal services provided in this jurisdiction by the partnership. 19 (2) Each legal practitioner partner must ensure that appropriate 20 management systems are implemented and maintained to enable the 21 provision of legal services by the multi-disciplinary partnership-- 22 (a) under the professional obligations of Australian legal 23 practitioners and other obligations imposed under this Act; and 24 (b) so that the obligations of legal practitioner partners, and legal 25 practitioner associates who are employed by the practice, are not 26 affected by other partners and employees of the partnership. 27 (3) A contravention of subsection (2) by a legal practitioner partner is 28 capable of constituting unsatisfactory professional conduct or professional 29 misconduct. 30

s 127 105 s 128 Legal Profession Bill 2004 127 Obligations of legal practitioner partner relating to misconduct 1 (1) Each of the following is capable of constituting unsatisfactory 2 professional conduct or professional misconduct by a legal practitioner 3 partner of a multi-disciplinary partnership-- 4 (a) unsatisfactory professional conduct or professional misconduct 5 of an Australian legal practitioner employed by the 6 multi-disciplinary partnership; 7 (b) conduct of another partner, not being an Australian legal 8 practitioner, of the multi-disciplinary partnership that adversely 9 affects the provision of legal services by the partnership; 10 (c) the unsuitability of another partner, not being an Australian legal 11 practitioner, of the multi-disciplinary partnership to be a member 12 of a partnership that provides legal services. 13 (2) A legal practitioner partner of a multi-disciplinary partnership must 14 ensure that all reasonable action available to the legal practitioner partner is 15 taken to deal with any unsatisfactory professional conduct or professional 16 misconduct of an Australian legal practitioner employed by the partnership. 17 (3) A contravention of subsection (2) is capable of constituting 18 unsatisfactory professional conduct or professional misconduct by the legal 19 practitioner partner. 20 128 Actions of partner who is not an Australian legal practitioner 21 (1) A partner of a multi-disciplinary partnership who is not an Australian 22 legal practitioner does not contravene a provision of this Act merely 23 because of any of the following-- 24 (a) the partner is a member of a partnership and the partnership 25 business includes the provision of legal services; 26 (b) the partner receives a fee, gain or reward for business of the 27 partnership that is the business of an Australian legal practitioner; 28 (c) the partner holds out, advertises or represents himself or herself 29 as a member of a partnership where the partnership business 30 includes the provision of legal services; 31 (d) the partner shares with another partner the receipts of business of 32 the partnership that is the business of an Australian legal 33 practitioner. 34

s 129 106 s 131 Legal Profession Bill 2004 (2) Subsection (1) is subject to any other provision that expressly applies 1 to a partner of a multi-disciplinary partnership who is not an Australian 2 legal practitioner. 3 129 Obligations and privileges of Australian legal practitioner who is 4 partner or employee 5 (1) An Australian legal practitioner who provides legal services in the 6 capacity of a partner or an employee of a multi-disciplinary partnership-- 7 (a) is not excused from compliance with the professional 8 obligations, or other obligations under any law, of an Australian 9 legal practitioner; and 10 (b) does not lose the professional privileges of an Australian legal 11 practitioner. 12 (2) To remove any doubt, it is declared that the law relating to client legal 13 privilege, or other legal professional privilege, is not excluded or otherwise 14 affected because an Australian legal practitioner is acting in the capacity of 15 a partner or employee of a multi-disciplinary partnership. 16 130 Conflicts of interest 17 (1) This section applies for the application of any law, including the 18 common law or a legal profession rule, relating to conflicts of interest to 19 the conduct of an Australian legal practitioner who is a legal practitioner 20 partner or employee of a multi-disciplinary partnership. 21 (2) The interests of the multi-disciplinary partnership, or any partner of 22 the multi-disciplinary partnership, are also taken to be the interests of the 23 legal practitioner concerned, in addition to any interests that the 24 practitioner has apart from this subsection. 25 (3) A legal profession rule may provide for additional duties and 26 obligations in connection with conflicts of interest arising out of the 27 conduct of a multi-disciplinary partnership. 28 131 Disclosure obligations 29 (1) This section applies if a person engages a multi-disciplinary 30 partnership to provide services that the person might reasonably assume to 31 be legal services. 32

s 132 107 s 132 Legal Profession Bill 2004 (2) Each legal practitioner partner of the multi-disciplinary partnership, 1 and any employee of the partnership who is an Australian legal practitioner 2 and who provides the services on behalf of the partnership, must ensure 3 that a disclosure that complies with the requirements of this section and a 4 regulation made for this section is made to the person about the services. 5 Maximum penalty--100 penalty units. 6 (3) The disclosure must be made by giving the person a written notice-- 7 (a) setting out the services to be provided and identifying which of 8 those services are legal services; and 9 (b) stating whether or not all the legal services will be provided by 10 an Australian legal practitioner; and 11 (c) if some or all of the legal services to be provided will not be 12 provided by an Australian legal practitioner--identifying those 13 services and indicating the status or qualifications of the person 14 or persons who will provide those legal services; and 15 (d) stating that this Act applies to the provision of legal services but 16 not to the provision of the non-legal services. 17 (4) A regulation may provide for the following matters-- 18 (a) the way in which a disclosure is to be made; 19 (b) additional matters required to be disclosed in connection with the 20 provision of legal services or non-legal services by a 21 multi-disciplinary partnership. 22 (5) Without limiting subsection (4), the additional matters may include 23 the kind of services provided by the multi-disciplinary partnership and 24 whether those services are or are not covered by the provisions of this Act, 25 including, for example, provisions about insurance. 26 (6) A disclosure under this section to a person about the provision of 27 legal services may relate to the provision of legal services on 1 occasion or 28 on more than 1 occasion. 29 132 Effect of non-disclosure on provision of particular services 30 (1) This section applies if-- 31 (a) section 131 applies in relation to a service that is provided to a 32 person who has engaged a multi-disciplinary partnership to 33

s 133 108 s 134 Legal Profession Bill 2004 provide the service and that the person might reasonably assume 1 to be a legal service; and 2 (b) a disclosure has not been made under that section in relation to 3 the service. 4 (2) The standard of care owed by the multi-disciplinary partnership in 5 relation to the service is the standard that would be applicable if the service 6 had been provided by an Australian legal practitioner. 7 133 Application of a legal profession rule 8 A legal profession rule, so far as it applies to an Australian legal 9 practitioner, applies to the following unless the rule otherwise provides-- 10 (a) an Australian legal practitioner who is a legal practitioner partner 11 of a multi-disciplinary partnership; 12 (b) an Australian legal practitioner who is an employee of the 13 multi-disciplinary partnership. 14 134 Requirements relating to advertising 15 (1) A restriction imposed under this Act or another Act in connection 16 with advertising by Australian legal practitioners applies to advertising by a 17 multi-disciplinary partnership in relation to the provision of legal services. 18 (2) If a restriction mentioned in subsection (1) is limited to a particular 19 branch of the legal profession or persons who practise in a particular style 20 of legal practice, the restriction applies only to the extent that the 21 multi-disciplinary partnership carries on the business of that branch of the 22 legal profession or that particular style of legal practice. 23 (3) An advertisement by a multi-disciplinary partnership about the 24 provision of services that include legal services is, for the purposes of a 25 disciplinary proceeding against an Australian legal practitioner, taken to 26 have been authorised by each legal practitioner partner of the 27 multi-disciplinary partnership. 28 (4) This section does not apply if the provision by which the restriction is 29 imposed expressly excludes its application to multi-disciplinary 30 partnerships. 31

s 135 109 s 137 Legal Profession Bill 2004 135 Requirements relating to trust accounts and particular moneys 1 (1) A provision under a relevant law relating to trust money or trust 2 accounts applies to a multi-disciplinary partnership in the same way as the 3 provision applies to a solicitor within the meaning of the Trust Accounts 4 Act 1973. 5 (2) For subsection (1)-- 6 (a) the obligations and rights of a solicitor within the meaning of the 7 Trust Accounts Act 1973 under the provision of a relevant law 8 extend to a multi-disciplinary partnership, but only in connection 9 with legal services provided by the partnership; and 10 (b) money received by a solicitor within the meaning of the Trust 11 Accounts Act 1973 for another person in the course of legal 12 practice includes money received by any officer or employee of 13 the multi-disciplinary partnership for another person in the 14 course of providing legal services. 15 (3) A regulation may provide that specified provisions under a relevant 16 law relating to trust money or trust accounts do not apply to a 17 multi-disciplinary partnership or apply with specified changes. 18 136 Application of provisions about client agreements etc. to 19 multi-disciplinary partnerships 20 A regulation may provide that specified provisions of the Queensland 21 Law Society Act 1952, parts 4A and 4B44 do not apply to multi-disciplinary 22 partnerships or apply with specified changes. 23 137 Sharing of receipts 24 (1) Nothing under this Act prevents a legal practitioner partner of a 25 multi-disciplinary partnership, or an Australian legal practitioner who is an 26 employee of a multi-disciplinary partnership, from sharing with a partner 27 of the partnership who is not an Australian legal practitioner, receipts 28 arising from the provision of legal services by the partner or practitioner. 29 44 Queensland Law Society Act 1952, parts 4A (Client agreements) and 4B (Payment for work)

s 138 110 s 139 Legal Profession Bill 2004 (2) This section does not extend to the sharing of receipts in 1 contravention of section 138, and has effect subject to section 217.45 2 138 Disqualified persons 3 (1) A legal practitioner partner of a multi-disciplinary partnership must 4 not knowingly-- 5 (a) be a partner of a disqualified person in the multi-disciplinary 6 partnership; or 7 (b) share with a disqualified person the receipts of the provision of 8 legal services by the multi-disciplinary partnership; or 9 (c) employ or pay a disqualified person in connection with the 10 provision of legal services by the multi-disciplinary partnership. 11 (2) A contravention of subsection (1) by a legal practitioner partner of a 12 multi-disciplinary partnership is capable of constituting unsatisfactory 13 professional conduct or professional misconduct. 14 139 Prohibition on partnership with particular partner who is not an 15 Australian legal practitioner 16 (1) This section applies to a person who-- 17 (a) is not an Australian legal practitioner; and 18 (b) is or was a partner of an Australian legal practitioner. 19 (2) The Supreme Court may make an order prohibiting an Australian 20 legal practitioner from being a partner of a person to whom this section 21 applies and who is specified in the order in relation to a business that 22 includes the provision of legal services if the court is satisfied that-- 23 (a) the person is not a fit and proper person to be a partner; or 24 (b) the person has been found guilty of conduct that, if the person 25 were an Australian legal practitioner, would have constituted 26 unsatisfactory professional conduct or professional misconduct; 27 or 28 45 Section 217 (Particular provision about barristers rule)

s 140 111 s 141 Legal Profession Bill 2004 (c) for a corporation--the corporation has, under section 108,46 been 1 disqualified from providing legal services in this jurisdiction or 2 there are grounds for disqualifying the corporation from 3 providing legal services in this jurisdiction. 4 (3) An order made under this section may be revoked by the Supreme 5 Court on application by the law society, the commissioner or by the person 6 against whom the order was made. 7 (4) The death of an Australian legal practitioner does not prevent an 8 application being made for, or the making of, an order under this section in 9 relation to a person who was a partner of the practitioner. 10 (5) The Supreme Court may make an order under subsection (2) on 11 application by the commissioner or the law society or on its own initiative. 12 (6) A regulation may make provision about the publication and 13 notification of orders made under this section. 14 140 Undue influence 15 A person, whether or not a partner or employee of a multi-disciplinary 16 partnership, must not cause or induce either of the following persons to 17 contravene this Act or the person's professional obligations as an 18 Australian legal practitioner-- 19 (a) a legal practitioner partner of a multi-disciplinary partnership; 20 (b) an employee of a multi-disciplinary partnership who provides 21 legal services and who is an Australian legal practitioner. 22 Maximum penalty--300 penalty units. 23 141 Obligations of practitioners not affected 24 Except as provided by this part, nothing in this part affects an obligation 25 imposed on a legal practitioner partner of, or an Australian legal 26 practitioner who is an employee of, a multi-disciplinary partnership under 27 this Act or another Act in his or her capacity as an Australian legal 28 practitioner. 29 46 Section 108 (Banning of incorporated legal practices)

s 142 112 s 144 Legal Profession Bill 2004 142 Regulations 1 (1) A regulation may provide for the following-- 2 (a) the legal services provided by legal practitioner partners or 3 employees of multi-disciplinary partnerships; 4 (b) other services provided by legal practitioner partners or 5 employees of multi-disciplinary partnerships in circumstances in 6 which a conflict of interest relating to the provision of legal 7 services may arise. 8 (2) A regulation may provide that a breach of a provision of the 9 regulation is capable of constituting unsatisfactory professional conduct or 10 professional misconduct by a legal practitioner partner of a 11 multi-disciplinary partnership, or by the Australian legal practitioner 12 responsible for the breach, or both. 13 PART 7--FIDELITY COVER 14 Division 1--Preliminary 15 143 Purpose of ch 2, pt 7 16 The purpose of this part is to establish and maintain a fund to provide a 17 source of compensation for defaults by law practices arising from acts or 18 omissions of associates of the law practices. 19 144 Definitions for ch 2, pt 7 20 In this part-- 21 "capping and sufficiency provisions" means-- 22 (a) for this jurisdiction--sections 182 and 183;47 or 23 (b) for another jurisdiction--the provisions of the corresponding law 24 of that jurisdiction that correspond to those sections. 25 47 Sections 182 (Caps on payments) and 183 (Sufficiency of fidelity fund)

s 145 113 s 145 Legal Profession Bill 2004 "claim" means a claim, under this part, against the fidelity fund about a 1 default of a law practice. 2 "claimant" means a person who makes a claim. 3 "concerted interstate default" means a default of a law practice that 4 arises from an act or omission-- 5 (a) that was committed jointly by 2 or more associates of the 6 practice; or 7 (b) parts of which were committed by different associates of the 8 practice or different combinations of associates of the practice; 9 if this jurisdiction is the relevant jurisdiction for at least 1 of the 10 associates and another jurisdiction is the relevant jurisdiction for at 11 least 1 other of the associates. 12 "default", in relation to a law practice, means-- 13 (a) a failure of the practice to pay or deliver trust money or trust 14 property that was received by the practice, or an associate of the 15 practice, in the course of legal practice by the practice or an 16 associate, if the failure arises from an act or omission of an 17 associate that involves dishonesty; or 18 (b) a fraudulent dealing with trust property that was received by the 19 law practice, or an associate of the practice, in the course of legal 20 practice by the practice or an associate, if the fraudulent dealing 21 is constituted by or arises from an act or omission of an associate 22 that involves dishonesty. 23 "pecuniary loss", in relation to a default of a law practice, means-- 24 (a) the amount of trust money, or the value of trust property, that is 25 not paid or delivered; or 26 (b) the amount of money that a person loses or is deprived of, or the 27 loss of value of trust property, as a result of a fraudulent dealing. 28 145 Application of pt 7 defaults of particular barristers 29 (1) This part does not apply to a default of a local legal practitioner who 30 holds a current local practising certificate granted or renewed by the bar 31 association. 32

s 146 114 s 147 Legal Profession Bill 2004 (2) Also a regulation may provide whether or not, and if so to what 1 extent, this part applies or does not apply to a default of an interstate legal 2 practitioner. 3 146 Time of default 4 (1) A default of a law practice is taken to have happened when the act or 5 omission giving rise to, or constituting, the default happened. 6 (2) An omission is taken to have happened on-- 7 (a) the date on or by which the act not performed ought reasonably 8 to have been performed; or 9 (b) if a date can not be decided under paragraph (a)--on another date 10 decided under a regulation. 11 (3) Subsections (1) and (2) are relevant to decide the following-- 12 (a) which jurisdiction's law applies to a default of a law practice by 13 reference to when the default happened; 14 (b) whether the law practice was a law practice at the time when the 15 default happened. 16 (4) However, subsection (3) does not limit the other purposes for which 17 subsections (1) and (2) may be relevant. 18 Division 2--Fidelity fund 19 147 Establishment of fidelity fund 20 (1) The Legal Practitioners' Fidelity Guarantee Fund established under 21 the Queensland Law Society Act 1952, section 12, as in force immediately 22 before the commencement of this section, is continued in existence under 23 this Act. 24 (2) The fidelity fund continues to be vested in the law society. 25 (3) Subject to section 154,48 the law society must manage and administer 26 the fidelity fund. 27 48 Section 154 (Law society may delegate its powers in relation to the fidelity fund to a committee of management)

s 148 115 s 150 Legal Profession Bill 2004 148 Insurance 1 (1) The law society may arrange with an insurer for insurance in relation 2 to claims, and liabilities arising out of claims, against the fidelity fund. 3 (2) Without limiting subsection (1), the law society may arrange for 4 insurance relating to particular claims or particular classes of claims. 5 (3) The proceeds paid under a policy of insurance against particular 6 claims or particular classes of claims are to be paid into the fidelity fund, 7 and a claimant is not entitled to have direct recourse to the proceeds or any 8 part of the proceeds. 9 (4) No liability, including liability in defamation, is incurred by a 10 protected person in relation to anything done or omitted to be done in good 11 faith for the purpose of arranging for insurance under this section. 12 (5) In this section-- 13 "protected person" means-- 14 (a) the law society or a council member; or 15 (b) a person acting at the direction of the law society or a council 16 member. 17 149 Limitation on borrowing powers of law society for fidelity fund 18 (1) Despite the Statutory Bodies Financial Arrangements Act 1982, the 19 law society can not borrow money for the purposes of the fidelity fund. 20 (2) Subsection (1) does not apply to an advance to the fund by the law 21 society under section 158.49 22 150 Fund to be kept in separate account 23 All moneys constituting the fund must, pending the investment or 24 application of the amount of that money under this Act or another Act, be 25 paid or transferred into a financial institution to the credit of a separate 26 account to be called `The Legal Practitioners' Fidelity Guarantee Fund 27 Account'. 28 49 Section 158 (Law society may advance moneys from its general funds to fidelity fund)

s 151 116 s 152 Legal Profession Bill 2004 151 Moneys payable into fidelity fund 1 The fidelity fund consists of the following-- 2 (a) all amounts paid to or on account of the fund by Australian legal 3 practitioners under this Act as contributions or levies; 4 (b) the interest accruing from the investment of the amount of all or 5 part of the fund under the Statutory Bodies Financial 6 Arrangements Act 1982; 7 (c) all amounts given or advanced to the fund by the law society 8 under section 158;50 9 (d) all amounts properly payable to the fund and recovered for the 10 law society in the exercise of any right of action conferred under 11 this Act; 12 (e) all other amounts that may be lawfully paid into the fund. 13 152 Expenditure from fund 14 Subject to this Act, the following may be paid out of the fund as 15 required-- 16 (a) the amount of all claims, including costs and interest allowed or 17 established against the fund under this Act; 18 (b) all legal expenses and costs incurred in defending claims made 19 against the fund or otherwise incurred in relation to the fund; 20 (c) all premiums payable in relation to contracts of insurance entered 21 into by the law society under section 148;51 22 (d) the expenses incurred in the administration of the fund; 23 (e) the amount of repayments for amounts given or advanced to the 24 fund by the law society under section 158;52 25 50 Section 158 (Law society may advance moneys from its general funds to fidelity fund) 51 Section 148 (Insurance) 52 Section 158 (Law society may advance moneys from its general funds to fidelity fund)

s 153 117 s 155 Legal Profession Bill 2004 (f) all unpaid charges on the fund, and liabilities of the fund, as 1 mentioned in section 183;53 2 (g) all other moneys payable out of the fund under this Act. 3 153 Audit of accounts 4 (1) This section applies in addition to the Financial Administration and 5 Audit Act 1977, section 73.54 6 (2) At least once a year, the auditor-general must audit the accounts of 7 the fidelity fund separately to the audit of the law society. 8 (3) However, the auditor-general may audit the accounts more often than 9 required under subsection (2). 10 (4) For an audit of the accounts of the fidelity fund, the auditor-general 11 may perform the functions and exercise the powers of the auditor-general 12 under the Financial Administration and Audit Act 1977, part 6. 13 154 Law society may delegate its powers in relation to the fidelity fund 14 to a committee of management 15 (1) This section applies if the law society establishes a committee of 16 management for the fidelity fund and delegates any or all of its powers in 17 relation to the fidelity fund to the committee of management. 18 (2) The committee must consist of not less than 3 nor more than 19 5 council members. 20 (3) The majority of members of the committee must be council 21 members. 22 155 Minister may require report about fund 23 (1) This section applies if, at any time, the Minister believes that the 24 fidelity fund is not sufficient to satisfy the liabilities of the fund at or about 25 that time. 26 53 Section 183 (Sufficiency of fidelity fund) 54 Financial Administration and Audit Act 1977, section 73 (Auditor-general to audit consolidated fund and public sector entities unless exempted)

s 156 118 s 157 Legal Profession Bill 2004 (2) The Minister may, by written notice to the council, require the law 1 society to give the Minister a written report about the fund on the matters 2 stated in the notice. 3 (3) The law society must comply with the requirement within 14 days 4 after receiving the notice or within the further time allowed by the 5 Minister. 6 156 Contribution to fidelity fund 7 (1) A person who applies to the law society for the grant or renewal of a 8 local practising certificate in relation to a financial year must pay a 9 contribution for the financial year to the fidelity fund under an 10 administration rule of the law society. 11 (2) A payment of a contribution under this section is in addition to all 12 other fees payable in relation to the application. 13 (3) Without limiting section 226,55 an administration rule of the law 14 society may provide for different contributions to be payable by different 15 classes of local legal practitioners. 16 (4) This section does not apply to-- 17 (a) a government legal officer whose local practising certificate is 18 subject to a condition that the officer is not to engage in legal 19 practice other than as a government legal officer engaged in 20 government work; or 21 (b) local legal practitioners of a particular class prescribed under a 22 regulation. 23 157 Levy for benefit of fidelity fund 24 (1) This section applies if, at a particular time, the law society believes 25 that the fidelity fund is not sufficient to satisfy the liabilities of the fidelity 26 fund at or about that time. 27 (2) The law society may, by resolution, impose on each local legal 28 practitioner who must pay a contribution under section 156 for the relevant 29 financial year, or local legal practitioners of a particular class, a levy of an 30 amount that the law society considers reasonable. 31 55 Section 226 (Rules other than legal professional rule)

s 158 119 s 159 Legal Profession Bill 2004 (3) Without limiting section 226,56 an administration rule of the law 1 society may provide for different levies to be payable by different classes 2 of local legal practitioners. 3 (4) The amount of the levy is payable into the fidelity fund by a date and 4 in a way stated in the resolution. 5 158 Law society may advance moneys from its general funds to fidelity 6 fund 7 The law society may, from its general funds, give or advance on terms as 8 the law society considers reasonable an amount for the fidelity fund. 9 Division 3--Defaults to which this part applies 10 159 Meaning of "relevant jurisdiction" 11 (1) The "relevant jurisdiction", for an associate of a law practice whose 12 act or omission, whether alone or with 1 or more other associates of the 13 practice, gives rise to a default of the practice, is the relevant jurisdiction 14 decided under this section. 15 (2) For a default involving trust money received in Australia, whether or 16 not it was paid into an Australian trust account, the relevant jurisdiction for 17 the associate is-- 18 (a) if the trust money was paid into an Australian trust account and 19 the associate, whether alone or with a co-signatory, was 20 authorised to withdraw any or all of the trust money from the 21 only or last Australian trust account in which the trust money was 22 held before the default--the jurisdiction under whose law that 23 trust account was kept; or 24 (b) otherwise--the associate's home jurisdiction. 25 (3) For a default involving trust money received outside Australia and 26 paid into an Australian trust account, the relevant jurisdiction for the 27 associate is-- 28 (a) if the associate, whether alone or with a co-signatory, was 29 authorised to withdraw any or all of the trust money from the 30 56 Section 226 (Rules other than legal professional rule)

s 160 120 s 161 Legal Profession Bill 2004 only or last Australian trust account in which the trust money was 1 held before the default--the jurisdiction under whose law that 2 trust account was kept; or 3 (b) otherwise--the associate's home jurisdiction. 4 (4) For a default involving trust property received in Australia, or 5 received outside Australia and brought into Australia, the relevant 6 jurisdiction for the associate is the associate's home jurisdiction. 7 8 Note-- 9 Section 18757 provides that the law society may treat the default as consisting of 2 or 10 more defaults for the purpose of deciding the liability of the fidelity fund. 160 Defaults to which this part applies 11 (1) This part applies to a default of a law practice arising from an act or 12 omission of 1 or more associates of the practice, if this jurisdiction is the 13 relevant jurisdiction for the only associate or 1 or more of the associates 14 involved. 15 (2) Each of the following is immaterial-- 16 (a) the jurisdiction where the default happened; 17 (b) that the act or omission giving rise to a default does not constitute 18 a crime or other offence under the law of this jurisdiction, the 19 Commonwealth or another jurisdiction; 20 (c) that a proceeding has not been started, or if started has not ended, 21 in relation to a crime or other offence of that kind. 22 161 Defaults relating to financial services or investments 23 (1) This part does not apply to a default of a law practice to the extent 24 that the default happens in relation to money or property that is entrusted to 25 the practice in connection with-- 26 (a) a financial service provided by the practice, or an associate of the 27 practice, in circumstances where the practice or associate-- 28 (i) is required to hold an Australian financial services licence 29 covering the provision of the service, whether or not an 30 57 Section 187 (Defaults involving interstate elements if committed by 1 associate only)

s 161 121 s 161 Legal Profession Bill 2004 Australian financial services licence is held at any relevant 1 time; or 2 (ii) provides the service as a representative of another person 3 who carries on a financial services business; or 4 (b) a managed investment scheme, or mortgage financing, 5 undertaken by the practice; or 6 (c) another purpose that is an investment purpose, whether on the 7 practice's own account or as agent. 8 (2) However, this part does apply to a default of a law practice if the 9 default happens in relation to money or property that was not placed with 10 the practice for investment purposes unless-- 11 (a) the money or property was entrusted to or held by the practice-- 12 (i) in the ordinary course of legal practice in relation to a 13 matter; and 14 (ii) primarily in connection with the provision of legal services 15 to or at the direction of the client for that matter; and 16 (b) the investment is or is to be made-- 17 (i) in the ordinary course of legal practice; and 18 (ii) for the ancillary purpose of maintaining or enhancing the 19 value of the money or property pending completion of the 20 matter or further stages of the matter or pending payment or 21 delivery of the money or property to or at the direction of 22 the client. 23 (3) In this section-- 24 "Australian financial services licence" has the same meaning as in the 25 Corporations Act, chapter 7.58 26 "financial service" has the same meaning as in the Corporations Act, 27 chapter 7. 28 "financial services business" has the same meaning as in the Corporations 29 Act, chapter 7. 30 "representative" has the same meaning as in the Corporations Act, 31 chapter 7. 32 58 Corporations Act, chapter 7 (Financial services and markets)

s 162 122 s 163 Legal Profession Bill 2004 Division 4--Claims about defaults 1 162 Claims about defaults 2 (1) A person who suffers pecuniary loss because of a default of a law 3 practice to which this part applies may make a claim against the fidelity 4 fund to the law society about the default. 5 (2) The claim must be made in the law society approved form. 6 (3) The law society may require the person who makes a claim to do 7 either or both of the following-- 8 (a) to give further information about the claim or any dispute to 9 which the claim relates; 10 (b) to verify the claim, or any further information, by statutory 11 declaration. 12 163 Time limit for making claims 13 (1) A claim does not lie against the fidelity fund unless the prospective 14 claimant notifies the law society of the default concerned-- 15 (a) within 6 months after the prospective claimant becomes aware of 16 the default; or 17 (b) within a further period allowed by the law society; or 18 (c) if, on appeal to the Supreme Court against the refusal of the law 19 society to allow a further period for the claim, the court allows a 20 further period for making the claim--within the period allowed 21 by the court. 22 (2) The Supreme Court or law society may allow a further period 23 mentioned in subsection (1) only if it is satisfied that-- 24 (a) it would be reasonable to do so after taking into account all 25 ascertained and contingent liabilities of the fidelity fund; and 26 (b) it would be appropriate to do so in the particular case having 27 regard to matters the Supreme Court or law society considers 28 relevant. 29

s 164 123 s 164 Legal Profession Bill 2004 (3) A claim may be made under section 16559 even though the claim does 1 not lie under subsection (1). 2 164 Advertisements 3 (1) If the law society considers that there has been, or may have been, a 4 default of a law practice, it may publish either or both of the following-- 5 (a) a notice that seeks information about the default; 6 (b) a notice that invites claims relating to the default and fixes a final 7 date after which claims relating to the default can not be made. 8 (2) The final date fixed by the notice must be a date that is-- 9 (a) at least 3 months after the date of the first or only publication of 10 the notice; and 11 (b) not more than 1 year after the date of that first or only 12 publication. 13 (3) The notice must be published-- 14 (a) in a newspaper circulating generally throughout Australia; and 15 (b) in a newspaper circulating generally in each jurisdiction where 16 the law society believes the law practice has an office or, at any 17 relevant time, had an office; and 18 (c) on the law society Internet site. 19 (4) The law society may provide information to persons making 20 inquiries in response to the notice. 21 (5) Apart from extending the period during which claims can be made 22 under this part, if relevant, publication of the notice under this section does 23 not confer any entitlements in relation to any claim, or the default to which 24 it relates, or provide any grounds affecting the decision of any claim. 25 (6) Neither the publication in good faith of the notice under this section, 26 nor the provision of information in good faith under this section, subjects a 27 protected person to any liability including liability in defamation. 28 (7) In this section-- 29 "protected person" means-- 30 59 Section 165 (Time limit for making claims following advertisement)

s 165 124 s 166 Legal Profession Bill 2004 (a) the law society or a council member; or 1 (b) the proprietor, editor or publisher of a newspaper; or 2 (c) an Internet service provider or Internet content host; or 3 (d) a person acting at the direction of a person or entity mentioned in 4 paragraph (a), (b) or (c). 5 165 Time limit for making claims following advertisement 6 (1) This section applies if the law society publishes a notice under 7 section 164 fixing a final date after which claims relating to a default of a 8 law practice can not be made. 9 (2) A claim may be made-- 10 (a) up to and including the final date fixed under the notice; or 11 (b) within a further period allowed by the law society; or 12 (c) if the Supreme Court allows a further period after the law society 13 refuses to do so--within the period allowed by the court. 14 (3) A claim may be made under subsection (2) even though it would have 15 been barred under section 16360 had the notice not been published. 16 (4) The Supreme Court or law society may allow a further period 17 mentioned in subsection (2) only if it is satisfied that-- 18 (a) it would be reasonable to do so after taking into account all 19 ascertained and contingent liabilities of the fidelity fund; and 20 (b) it would be appropriate to do so in the particular case having 21 regard to matters the Supreme Court or law society considers 22 relevant. 23 166 Claims not affected by certain matters 24 (1) A claim may be made about a law practice's default despite a change 25 in the status of the practice or the associate concerned after the happening 26 of the act or omission from which the default arose. 27 (2) A claim that has been made is not affected by a later change in the 28 status of the practice or associate. 29 60 Section 163 (Time limit for making claims)

s 167 125 s 168 Legal Profession Bill 2004 (3) For this section, a change in status includes-- 1 (a) for a partnership--a change in the membership or staffing of, or 2 the dissolution of, the partnership; and 3 (b) for an incorporated legal practice--a change in the directorship 4 or staffing of, or the winding up or dissolution of, the practice; 5 and 6 (c) for an associate who was an Australian legal practitioner--the 7 fact that the associate has ceased to practise or to hold an 8 Australian practising certificate; and 9 (d) for an associate who was an individual--the associate's death. 10 167 Investigation of claims 11 The law society may investigate a claim made to it in the same way it 12 may investigate a complaint. 13 Division 5--Deciding claims 14 168 Law society to decide claim 15 (1) The law society may decide a claim by entirely or partly allowing or 16 disallowing it. 17 (2) The law society may disallow a claim to the extent that the claim 18 does not relate to a default of a law practice for which the fidelity fund is 19 liable. 20 (3) The law society may entirely or partly disallow a claim, or reduce a 21 claim, to the extent that-- 22 (a) the claimant knowingly assisted in or contributed towards, or was 23 a party or accessory to, the act or omission giving rise to the 24 claim; or 25 (b) the conduct of the transaction with the law practice in relation to 26 which the claim is made was illegal, and the claimant knew or 27 ought reasonably to have known of that illegality; or 28 (c) proper and usual records were not brought into existence during 29 the conduct of the transaction, or were destroyed, and the 30

s 169 126 s 170 Legal Profession Bill 2004 claimant knew or ought reasonably to have known that records of 1 that kind would not be kept or would be destroyed; or 2 (d) the claimant has unreasonably refused to disclose information or 3 documents to or cooperate with-- 4 (i) the law society in the investigation of the claim; or 5 (ii) another entity in the investigation of the claim, including, 6 for example, an investigator or a police officer. 7 (4) Subsections (2) and (3) do not limit the law society's power to 8 disallow a claim on another ground. 9 (5) Without limiting subsection (2) or (3), the law society may reduce the 10 amount otherwise payable on a claim to the extent the law society 11 considers appropriate if satisfied that the claimant-- 12 (a) assisted in or contributed towards, or was a party or accessory to, 13 the act or omission giving rise to the claim; or 14 (b) unreasonably failed to mitigate losses arising from the act or 15 omission giving rise to the claim; or 16 (c) has unreasonably hindered the investigation of the claim. 17 (6) The law society must, in allowing a claim, specify the amount 18 payable. 19 169 Maximum amount allowable 20 (1) The amount payable in relation to a default of a law practice must not 21 be more than the pecuniary loss resulting from the default. 22 (2) This section does not apply to costs payable under section 170 or to 23 interest payable under section 171. 24 170 Costs 25 (1) If the law society entirely or partly allows a claim, it must order 26 payment of the claimant's reasonable legal costs involved in making and 27 proving the claim, unless the law society considers that special 28 circumstances exist warranting-- 29 (a) a reduction in the amount of costs; or 30 (b) a decision that no amount should be paid for costs. 31

s 171 127 s 172 Legal Profession Bill 2004 (2) If the law society entirely disallows a claim, the law society may 1 order payment of the whole or part of the claimant's reasonable legal costs 2 involved in making and attempting to prove the claim, if the law society 3 considers it is appropriate to make the order. 4 (3) The costs are payable from the fidelity fund. 5 171 Interest 6 (1) In deciding the amount of pecuniary loss resulting from a default of a 7 law practice, the law society is to add interest on the amount payable 8 (excluding interest), unless it considers that special circumstances exist 9 warranting-- 10 (a) a reduction in the amount of interest; or 11 (b) a decision that no amount should be paid by way of interest. 12 (2) The interest is to be calculated from the date on which the claim was 13 made to the date the law society notifies the claimant that the claim has 14 been allowed at the rate specified in or prescribed under a regulation. 15 (3) To the extent a regulation does not provide for a rate for 16 subsection (2), interest is to be calculated at the rate of 5% per year. 17 172 Reduction of claim because of other benefits 18 (1) A person is not entitled to recover from the fidelity fund any amount 19 equal to amounts, or to the value of other benefits, from other sources 20 relating to the pecuniary loss to which a claim relates-- 21 (a) that have already been paid to or received by the person; or 22 (b) that have already been decided and are payable to or receivable 23 by the person; or 24 (c) that the law society believes are likely to be paid to or received 25 by the person; or 26 (d) that the law society believes might, but for neglect or failure on 27 the person's part, have been paid or payable to or received or 28 receivable by the person. 29

s 173 128 s 173 Legal Profession Bill 2004 (2) The law society may, at its absolute discretion, pay to a person the 1 whole or part of an amount mentioned in subsection (1)(c) if satisfied that 2 payment is warranted to alleviate hardship, but nothing in this subsection 3 affects section 175.61 4 173 Subrogation 5 (1) On payment from the fidelity fund of a claim, the law society is 6 subrogated to the rights and remedies of the claimant against any person in 7 relation to the default to which the claim relates. 8 (2) Without limiting subsection (1), that subsection extends to a right or 9 remedy against-- 10 (a) the associate about whom the claim is made; or 11 (b) the person authorised to administer the estate of the associate 12 about whom the claim is made and who is deceased or an 13 insolvent under administration. 14 (3) Subsection (1) does not apply to a right or remedy against an 15 associate if, had the associate been a claimant in relation to the default, the 16 claim would not be disallowable, entirely or partly, on any of the grounds 17 set out in section 168(3).62 18 (4) The law society may exercise its rights and remedies under this 19 section in its own name or in the name of the claimant. 20 (5) If the law society brings a proceeding under this section in the name 21 of the claimant, it must indemnify the claimant against any costs awarded 22 against the claimant in the proceeding. 23 (6) The law society may exercise its rights and remedies under this 24 section even though any limitation periods under this part have expired. 25 (7) The law society must pay into the fidelity fund any money recovered 26 in exercising its rights and remedies under this section. 27 61 Section 175 (Repayment of surplus amount) 62 Section 168 (Law society to decide claim)

s 174 129 s 176 Legal Profession Bill 2004 174 Proceedings brought under right of subrogation 1 In any proceeding brought in a court under section 173-- 2 (a) evidence of any admission or confession by, or other evidence 3 that would be admissible against, an Australian legal practitioner 4 or other person in relation to an act or omission giving rise to a 5 claim is admissible to prove the act or omission despite the fact 6 that the practitioner or other person is not a defendant in, or a 7 party to, the proceeding; and 8 (b) any defence that would have been available to the practitioner or 9 other person is available to the law society. 10 175 Repayment of surplus amount 11 (1) This section applies if a claimant-- 12 (a) receives a payment from the fidelity fund relating to a claim for a 13 default of a law practice; and 14 (b) receives or recovers from another source or sources a payment on 15 account of the pecuniary loss in relation to the default; and 16 (c) there is a surplus after deducting the amount of the pecuniary 17 loss from the total amount received or recovered by the claimant 18 from both or all sources. 19 (2) The amount of the surplus is a debt payable by the claimant to the 20 fidelity fund. 21 (3) However, the amount payable by the claimant can not be more than 22 the amount the claimant received from the fidelity fund in relation to the 23 claim for the pecuniary loss. 24 176 Notification of delay in making decision 25 (1) If the law society considers that a claim is not likely to be decided 26 within 1 year after the claim was made, the law society must give written 27 notice to the claimant that the claim is not likely to be decided within 28 1 year after the claim was made. 29 (2) The notice must contain a brief statement of reasons for the delay. 30

s 177 130 s 178 Legal Profession Bill 2004 177 Notification of decision 1 After the law society makes a decision mentioned in this division in 2 relation to a claim, the law society must give the claimant an information 3 notice about the decision. 4 Division 6--Appeals 5 178 Appeal against decision on claim 6 (1) A claimant may appeal to the Supreme Court against either of the 7 following decisions of the law society but not a decision to limit the 8 amount payable, or to decline to pay an amount, made under the capping 9 and sufficiency provisions of this jurisdiction-- 10 (a) a decision to entirely or partly disallow a claim; 11 (b) a decision to reduce the amount allowed in relation to a claim. 12 (2) An appeal against a decision must be lodged within 30 days of 13 receiving the information notice about the decision. 14 (3) On an appeal under this section-- 15 (a) the appellant must establish that all or part of the amount sought 16 to be recovered from the fidelity fund is not reasonably available 17 from other sources, unless the law society waives that 18 requirement; and 19 (b) the court may, on application by the law society, stay the appeal 20 pending further action being taken to seek recovery of that 21 amount from other sources. 22 (4) The Supreme Court may review the merits of the law society's 23 decision. 24 (5) The Supreme Court may-- 25 (a) affirm the decision; or 26 (b) if satisfied there are reasons for varying or setting aside the law 27 society's decision-- 28 (i) vary the decision; or 29 (ii) set aside the decision and make a decision in substitution for 30 the decision set aside; or 31

s 179 131 s 179 Legal Profession Bill 2004 (iii) set aside the decision and remit the matter for 1 reconsideration by the law society under a direction or 2 recommendation of the court. 3 (6) For subsection (5), the Supreme Court may make other orders as it 4 considers appropriate. 5 (7) However, an order for costs is not to be made on an appeal under this 6 section unless the Supreme Court is satisfied that an order for costs should 7 be made in the interests of justice. 8 179 Appeal against failure to decide claim within 1 year 9 (1) A claimant may appeal to the Supreme Court against a failure of the 10 law society to decide a claim after 1 year after the claim was made. 11 (2) An appeal against a failure to decide a claim may be made at any time 12 after the period of 1 year after the claim was made and while the failure 13 continues. 14 (3) On an appeal under this section-- 15 (a) the appellant must establish that all or part of the amount sought 16 to be recovered from the fidelity fund is not reasonably available 17 from other sources, unless the law society waives that 18 requirement; and 19 (b) the Supreme Court may, on application by the law society, stay 20 the appeal pending further action being taken to seek recovery of 21 that amount from other sources. 22 (4) The Supreme Court may decide the appeal-- 23 (a) by giving directions to the law society to decide the matter 24 expeditiously and-- 25 (i) if the court is satisfied that there has been unreasonable 26 delay--ordering that interest be paid at a specified rate that 27 is higher than the rate applicable under section 171,63 until 28 further order or the decision for the claim; or 29 (ii) otherwise--ordering that, if delay continues in 30 circumstances of a specified kind, interest be paid for a 31 specified period at a specified rate that is higher than the rate 32 63 Section 171 (Interest)

s 180 132 s 182 Legal Profession Bill 2004 applicable under section 171, until further order or the 1 decision for the claim; or 2 (b) by deciding not to give a direction or make an order under 3 paragraph (a). 4 (5) An order for costs must not be made on an appeal under this section 5 unless the Supreme Court is satisfied that an order for costs should be made 6 in the interests of justice. 7 180 Proceedings on appeal 8 In any proceeding brought in a court under section 178-- 9 (a) evidence of any admission or confession by, or other evidence 10 that would be admissible against, an Australian legal practitioner 11 or other person in relation to an act or omission giving rise to a 12 claim is admissible to prove the act or omission despite the fact 13 that the practitioner or other person is not a defendant in, or a 14 party to, the proceeding; and 15 (b) any defence that would have been available to the practitioner or 16 other person is available to the law society. 17 Division 7--Payments from fidelity fund for defaults 18 181 Payments for defaults 19 (1) The fidelity fund is to be applied by the law society for compensating 20 claimants in relation to claims allowed under this part for defaults of law 21 practices to which this part applies. 22 (2) An amount payable from the fidelity fund in relation to a claim is 23 payable to-- 24 (a) the claimant; or 25 (b) another person at the claimant's direction. 26 182 Caps on payments 27 (1) A regulation may fix either or both of the following-- 28

s 183 133 s 183 Legal Profession Bill 2004 (a) the maximum amounts, or the method of calculating maximum 1 amounts, that may be paid from the fidelity fund for individual 2 claims or classes of individual claims; 3 (b) the maximum aggregate amount, or the method of calculating the 4 maximum aggregate amount, that may be paid from the fidelity 5 fund for all claims made in relation to individual law practices or 6 classes of law practices. 7 (2) Amounts must not be paid from the fidelity fund that are more than 8 the amounts fixed, or calculated by a method fixed, under subsection (1). 9 (3) Payments from the fidelity fund under subsection (2) are made in full 10 and final settlement of the claims concerned. 11 (4) Despite subsection (2), the law society may authorise payment of a 12 larger amount if satisfied that it would be reasonable to do so after taking 13 into account the position of the fidelity fund and the circumstances of the 14 particular case. 15 (5) No proceeding can be brought, by way of appeal or otherwise, to 16 require the payment of a larger amount or to require the law society to 17 consider payment of a larger amount. 18 183 Sufficiency of fidelity fund 19 (1) If the law society believes that the fidelity fund is likely to be 20 insufficient to meet the fund's ascertained and contingent liabilities, it may 21 do any or all of the following-- 22 (a) postpone all payments relating to all or any class of claims out of 23 the fund; 24 (b) impose a levy under section 157;64 25 (c) make partial payments of the amounts of 1 or more allowed 26 claims out of the fund with payment of the balance being a 27 charge on the fund; 28 (d) make partial payments of the amounts of 2 or more allowed 29 claims out of the fund on a pro rata basis, with payment of the 30 balance ceasing to be a liability of the fund. 31 (2) In deciding whether to do any or all of the things mentioned in 32 subsection (1), the law society-- 33 64 Section 157 (Levy for benefit of fidelity fund)

s 184 134 s 185 Legal Profession Bill 2004 (a) must have regard to cases of hardship if it knows relevant 1 information; and 2 (b) must endeavour to treat outstanding claims equally and equitably, 3 but may make special adjustments in cases of hardship. 4 (3) If the law society declares that a decision is made under 5 subsection (1)(d)-- 6 (a) the balance specified in the declaration ceases to be a liability of 7 the fidelity fund; and 8 (b) the law society may, but need not, revoke the declaration in 9 relation to either all or a specified part of the balance, and the 10 balance or that part of the balance again becomes a liability of 11 the fund. 12 (4) A decision of the law society made under this section is final and not 13 subject to appeal or review. 14 Division 8--Claims by law practices or associates 15 184 Claims by law practices or associates about defaults 16 (1) This section applies to a default of a law practice arising from an act 17 or omission of an associate of the practice. 18 (2) A claim may be made under section 16265 by-- 19 (a) the law practice, if the practice is an incorporated legal practice 20 and it suffers pecuniary loss because of the default; or 21 (b) another associate of the law practice, if the other associate suffers 22 pecuniary loss because of the default. 23 185 Claims by law practices or associates about notional defaults 24 (1) This section applies if a default of a law practice arising from an act 25 or omission of an associate of the practice was avoided, remedied or 26 reduced by a financial contribution made by the practice or by 1 or more 27 other associates. 28 65 Section 162 (Claims about defaults)

s 186 135 s 186 Legal Profession Bill 2004 (2) The default, to the extent that it was avoided, remedied or reduced, is 1 a "notional default". 2 (3) This part applies to a notional default in the same way as it applies to 3 other defaults of law practices, but only the law practice or the other 4 associate or associates concerned are eligible to make claims about the 5 notional default. 6 Division 9--Defaults involving interstate elements 7 186 Concerted interstate defaults 8 (1) The law society may treat a concerted interstate default as if the 9 default consisted of 2 or more separate defaults-- 10 (a) 1 of which is a default to which this part applies, if this 11 jurisdiction is the relevant jurisdiction for 1 or more of the 12 associates involved; and 13 (b) the other or others of which are defaults to which this part does 14 not apply, if another jurisdiction or jurisdictions are the relevant 15 jurisdictions for 1 or more of the associates involved. 16 (2) The law society may treat a claim about a concerted interstate default 17 as if the claim consisted of-- 18 (a) 1 or more claims made under this part; and 19 (b) 1 or more claims made under a corresponding law or laws. 20 (3) A claim about a concerted interstate default is to be assessed on the 21 basis that the fidelity funds of the relevant jurisdictions involved are to 22 contribute-- 23 (a) in equal shares in relation to the default, regardless of the number 24 of associates involved in each of those jurisdictions, and 25 disregarding the capping and sufficiency provisions of those 26 jurisdictions; or 27 (b) in other shares as agreed by the law society and the 28 corresponding authority or authorities involved. 29 (4) Subsection (3) does not affect the application of the capping and 30 sufficiency requirements of this jurisdiction in relation to the amount 31 payable from the fidelity fund after the claim has been assessed. 32

s 187 136 s 187 Legal Profession Bill 2004 187 Defaults involving interstate elements if committed by 1 associate 1 only 2 (1) This section applies to a default of a law practice that arises from an 3 act or omission that was committed by only 1 associate of the practice, if 4 the default involves more than 1 of the cases mentioned in section 159(2) 5 to (4).66 6 (2) The law society may treat the default to which this section applies as 7 if the default consisted of 2 or more separate defaults-- 8 (a) 1 of which is a default to which this part applies, if this 9 jurisdiction is the relevant jurisdiction; and 10 (b) the other or others of which are defaults to which this part does 11 not apply, if another jurisdiction or jurisdictions are the relevant 12 jurisdictions. 13 (3) The law society may treat a claim about the default to which this 14 section applies as if the claim consisted of-- 15 (a) 1 or more claims made under this part; and 16 (b) 1 or more claims made under a corresponding law or laws. 17 (4) A claim about a default to which this section applies is to be assessed 18 on the basis that the fidelity funds of the relevant jurisdictions involved are 19 to contribute-- 20 (a) in equal shares in relation to the default, and disregarding the 21 capping and sufficiency provisions of those jurisdictions; or 22 (b) in other shares as agreed by the law society and the 23 corresponding authority or authorities involved. 24 (5) Subsection (4) does not affect the application of the capping and 25 sufficiency requirements of this jurisdiction in relation to the amount 26 payable from the fidelity fund after the claim has been assessed. 27 66 Section 159 (Meaning of "relevant jurisdiction")

s 188 137 s 189 Legal Profession Bill 2004 Division 10--Inter-jurisdictional provisions 1 188 Protocols 2 (1) A regulation may authorise the law society to enter into arrangements 3 ("fidelity protocols") with corresponding authorities in relation to matters 4 to which this part relates. 5 (2) Without limiting subsection (1), a regulation may authorise the 6 making of a fidelity protocol that provides that the law society is taken to 7 have-- 8 (a) requested a corresponding authority to act as agent of the law 9 society in specified classes of cases; or 10 (b) agreed to act as agent of a corresponding authority in specified 11 classes of cases. 12 (3) A regulation may provide for the amendment, revocation or 13 replacement of a fidelity protocol. 14 (4) A fidelity protocol, or an amendment, revocation or replacement of a 15 fidelity protocol, has effect in this jurisdiction only to the extent it is 16 approved under a regulation. 17 189 Forwarding claims to corresponding authority in another 18 jurisdiction 19 (1) If a claim is made to the law society about a default of a law practice 20 that appears to be a default to which a corresponding law applies, the law 21 society must give the claim or a copy of it to a corresponding authority of 22 the jurisdiction concerned. 23 (2) If a claim is made to a corresponding authority about a default that 24 appears to be a default to which this part applies and the claim or a copy of 25 it is given under a corresponding law to the law society by the 26 corresponding authority, the claim is taken-- 27 (a) to have been made under this part; and 28 (b) to have been so made when the claim was received by the 29 corresponding authority. 30

s 190 138 s 192 Legal Profession Bill 2004 190 Investigation of defaults to which this part applies 1 (1) This section applies if a default of a law practice appears to be a 2 default to which this part applies and to have happened-- 3 (a) solely in another jurisdiction; or 4 (b) in more than 1 jurisdiction; or 5 (c) in circumstances in which it can not be decided precisely in 6 which jurisdiction the default happened. 7 (2) The law society may request a corresponding authority of another 8 jurisdiction, or corresponding authorities of other jurisdictions, to act as 9 agent or agents for the law society, for processing or investigating a claim 10 about the default or aspects of the claim. 11 191 Investigation of defaults to which a corresponding law applies 12 (1) This section applies if a default of a law practice appears to be a 13 default to which a corresponding law applies and to have-- 14 (a) happened solely in this jurisdiction; or 15 (b) happened in more than 1 jurisdiction including this jurisdiction; 16 or 17 (c) happened in circumstances in which it can not be decided 18 precisely in which jurisdiction the default happened. 19 (2) The law society may act as agent of a corresponding authority of 20 another jurisdiction, if requested to do so by the corresponding authority, 21 for the purpose of processing or investigating a claim about the default or 22 aspects of the claim. 23 (3) If the law society agrees to act as agent of a corresponding authority 24 under subsection (2), the law society may exercise any of its functions or 25 powers in relation to processing or investigating the claim or aspects of the 26 claim as if the claim had been made under this part. 27 192 Investigation of concerted interstate defaults 28 (1) This section applies if a concerted interstate default appears to have 29 happened. 30 (2) The law society may request a corresponding authority of another 31 jurisdiction, or corresponding authorities of other jurisdictions, to act as 32

s 193 139 s 194 Legal Profession Bill 2004 agent or agents for the law society, for processing or investigating a claim 1 about the default or aspects of the claim. 2 (3) The law society may act as agent of a corresponding authority of 3 another jurisdiction, if requested to do so by the corresponding authority, 4 for processing or investigating a claim about the default or aspects of the 5 claim. 6 (4) If the law society agrees to act as agent of a corresponding authority 7 under subsection (3), the law society may perform and exercise any of its 8 functions and powers in relation to processing or investigating the claim or 9 aspects of the claim as if the claim had been made entirely under this part. 10 193 Recommendations by law society to corresponding authority 11 If the law society is acting as agent of a corresponding authority in 12 relation to a claim made under a corresponding law, the law society may 13 make recommendations about the decision that the corresponding authority 14 might make about the claim. 15 194 Recommendations to and decisions by law society after receiving 16 recommendations from corresponding authority 17 (1) If a corresponding authority makes recommendations about the 18 decision the law society might make about a claim in relation to which the 19 corresponding authority was acting as agent of the law society, the law 20 society may-- 21 (a) make its decision about the claim in conformity with the 22 recommendations, whether with or without further consideration, 23 investigation or inquiry; or 24 (b) disregard the recommendations. 25 (2) A corresponding authority can not, as agent of the law society, make 26 a decision about the claim under division 5.67 27 67 Division 5 (Deciding claims)

s 195 140 s 197 Legal Profession Bill 2004 195 Request to another jurisdiction to investigate aspects of claim 1 (1) The law society may request a corresponding authority to arrange for 2 the investigation of any aspect of a claim being dealt with by the law 3 society and to provide a report on the result of the investigation. 4 (2) A report on the result of the investigation received from either of the 5 following may be used and taken into consideration by the law society in 6 the course of dealing with the claim under this part-- 7 (a) the corresponding authority; 8 (b) a person or entity authorised, under a corresponding law, by the 9 corresponding authority to conduct the investigation. 10 196 Request from another jurisdiction to investigate aspects of claim 11 (1) If a request, made under a corresponding law, is received by the law 12 society from a corresponding authority to arrange for the investigation of 13 any aspect of a claim being dealt with under a corresponding law, the law 14 society may conduct the investigation. 15 (2) The provisions of this part relating to the investigation of a claim 16 apply, with any necessary changes, in relation to the investigation of the 17 relevant aspect of the claim that is the subject of the request. 18 (3) The law society must provide a report on the result of the 19 investigation to the corresponding authority. 20 197 Cooperation with other authorities 21 (1) When dealing with a claim under this part involving an Australian 22 legal practitioner, the law society may consult and cooperate with an entity 23 that has functions or powers under the corresponding law of another 24 jurisdiction in relation to the practitioner. 25 (2) For subsection (1), the law society and the entity may exchange 26 information concerning the claim. 27

s 198 141 s 199 Legal Profession Bill 2004 Division 11--Miscellaneous 1 198 Interstate legal practitioner becoming authorised to withdraw 2 from local trust account 3 (1) This section applies to an interstate legal practitioner who, whether 4 alone or with a co-signatory, becomes authorised to withdraw money from 5 a local trust account. 6 (2) A regulation may do either or both of the following-- 7 (a) require the practitioner to notify the law society of the 8 authorisation; 9 (b) require the practitioner to make contributions and levies to the 10 fidelity fund as if the practitioner were a local legal practitioner, 11 including the way a contribution or levy is to be paid. 12 (3) Without limiting subsection (2), a regulation may provide for 13 deciding the way in which the notice is to be given and the information or 14 material that is to be included in or to accompany the notice. 15 (4) A contravention of a requirement under this section is capable of 16 constituting unsatisfactory professional conduct or professional 17 misconduct. 18 199 Application of part to incorporated legal practices 19 (1) A regulation may provide that specified provisions of this part, and 20 other provisions of this Act, do not apply to incorporated legal practices or 21 apply with specified changes. 22 (2) For the application to an incorporated legal practice of the provisions 23 of this part and other provisions of this Act, a reference in those provisions 24 to a default of a law practice extends to a default of an incorporated legal 25 practice, but only if it happens in connection with the provision of legal 26 services. 27 (3) Nothing in this section affects any obligation of an Australian legal 28 practitioner who is an officer or employee of an incorporated legal practice 29 to comply with this Act. 30 (4) An incorporated legal practice is required to make payments to or on 31 account of the fidelity fund under this Act as if it were an Australian lawyer 32 applying for or holding a local practising certificate from the law society. 33

s 200 142 s 201 Legal Profession Bill 2004 (5) The incorporated legal practice must not engage in legal practice in 1 this jurisdiction if any payment is not made by the due date and while the 2 practice remains in default of subsection (4). 3 (6) The law society may suspend the local practising certificate of a legal 4 practitioner director of the practice if any payment is not made by the due 5 date. 6 (7) The amounts payable to the fidelity fund by an incorporated legal 7 practice may be decided by reference to the total number of Australian 8 legal practitioners employed by the practice and other relevant matters. 9 200 Application of part to multi-disciplinary partnerships 10 (1) A regulation may provide that specified provisions of this part, and 11 other provisions of this Act, do not apply to multi-disciplinary partnerships 12 or apply with specified changes. 13 (2) For the application to a multi-disciplinary partnership of the 14 provisions of this part and other provisions of this Act, a reference in those 15 provisions to a default of a law practice extends to a default of a 16 multi-disciplinary partnership, or a partner or employee of a 17 multi-disciplinary partnership, whether or not any person involved is an 18 Australian legal practitioner, but only if it happens in connection with the 19 provision of legal services. 20 (3) Nothing in this section affects any obligation of an Australian legal 21 practitioner who is a partner or employee of a multi-disciplinary 22 partnership to comply with this Act. 23 (4) The amounts payable to the fidelity fund by the legal practitioner 24 partners of a multi-disciplinary partnership may be decided by reference to 25 the total number of Australian legal practitioners employed by the 26 partnership and other relevant matters. 27 201 Application of part to Australian lawyers whose practising 28 certificates have lapsed 29 (1) This section applies if an Australian lawyer is not an Australian legal 30 practitioner because his or her Australian practising certificate has lapsed, 31 but does not apply where-- 32 (a) the certificate has been suspended or cancelled under this Act or 33 a corresponding law; or 34

s 202 143 s 202 Legal Profession Bill 2004 (b) the lawyer's application for the grant or renewal of an Australian 1 practising certificate has been refused under this Act or a 2 corresponding law and the lawyer would be an Australian legal 3 practitioner had it been granted. 4 (2) For other provisions of this part, the practising certificate is taken not 5 to have lapsed, and accordingly the lawyer is taken to continue to be an 6 Australian legal practitioner. 7 (3) Subsection (2) ceases to apply whenever the first of the following 8 happens-- 9 (a) the end of 6 months after the practising certificate actually 10 lapses; 11 (b) the lawyer's application for the grant or renewal of an Australian 12 practising certificate is refused under this Act or a corresponding 13 law. 14 PART 8--FINANCIAL ARRANGEMENTS FOR THOSE 15 WHO MAY ENGAGE IN LEGAL PRACTICE IN THIS 16 JURISDICTION 17 Division 1--Preliminary 18 202 Main purposes of ch 2, pt 8 19 The main purposes of this part are as follows-- 20 (a) to provide for the making of a regulation requiring particular 21 solicitors to deposit amounts into prescribed accounts; 22 (b) to allow the chief executive to enter into agreements with 23 financial institutions, with whom solicitors have deposited 24 amounts under a regulation, for the payment of interest on the 25 trust accounts; 26 (c) to establish the Legal Practitioner Interest on Trust Accounts 27 Fund into which amounts received as interest must be paid; 28

s 203 144 s 205 Legal Profession Bill 2004 (d) to ensure the interest paid into the fund, and other moneys 1 received for the fund, do not become part of the consolidated 2 fund; 3 (e) to provide for persons to whom or purposes for which amounts 4 may be paid from the fund. 5 203 Definitions for ch 2, pt 8 6 In this part-- 7 "fund" means the Legal Practitioner Interest on Trust Accounts Fund 8 established under section 208.68 9 "prescribed account" means an account prescribed under a regulation as 10 an account into which a solicitor must deposit moneys. 11 "solicitor" means a solicitor to whom the Trust Accounts Act 1973 applies. 12 "trust account" means a trust account kept by a solicitor under the Trust 13 Accounts Act 1973. 14 204 Relationship with other laws 15 The Trust Accounts Act 1973 provides for the audit of solicitors' trust 16 accounts. 17 Division 2--Prescribed accounts 18 205 Regulation for prescribed account 19 (1) A regulation may make provision for, and for matters relating to, 20 prescribed accounts. 21 (2) Without limiting subsection (1), the regulation may prescribe as 22 follows-- 23 (a) a solicitor to whom the regulation applies must deposit an 24 amount into a prescribed account; 25 (b) the way to work out an amount mentioned in paragraph (a), 26 including, for example, on the basis of the minimum amount held 27 68 Section 208 (Establishment of fund)

s 206 145 s 208 Legal Profession Bill 2004 by a solicitor in the solicitor's trust account for a calendar month 1 or year; 2 (c) the way in which amounts may be paid to a solicitor from a 3 prescribed account; 4 (d) the way in which the law society may supervise compliance with 5 the regulation. 6 (3) If a solicitor contravenes a regulation as mentioned in 7 subsection (2)(a), it is capable of constituting unsatisfactory professional 8 conduct or professional misconduct. 9 206 Deposits to prescribed account 10 (1) No action at law or in equity may lie against any solicitor relating to 11 a matter or thing done by the solicitor for complying with a regulation as 12 mentioned in section 205 that applied to the solicitor. 13 (2) However, this section does not affect in any way the rights and 14 remedies of a claimant against the solicitor in the event of negligence or 15 dishonesty of the solicitor in relation to trust money. 16 Division 3--Interest on trust accounts paid to department 17 207 Arrangement with financial institution 18 The chief executive may enter into an arrangement with a financial 19 institution about the financial institution paying interest to the department 20 on-- 21 (a) prescribed accounts; and 22 (b) trust accounts kept by solicitors. 23 Division 4--Legal Practitioner Interest on Trust Accounts Fund 24 208 Establishment of fund 25 (1) The Legal Practitioner Interest on Trust Accounts Fund is 26 established. 27

s 209 146 s 209 Legal Profession Bill 2004 (2) Accounts for the fund must be kept as part of the departmental 1 accounts of the department. 2 (3) Amounts received for the fund must be deposited in a departmental 3 financial-institution account of the department used only for amounts 4 received for the fund. 5 (4) Amounts received for the fund include-- 6 (a) all interest payable to the department under an arrangement 7 entered into under section 207; and 8 (b) other amounts payable for the fund under an Act. 9 (5) For the Financial Administration and Audit Act 1977, the amounts 10 received for the fund are not received or held for the State. 11 12 Note-- 13 The amounts are other moneys under the Financial Administration and Audit Act 1977. (6) An amount is payable from the fund only under section 209. 14 (7) In this section-- 15 "departmental accounts", of a department, means the accounts of the 16 department kept under the Financial Administration and Audit 17 Act 1977, section 12.69 18 "departmental financial-institution account", of a department, means an 19 account of the department kept under the Financial Administration 20 and Audit Act 1977, section 18.70 21 209 Payments from fund 22 (1) The chief executive may make payments from the fund to or for any 23 of the following-- 24 (a) Legal Aid Queensland; 25 (b) the fidelity fund; 26 (c) the Supreme Court Library; 27 (d) the commissioner; 28 69 Financial Administration and Audit Act 1977, section 12 (Departmental accounts) 70 Financial Administration and Audit Act 1977, section 18 (Departmental financial-institution accounts)

s 210 147 s 210 Legal Profession Bill 2004 (e) a disciplinary body; 1 (f) the board; 2 (g) part of the cost of the regulatory functions of the law society or 3 bar association; 4 (h) grants approved by the Minister for any of the following 5 purposes-- 6 (i) the advancement of law reform; 7 (ii) the collection, assessment and dissemination of information 8 concerning legal education, the law, the legal system, law 9 reform, the legal profession and legal services; 10 (iii) facilitating access to the legal system, legal information and 11 education and legal services for members of the community, 12 particularly economically or socially disadvantaged 13 members of the community; 14 (i) the department for the cost of administering this part and for 15 liabilities of the department attributable to the costs and expenses 16 relating to the fund before or after the commencement of this 17 section. 18 (2) Also, the chief executive may make payments from the fund for a 19 grant or matter mentioned in the following if the law society incurred a 20 liability for the grant or matter before the commencement of this section-- 21 (a) a grant approved under the Queensland Law Society Act 1952, 22 section 36N; 23 (b) a matter approved by the Minister under section 36E(b)(iii) of 24 that Act.71 25 (3) The chief executive must not make a payment under subsection (1) 26 or (2) unless the Minister has decided the amount may be paid and has 27 given written authority to the chief executive to pay the amount. 28 210 Minister to decide distribution 29 (1) The Minister must decide-- 30 (a) whether a payment is to be made under section 209; and 31 71 Queensland Law Society Act 1952, section 36N (Functions of grants committee) and section 36E (Distributions from contribution fund)

s 211 148 s 212 Legal Profession Bill 2004 (b) if the Minister decides a payment is to be made, the amount of 1 the payment and any conditions applicable to the payment. 2 (2) For subsection (1), the chief executive must make recommendations 3 to the Minister. 4 (3) The amount used for each of the following must not be more than the 5 amount prescribed for it under a regulation for this subsection-- 6 (a) the fidelity fund as mentioned in section 209(1)(b); 7 (b) grants approved by the Minister as mentioned in 8 section 209(1)(h). 9 211 Submission of budgets 10 (1) To help the Minister in making decisions under section 210, the chief 11 executive may ask a potential beneficiary to prepare and submit a budget to 12 the chief executive, for the period the chief executive directs, concerning 13 the income and expenditure of the potential beneficiary, including 14 projected income and expenditure. 15 (2) The budget is to include the information the chief executive directs. 16 (3) In particular, the chief executive may require the provision of 17 information about the administration of the potential beneficiary. 18 (4) In this section-- 19 "potential beneficiary", of a payment, means the entity to which or in 20 relation to which a payment would be paid for a purpose mentioned in 21 section 209(1). 22 PART 9--RULES ABOUT THOSE WHO MAY ENGAGE 23 IN LEGAL PRACTICE IN THIS JURISDICTION 24 Division 1--Preliminary 25 212 Main purposes of ch 2, pt 9 26 The main purposes of this part are as follows-- 27

s 213 149 s 215 Legal Profession Bill 2004 (a) to promote the maintenance of high standards of professional 1 conduct by providing for legal profession rules to regulate 2 persons who may engage in legal practice, or the practice of 3 foreign law, in this jurisdiction; 4 (b) to allow each regulatory authority to provide for administrative 5 matters by providing for administration rules. 6 213 Power to make rules not limited to specific references to provision 7 in other chapters or parts 8 (1) The power to make a legal profession rule or an administration rule is 9 not limited to matters for which this Act specifically authorises the making 10 of a legal profession rule or an administration rule. 11 (2) However, the power to make the rule may be limited by an express 12 provision of this part limiting the power. 13 214 Definition for ch 2, pt 9 14 In this part-- 15 "legal profession rule" means-- 16 (a) a solicitors rule; or 17 (b) a barristers rule; or 18 (c) an incorporated legal practice rule. 19 Division 2--Legal profession rules 20 215 Rules to be made by Governor in Council 21 (1) The Governor in Council may make the following-- 22 (a) a rule under this Act (a "solicitors rule") for any aspect of legal 23 practice, including standards of conduct expected of persons who 24 engage or intend to engage-- 25 (i) in legal practice in this jurisdiction as a solicitor; or 26 (ii) in legal practice in this jurisdiction as a multi-disciplinary 27 partnership; or 28

s 216 150 s 217 Legal Profession Bill 2004 (iii) in the practice in this jurisdiction of foreign law as an 1 Australian-registered foreign lawyer; 2 (b) a rule under this Act for any aspect of legal practice, including 3 standards of conduct expected of persons who engage, or intend 4 to engage, in legal practice as a barrister in this jurisdiction (a 5 "barristers rule"); 6 (c) a rule under this Act for any aspect of legal practice, including 7 standards of conduct expected of incorporated legal practices, 8 legal practitioner directors of the practices and employees of the 9 practices who are Australian legal practitioners engaged in 10 providing legal services for the practices (an "incorporated 11 legal practice rule"). 12 (2) A legal profession rule may be made in relation to a matter that may 13 be the subject of an administration rule or a society rule. 14 216 Rule may apply to persons generally or by using a defined term 15 involving a legal title 16 (1) A solicitors rule or barristers rule may apply to a person generally or 17 by reference to whether the person is any of the following-- 18 (a) a local legal practitioner, interstate legal practitioner or 19 Australian legal practitioner; 20 (b) a local lawyer, interstate lawyer or Australian lawyer. 21 (2) An incorporated legal practice rule may apply to an incorporated 22 legal practice, a legal practitioner director of the practice or an employee of 23 the practice who is an Australian legal practitioner engaged in providing 24 legal services for the practice. 25 (3) Only a solicitors rule may apply to multi-disciplinary partnerships or 26 Australian-registered foreign lawyers except as mentioned in section 217. 27 217 Particular provision about barristers rule 28 A barristers rule may provide for a barrister to be prohibited from any or 29 all of the following-- 30 (a) engaging in legal practice-- 31 (i) otherwise than as a sole practitioner; or 32 (ii) in partnership with any person; or 33

s 218 151 s 220 Legal Profession Bill 2004 (iii) as the employee of an entity; 1 (b) holding office as a legal practitioner director of an incorporated 2 legal practice. 3 218 Solicitors rule or barristers rule may apply to government legal 4 officer 5 A solicitors rule and barristers rule may provide that a rule applies to a 6 government legal officer. 7 219 Incorporated legal practice rule can not provide for particular 8 matters 9 An incorporated legal practice rule can not-- 10 (a) regulate any services that an incorporated legal practice may 11 provide or regulate conduct, other than services or conduct in 12 connection with-- 13 (i) the provision of legal services; or 14 (ii) other services in circumstances where a conflict of interest 15 relating to the provision of legal services may arise; or 16 (b) regulate the conduct of officers or employees of an incorporated 17 legal practice, other than conduct in connection with-- 18 (i) the provision of legal services; or 19 (ii) other services in circumstances where a conflict of interest 20 relating to the provision of legal services may arise. 21 220 Recommendations to the Minister about legal profession rules 22 (1) The law society may make a recommendation to the Minister in 23 relation to-- 24 (a) a solicitors rule; and 25 (b) an incorporated legal practice rule. 26 (2) The bar association may make a recommendation to the Minister in 27 relation to a barristers rule. 28

s 221 152 s 222 Legal Profession Bill 2004 (3) Without limiting subsection (1)(b), the law society's 1 recommendation about an incorporated legal practice rule may provide for 2 the following-- 3 (a) matters that relate to the provision of legal services by or in 4 connection with an incorporated legal practice; 5 (b) professional obligations relating to legal services provided by or 6 in connection with an incorporated legal practice; 7 (c) the provision of other services by an incorporated legal practice 8 in circumstances in which a conflict of interest relating to the 9 provision of legal services may arise. 10 221 Monitoring role of committee 11 (1) The committee may make a recommendation to the Minister in 12 relation to any legal profession rule. 13 14 Note-- 15 The committee is the Legal Practice Committee established under section 451. (2) For subsection (1), the committee is-- 16 (a) to monitor the adequacy of each legal profession rule; and 17 (b) to consider any particular matter about which the Minister asks 18 the committee to make a recommendation for a legal profession 19 rule. 20 222 Public notice of proposed legal profession rule 21 (1) A regulatory authority that proposes to make a recommendation 22 about a legal profession rule must ensure that a notice is published in a 23 daily newspaper circulating in this jurisdiction-- 24 (a) explaining the object of the proposed rule; and 25 (b) advising where or how a copy of the proposed rule may be 26 accessed, obtained or inspected; and 27 (c) inviting comments and submissions within a stated period of not 28 less than 21 days from the date of first publication of the notice. 29 (2) The regulatory authority must ensure that a copy of the proposed rule 30 is given to the Minister before the notice is published. 31

s 223 153 s 225 Legal Profession Bill 2004 (3) The regulatory authority must not make a recommendation about the 1 rule before the end of the period stated in the notice for making comments 2 and submissions and must ensure that any comments and submissions 3 received within that period are appropriately considered. 4 (4) Subsections (1) to (3) do not apply to a proposed rule that the 5 Minister considers does not warrant publication because of its urgent 6 nature or its minor or technical nature. 7 223 Binding nature of each legal profession rule 8 (1) Each provision of a legal profession rule is binding on a person to 9 whom the provision applies. 10 (2) Failure to comply with the provision of the legal profession rule by a 11 person to whom the provision applies-- 12 (a) is capable of constituting unsatisfactory professional conduct or 13 professional misconduct; but 14 (b) is not a breach of this Act unless a provision of this Act otherwise 15 provides. 16 224 Relationship of legal profession rule to this Act and regulation 17 (1) A regulation may be made in relation to any matter for which a legal 18 profession rule may be made. 19 (2) A provision of a legal profession rule does not have effect to the 20 extent that it is inconsistent with this Act or a regulation. 21 225 Relationship of legal profession rule and administration rule 22 (1) A legal profession rule may identify a provision of an administration 23 rule as a provision that the holder of a practising certificate, granted or 24 renewed by the regulatory authority that made the administration rule, must 25 comply with. 26 (2) If a provision of an administration rule is identified as mentioned in 27 subsection (1), a contravention of the provision is capable of constituting 28 unsatisfactory professional conduct or professional misconduct. 29

s 226 154 s 226 Legal Profession Bill 2004 Division 3--Administration rules 1 226 Rules other than legal profession rule 2 (1) To the extent a regulatory authority does not have power under 3 another Act or otherwise to make rules for a matter mentioned in 4 subsection (2) and another Act does not prevent a rule being made about 5 the matter, the regulatory authority may make a rule about the matter that 6 applies to-- 7 (a) Australian legal practitioners, including interstate legal 8 practitioners practising in this jurisdiction; and 9 (b) if the regulatory authority is the law society--an incorporated 10 legal practice or Australian-registered foreign lawyers. 11 (2) The matters about which a regulatory authority may make rules are 12 as follows-- 13 (a) types of practising certificates that the regulatory authority may 14 grant or renew, including, for example, practising certificates for 15 supervised legal practice or unsupervised legal practice by 16 solicitors; 17 (b) the courses of study that an Australian lawyer is required to 18 complete for the following-- 19 (i) for the grant of a practising certificate by the law society for 20 unsupervised legal practice; 21 (ii) for the grant of a practising certificate by the bar association 22 for practice as a barrister; 23 (c) matters relating to the courses of study mentioned in 24 paragraph (b) including enrolment procedures, fees payable, 25 minimum course attendance requirements, examinations, 26 assessments and procedures for the review of assessments and 27 appeals against assessments; 28 (d) exempting a person who applies for a practising certificate from 29 the requirement to have completed a course of study mentioned 30 in paragraph (b) given the length and nature of the person's 31 experience in unsupervised practice or practice as a barrister; 32 (e) the legal practice by a person that may constitute supervised legal 33 practice, having regard to-- 34

s 226 155 s 226 Legal Profession Bill 2004 (i) the length and nature of the legal practice engaged in by the 1 person; and 2 (ii) the length and nature of the legal practice engaged in by the 3 person, if any, who supervised the person's legal practice; 4 (f) approved forms to be used for an application to the regulatory 5 authority and the way an approved form is to be given to the 6 authority, including the time for giving the form to it; 7 (g) the payment of fees, levies and contributions authorised under 8 the administration rules, including the timing of those payments 9 and the way of making those payments; 10 (h) matters relating to other matters that may be approved by the 11 regulatory authority under this Act; 12 (i) matters relating to indemnity against loss arising from claims in 13 relation to every description of civil liability incurred by a local 14 legal practitioner or former local legal practitioner, including a 15 person who was a solicitor at any time before the commencement 16 of this section, in connection with practitioner's practice or in 17 connection with any trust of which the practitioner was a trustee. 18 (3) A rule about a matter mentioned in subsection (2) is an 19 "administration rule", whether or not the rule is made-- 20 (a) under this section; or 21 (b) if the regulatory authority has power under another Act or 22 otherwise to make the rule for the matter--under that other Act 23 or otherwise. 24 (4) An administration rule about a matter mentioned in subsection (2)(i) 25 is an "indemnity rule". 26 (5) This division does not affect a regulatory authority's power under 27 another Act or otherwise to make a rule but a rule made under another Act 28 or otherwise that is an administration rule is taken to be made under this 29 Act. 30 31 Example for subsection (5)-- 32 If a provision of this Act provides that the right to engage in legal practice is subject to 33 provisions under this Act, the right of practice is subject to a relevant administration 34 rule.

s 227 156 s 227 Legal Profession Bill 2004 227 Indemnity rule 1 (1) An indemnity rule-- 2 (a) may authorise or require the regulatory authority to establish and 3 maintain a fund or funds; or 4 (b) may authorise or require the regulatory authority to take out and 5 keep insurance with insurers carrying on insurance business and 6 approved by the authority for the purposes of the insurance; or 7 (c) may require local legal practitioners holding practising 8 certificates granted or renewed by the authority, or a class of 9 certificate holders, to take out and keep insurance with insurers 10 carrying on insurance business and approved by the authority for 11 the purposes of the insurance. 12 (2) An indemnity rule-- 13 (a) may specify the terms and conditions on which indemnity is to 14 be available and any circumstances in which the right to 15 indemnity is to be excluded or modified; and 16 (b) may provide for the management, administration and protection 17 of any fund established and maintained under the indemnity rule, 18 and require certificate holders of practising certificates granted or 19 renewed by the authority, or a class of certificate holders, to make 20 payments to a fund; and 21 (c) may require certificate holders of practising certificates granted 22 or renewed by the authority, or a class of certificate holders, to 23 make payments by way of premium on any insurance policy 24 taken out and maintained by the authority under the indemnity 25 rule; and 26 (d) may require a local legal practitioner to disclose information 27 about professional indemnity insurance to clients or prospective 28 clients; and 29 (e) may prescribe terms and conditions with which an insurance 30 policy, required by the indemnity rule made for the purposes of 31 subsection (1)(c), must comply; and 32 (f) may authorise the authority to decide the amount of a payment 33 required by the indemnity rule, subject to limits or under the rule; 34 and 35 (g) may authorise the authority or insurer to take a proceeding 36 against a certificate holder or former certificate holder for 37

s 228 157 s 229 Legal Profession Bill 2004 amounts paid by way of indemnity in connection with a matter in 1 relation to which he or she has failed to comply with the 2 indemnity rule, and may specify circumstances in which the 3 proceeding may be taken; and 4 (h) may empower the regulatory authority to take steps as it 5 considers necessary or expedient to find out whether or not the 6 indemnity rule is being complied with. 7 (3) This section does not limit section 226(2)(i). 8 228 Relationship of administration rule to this Act and regulation 9 (1) A regulation may be made in relation to any matter mentioned in 10 section 226(2) for which an administration rule may be made. 11 (2) A provision of a regulatory authority's administration rule does not 12 have effect to the extent that it is inconsistent with this Act, a regulation or 13 a legal profession rule relevant to the authority. 14 (3) Despite another Act, an administration rule can not provide that 15 contravention of the rule-- 16 (a) is an offence; or 17 (b) is capable of constituting unsatisfactory professional conduct or 18 professional misconduct. 19 20 Note-- 21 Under the Statutory Instruments Act 1992, section 2372 a regulation may apply, adopt or 22 incorporate an administration rule. 229 Availability of an administration rule 23 A regulatory authority must ensure that an up-to-date version of each 24 administration rule is available for public inspection-- 25 (a) at the authority's principal place of business; and 26 (b) on the authority's Internet site or an Internet site identified on the 27 authority's Internet site. 28 72 Statutory Instruments Act 1992, section 23 (Statutory instrument may make provision by applying another document)

s 230 158 s 232 Legal Profession Bill 2004 PART 10--INTER-JURISDICTIONAL PROVISIONS 1 REGARDING ADMISSION AND PRACTISING 2 CERTIFICATES 3 Division 1--Preliminary 4 230 Main purpose of ch 2, pt 10 5 The main purpose of this part is to provide for the notification of and 6 response to action taken by courts and other regulatory authorities in 7 relation to the admission of persons to the legal profession and their right to 8 engage in legal practice in Australia. 9 231 Relationship of this part with ch 3 10 This part does not affect a function or power under chapter 3.73 11 Division 2--Notifications to be given to interstate authorities 12 232 Notification to other jurisdictions about application for admission 13 (1) This section applies to each application for admission. 14 (2) The board may give the corresponding authority of another 15 jurisdiction written notice of any of the following to the extent that it is 16 relevant to the corresponding authority's functions or powers-- 17 (a) the making of the application; 18 (b) the board's recommendation under section 3374 in relation to the 19 application; 20 (c) the withdrawal of the application after an investigation or inquiry 21 is made or started, or a suitability report is sought or obtained, in 22 relation to the application or the applicant; 23 (d) the refusal of the Supreme Court to admit the applicant as a legal 24 practitioner under this Act. 25 73 Chapter 3 (Complaints, investigation matters and discipline) 74 Section 33 (Role of the board relating to application for admission)

s 233 159 s 234 Legal Profession Bill 2004 (3) The notice must state the applicant's name and address as last known 1 to the board and may contain other relevant information. 2 233 Notification to other jurisdictions about removal from local roll 3 (1) This section applies if a local lawyer's name is removed from the 4 local roll, except if the removal happens under section 238.75 5 (2) The Brisbane registrar must give the corresponding authority of each 6 other jurisdiction, and the registrar or other proper officer of the High Court 7 of Australia, written notice of the removal. 8 (3) The notice must state the following-- 9 (a) the lawyer's name and address as last known to the Brisbane 10 registrar; 11 (b) the date the lawyer's name was removed from the roll; 12 (c) the reason for removing the lawyer's name; 13 (d) other information prescribed under a regulation for this section. 14 234 Law society and bar association to notify other jurisdictions about 15 actions by it 16 (1) Subsection (2) applies if-- 17 (a) a regulatory authority takes any of the following actions in 18 relation to an Australian lawyer-- 19 (i) a refusal to grant or renew a local practising certificate for 20 the lawyer; 21 (ii) a cancellation or suspension of the lawyer's local practising 22 certificate; or 23 (b) the lawyer successfully appeals against the taking of an action 24 mentioned in paragraph (a). 25 (2) The regulatory authority must give the regulatory authorities of other 26 jurisdictions written notice of the action taken or the result of the appeal. 27 75 Section 238 (Peremptory removal of local lawyer's name from local roll following removal in another jurisdiction)

s 235 160 s 236 Legal Profession Bill 2004 (3) The notice must state each of the following-- 1 (a) the lawyer's name and address as last known to the regulatory 2 authority for this jurisdiction; 3 (b) particulars of-- 4 (i) the action taken and the reasons for it; or 5 (ii) the result of the appeal; 6 (c) other relevant information that the authority considers should be 7 included in the notice. 8 (4) The regulatory authority may give the regulatory authorities of other 9 jurisdictions written notice of a condition imposed on an Australian 10 lawyer's local practising certificate. 11 Division 3--Notifications to be given by lawyers to local authorities 12 235 Lawyer to give notice of removal in another jurisdiction 13 (1) If a local lawyer's name has been removed from an interstate roll, the 14 lawyer must give the Brisbane registrar written notice of the removal. 15 Maximum penalty--100 penalty units. 16 (2) If a local legal practitioner's name has been removed from an 17 interstate roll, the practitioner must give the relevant regulatory authority 18 written notice of the removal. 19 Maximum penalty--100 penalty units. 20 (3) This section does not apply if the name has been removed from an 21 interstate roll under a corresponding law to section 238. 22 236 Lawyer to give notice of removal in foreign country 23 (1) If a local lawyer's name has been removed from a foreign roll, the 24 lawyer must give each regulatory authority written notice of the removal. 25 Maximum penalty--200 penalty units. 26 (2) If a local legal practitioner's name has been removed from a foreign 27 roll, the practitioner must give the relevant regulatory authority written 28 notice of the removal. 29 Maximum penalty for subsection (2)--200 penalty units. 30

s 237 161 s 238 Legal Profession Bill 2004 237 Provisions relating to requirement to notify 1 (1) A notice to be given under this division by a local lawyer or local 2 legal practitioner must-- 3 (a) state his or her name and address; and 4 (b) identify the roll from which his or her name has been removed; 5 and 6 (c) state the date of the removal; and 7 (d) be accompanied by a copy of any official notification given to 8 him or her in connection with the removal. 9 (2) A contravention of section 235 or 236, including failing to comply 10 with subsection (1) in relation to the notice for those sections, is capable of 11 constituting unsatisfactory professional conduct or professional 12 misconduct. 13 Division 4--Taking of action by local authorities in response to 14 notifications received 15 238 Peremptory removal of local lawyer's name from local roll 16 following removal in another jurisdiction 17 (1) This section applies if the Brisbane registrar is satisfied that-- 18 (a) a local lawyer's name has been removed from an interstate roll; 19 and 20 (b) no order under section 240(1)(a) is, at the time of that removal, in 21 force in relation to the lawyer's name. 22 (2) The Brisbane registrar must remove, or arrange with another registrar 23 for the removal of, the lawyer's name from the local roll. 24 (3) The Brisbane registrar may, but need not, give the lawyer written 25 notice of the date on which the registrar proposes to remove the name from 26 the local roll. 27 (4) The Brisbane registrar must give the former local lawyer written 28 notice of the removal of the name from the local roll, unless notice of the 29 date of the proposed removal was previously given. 30

s 239 162 s 240 Legal Profession Bill 2004 (5) The name of the former local lawyer is, on his or her application to 1 the Brisbane registrar or on the registrar's own initiative, to be restored to 2 the local roll if the name is restored to the interstate roll. 3 (6) Nothing in this section prevents the former local lawyer from 4 afterwards applying for admission under section 32.76 5 239 Peremptory cancellation of local practising certificate following 6 removal of name from interstate roll 7 (1) This section applies if-- 8 (a) a person's name is removed from an interstate roll; and 9 (b) the person is the holder of a local practising certificate; and 10 (c) no order under section 240(1)(b) is, at the time of that removal, in 11 force in relation to the person's local practising certificate. 12 (2) The relevant regulatory authority must cancel the local practising 13 certificate. 14 (3) The relevant regulatory authority may, but need not, give the person 15 notice of the date on which it proposes to cancel the local practising 16 certificate. 17 (4) The relevant regulatory authority must give the person notice of the 18 cancellation, unless notice of the date of the proposed cancellation was 19 previously given. 20 (5) Nothing in this section prevents the former local lawyer from 21 applying for a local practising certificate at a later time. 22 240 Order for non-removal of name or non-cancellation of practising 23 certificate 24 (1) If an Australian lawyer reasonably expects that the lawyer's name 25 will be removed from an interstate roll, the lawyer may apply to the 26 Supreme Court for either or both of the following orders (each of which is 27 a "prevention order")-- 28 (a) an order that the lawyer's name not be removed from the local 29 roll under section 238; 30 76 Section 32 (Application for admission under this Act as a legal practitioner)

s 241 163 s 241 Legal Profession Bill 2004 (b) an order that the lawyer's local practising certificate not be 1 cancelled under section 239. 2 (2) After hearing the application, the Supreme Court may-- 3 (a) refuse to make the prevention order; or 4 (b) make the prevention order if it is satisfied that-- 5 (i) the lawyer's name is likely to be removed from the interstate 6 roll; and 7 (ii) the reason for the removal of the lawyer's name from the 8 interstate roll will not involve disciplinary action or the 9 possibility of disciplinary action. 10 (3) A prevention order may be made subject to any conditions the court 11 considers appropriate and remains in force for the period stated in it. 12 (4) The court may revoke a prevention order, including on its own 13 initiative. 14 (5) If a prevention order is revoked, either or both of sections 238 15 and 239, as relevant, apply as if the lawyer's name were removed from the 16 interstate roll on the day the revocation takes effect. 17 (6) Nothing in this section affects action being taken in relation to the 18 lawyer under another provision of this Act. 19 241 Show cause procedure for removal of local lawyer's name from 20 local roll following removal in foreign country 21 (1) This section applies if a local lawyer's name has been removed from 22 a foreign roll and the name has not been restored. 23 (2) The relevant regulatory authority may serve on the local lawyer a 24 notice stating that the authority will apply to the Supreme Court for a order 25 that the lawyer's name be removed from the local roll unless the lawyer 26 shows cause to the authority why his or her name should not be removed. 27 (3) If the local lawyer does not satisfy the regulatory authority that the 28 lawyer's name should not be removed from the local roll, the authority may 29 apply to the Supreme Court for an order that the lawyer's name be removed 30 from the local roll. 31 (4) On hearing the application made under this section, the Supreme 32 Court may order the local lawyer's name be removed from the local roll or 33 refuse to make the order. 34

s 242 164 s 243 Legal Profession Bill 2004 (5) The local lawyer is entitled to appear before and be heard by the 1 Supreme Court at a hearing about an application under this section. 2 242 Local authority may give information to other local authority 3 (1) A local authority that receives information from an authority of 4 another jurisdiction under provisions of a corresponding law that 5 correspond to this part may give the information to any other local 6 authority. 7 (2) In this section-- 8 "local authority" means an entity relevant to this jurisdiction that has 9 functions or powers under this Act. 10 CHAPTER 3--COMPLAINTS, INVESTIGATION 11 MATTERS AND DISCIPLINE 12 PART 1--PRELIMINARY 13 Division 1--Preliminary 14 243 Main purposes of ch 3 15 The main purposes of this chapter are as follows-- 16 (a) to provide for the discipline of the legal profession; 17 (b) to promote and enforce the professional standards, competence 18 and honesty of the legal profession; 19 (c) to provide a means of redress for complaints by consumers of the 20 services of the legal profession. 21

s 244 165 s 245 Legal Profession Bill 2004 Division 2--Key concepts 1 244 Meaning of "unsatisfactory professional conduct" 2 "Unsatisfactory professional conduct" includes conduct of an 3 Australian legal practitioner happening in connection with the practice of 4 law that falls short of the standard of competence and diligence that a 5 member of the public is entitled to expect of a reasonably competent 6 Australian legal practitioner. 7 8 Note-- 9 See section 61477 for how this term is defined for complaints made under the 10 Queensland Law Society Act 1952 that are to be dealt with under this Act. 245 Meaning of "professional misconduct" 11 (1) "Professional misconduct" includes-- 12 (a) unsatisfactory professional conduct of an Australian legal 13 practitioner, if the conduct involves a substantial or consistent 14 failure to reach or maintain a reasonable standard of competence 15 and diligence; and 16 (b) conduct of an Australian legal practitioner, whether happening in 17 connection with the practice of law or happening otherwise than 18 in connection with the practice of law that would, if established, 19 justify a finding that the practitioner is not a fit and proper person 20 to engage in legal practice. 21 (2) For finding that an Australian legal practitioner is not a fit and proper 22 person to engage in legal practice as mentioned in subsection (1), regard 23 may be had to the suitability matters that would be considered if the 24 practitioner were an applicant for admission or for the grant or renewal of a 25 local practising certificate. 26 27 Note-- 28 See section 614 for how this term is defined for complaints made under the Queensland 29 Law Society Act 1952 that are to be dealt with under this Act. 77 Section 614 (Basis of complaint mentioned in ss 256 or 613(2))

s 246 166 s 247 Legal Profession Bill 2004 246 Conduct capable of constituting unsatisfactory professional 1 conduct or professional misconduct 2 Without limiting section 244 or 245, the following conduct is capable of 3 constituting unsatisfactory professional conduct or professional 4 misconduct-- 5 (a) conduct consisting of a contravention of a relevant law; 6 (b) charging of excessive legal costs in connection with the practice 7 of law; 8 (c) conduct for which a court has convicted an Australian lawyer 9 of-- 10 (i) a serious offence; or 11 (ii) a tax offence; or 12 (iii) an offence involving dishonesty; 13 (d) conduct of an Australian legal practitioner as or in becoming an 14 insolvent under administration; 15 (e) conduct of an Australian legal practitioner in becoming 16 disqualified from managing or being involved in the management 17 of any corporation under the Corporations Act. 18 247 Meaning of "respondent" 19 A "respondent" is any of the following-- 20 (a) if a complaint is made about an Australian legal practitioner to 21 whom this chapter applies--the practitioner; 22 (b) if a complaint is made about a law practice employee in relation 23 to conduct to which this chapter applies--the law practice 24 concerned and the law practice employee; 25 (c) otherwise--a person to whom this chapter applies and about 26 whom the commissioner, on his or her own initiative, starts an 27 investigation under section 265.78 28 78 Section 265 (Referral by commissioner to law society or bar association)

s 248 167 s 250 Legal Profession Bill 2004 Division 3--Application of this chapter 1 248 Application of chapter to lawyers, former lawyers and former 2 practitioners 3 (1) This chapter applies to Australian lawyers and former Australian 4 lawyers in relation to conduct happening while they were Australian 5 lawyers but not Australian legal practitioners in the same way as it applies 6 to Australian legal practitioners and former Australian legal practitioners, 7 and so applies with any necessary changes. 8 (2) This chapter applies to former Australian legal practitioners in 9 relation to conduct happening while they were Australian legal 10 practitioners in the same way as it applies to persons who are Australian 11 legal practitioners, and so applies with any necessary changes. 12 (3) In this section-- 13 "former Australian legal practitioner" includes a person who was a 14 solicitor or barrister in this jurisdiction before the commencement of 15 this section but is not a local legal practitioner on the commencement. 16 249 Practitioners to whom this chapter applies 17 This chapter applies to an Australian legal practitioner for conduct to 18 which this chapter applies, whether or not-- 19 (a) the practitioner is a local lawyer; or 20 (b) the practitioner holds a local practising certificate; or 21 (c) the practitioner holds an interstate practising certificate; or 22 (d) the practitioner resides or has an office in this jurisdiction; or 23 (e) if a complaint is made about the practitioner--the complainant 24 resides, works or has an office in this jurisdiction. 25 250 Conduct to which this chapter applies--generally 26 (1) Subject to subsection (3), this chapter applies to conduct of an 27 Australian legal practitioner happening in this jurisdiction whether before 28 or after the commencement of this section. 29

s 250 168 s 250 Legal Profession Bill 2004 (2) Also, this chapter applies to an Australian legal practitioner's conduct 1 happening outside this jurisdiction, whether or not the conduct was 2 engaged in before or after the commencement of this section, but only-- 3 (a) if the conduct is part of a course of conduct that happened partly 4 in this jurisdiction and partly in another jurisdiction, and either-- 5 (i) the corresponding authority of each other jurisdiction in 6 which the conduct happened consents to it being dealt with 7 under this Act; or 8 (ii) the practitioner and, if a complaint is made by a person 9 about the practitioner, the complainant consent to it being 10 dealt with under this Act; or 11 (b) if the conduct happened in Australia but entirely outside this 12 jurisdiction and the practitioner is a local lawyer or a local legal 13 practitioner, and either-- 14 (i) the corresponding authority of each jurisdiction in which 15 the conduct happened consents to it being dealt with under 16 this Act; or 17 (ii) the practitioner and, if a complaint is made by a person 18 about the practitioner, the complainant consent to it being 19 dealt with under this Act; or 20 (c) if the conduct happened entirely or partly outside Australia and 21 the practitioner is a local lawyer or a local legal practitioner. 22 (3) This chapter does not apply to conduct happening in this jurisdiction 23 if-- 24 (a) the commissioner consents to the conduct being dealt with under 25 a corresponding law; or 26 (b) the Australian legal practitioner and, if a complaint is made by a 27 person about the practitioner, the complainant consent to the 28 conduct being dealt with under a corresponding law. 29 (4) Subsection (3) does not apply if the conduct is not capable of being 30 dealt with under a corresponding law. 31 (5) The commissioner may give consent for subsection (3)(a), and may 32 do so conditionally or unconditionally. 33 34 Note-- 35 Although this Act may deal with conduct that happened before the commencement, if 36 the matter had started to be heard by the solicitors complaints tribunal before the

s 251 169 s 252 Legal Profession Bill 2004 1 commencement of the Queensland Law Society Act 1952, section 5P, that section 2 provides that the hearing continues under provisions of that Act. 251 Conduct to which this chapter applies--insolvent under 3 administration, serious offences and tax offences 4 (1) This chapter applies to the following conduct of a local legal 5 practitioner whether happening in Australia or elsewhere or whether 6 engaged in before or after the commencement of this section-- 7 (a) conduct for which a court has convicted the practitioner for-- 8 (i) a serious offence; or 9 (ii) a tax offence; or 10 (iii) an offence involving dishonesty; 11 (b) conduct of the practitioner as or in becoming an insolvent under 12 administration; 13 (c) conduct of the practitioner in becoming disqualified from 14 managing or being involved in the management of any 15 corporation under the Corporations Act. 16 (2) This section has effect despite anything in section 250. 17 252 Chapter also applies to law practice employees 18 This chapter applies to the conduct of a law practice employee in relation 19 to the relevant practice whether or not-- 20 (a) the conduct is part of a course of conduct that happened partly in 21 this jurisdiction and partly in another jurisdiction; or 22 (b) the conduct was engaged in before or after the commencement of 23 this section. 24

s 253 170 s 255 Legal Profession Bill 2004 Division 4--Commissioner's obligations for complaints 1 253 Duty to deal with complaints efficiently and expeditiously 2 The commissioner must, under this Act, deal with complaints as 3 efficiently and expeditiously as is practicable.79 4 254 Duty to inform complainant about action taken for complaint 5 (1) The commissioner must keep a complainant informed about the way 6 the complaint is dealt with. 7 (2) Without limiting subsection (1), the commissioner must give the 8 complainant-- 9 (a) notice of the receipt of the complaint by the commissioner; and 10 (b) a copy of any discipline application made because of the 11 complaint; and 12 (c) written notice of a decision of a disciplinary body relating to the 13 complaint. 14 (3) This section is subject to section 480.80 15 PART 2--MAKING COMPLAINTS 16 255 Conduct about which complaint may be made 17 (1) A complaint may be made under this chapter about-- 18 (a) an Australian legal practitioner's conduct to which this chapter 19 applies; or 20 (b) the conduct of a law practice employee to which this chapter 21 applies. 22 79 See section 261 (Commissioner may delay dealing with complaint). 80 Section 480 (Prohibited publication about hearing of a disciplinary application)

s 256 171 s 257 Legal Profession Bill 2004 (2) A complaint may be made under this chapter about conduct 1 happening outside this jurisdiction, but the complaint must not be dealt 2 with under this chapter unless this chapter is or becomes applicable to the 3 conduct. 4 256 Making a complaint 5 (1) Subject to subsection (4), an entity may make a complaint in the 6 approved form to the commissioner about the conduct of an Australian 7 legal practitioner or law practice employee, including, for example, an 8 entity that-- 9 (a) is or was a client of the law practice; or 10 (b) is the relevant regulatory authority. 11 (2) However for a government legal officer, only the following entities 12 may make a complaint about the conduct of the officer in relation to the 13 government work engaged in by the officer-- 14 (a) an Australian legal practitioner; 15 (b) a relevant regulatory authority; 16 (c) the chief executive officer, however expressed, of the department 17 or agency in which the officer is a government legal officer or, if 18 the chief executive officer may delegate that power, a delegate. 19 (3) The complaint must-- 20 (a) identify the complainant; and 21 (b) if possible, identify the person about whom the complaint is 22 made; and 23 (c) describe the alleged conduct the subject of the complaint. 24 (4) The approved form for a complaint may only be approved by the 25 commissioner. 26 (5) The commissioner may accept a complaint made in writing other 27 than in the approved form. 28 257 Further information and verification 29 (1) The commissioner may, by written notice to a complainant, require 30 the complainant to do 1 or more of the following-- 31

s 258 172 s 258 Legal Profession Bill 2004 (a) give further information about the complaint; 1 (b) verify the complaint, or any further information, by statutory 2 declaration; 3 (c) sign an approved form that acknowledges the waiver of legal 4 professional privilege as mentioned in section 313.81 5 (2) The notice must state a date, that is reasonable, by which the 6 complainant must comply with the notice. 7 (3) The commissioner may extend the time for the complainant to 8 comply with subsection (1) on application by the complainant whether 9 before or after the date stated in the notice. 10 258 Complaints made over 3 years after conduct concerned 11 (1) This section applies if a complaint is received by the commissioner 12 more than 3 years after the conduct happened that is the subject of the 13 complaint, including conduct that happened before the commencement of 14 this section. 15 (2) The commissioner may-- 16 (a) refer the complaint to mediation; or 17 (b) dismiss the complaint unless the commissioner decides that-- 18 (i) it is just and fair to deal with the complaint having regard to 19 the extent of, and reasons for, the delay; or 20 (ii) the complaint involves conduct of the following type and it 21 is in the public interest to deal with the complaint-- 22 (A) conduct of an Australian legal practitioner that the 23 commissioner considers may be professional 24 misconduct; or 25 (B) conduct of a law practice employee that the 26 commissioner considers may be misconduct of the 27 employee in relation to the relevant practice. 28 (3) The commissioner must give an information notice to-- 29 81 Section 313 (Waiver of legal professional privilege or benefit of duty of confidentiality)

s 259 173 s 259 Legal Profession Bill 2004 (a) if the commissioner dismisses the complaint--the complainant; 1 or 2 (b) if the commissioner makes a decision mentioned in 3 subsection (2)(b)(i) or (ii)--the respondent. 4 (4) For working out whether it is more than 3 years since conduct that is 5 the subject of the complaint happened, the commissioner must calculate 6 from the last day that the conduct happened. 7 (5) This section does not limit the commissioner's power to dismiss a 8 complaint under section 259. 9 (6) This section is subject to 614.82 10 259 Summary dismissal of complaints 11 (1) The commissioner may dismiss a complaint for 1 or more of the 12 following reasons-- 13 (a) the commissioner has given the complainant a notice under 14 section 257 and, within the time stated in the notice or under an 15 extension under that section, the complainant has not complied 16 with the notice; 17 (b) the complaint does not disclose conduct that the commissioner 18 considers may be-- 19 (i) conduct to which this chapter applies; or 20 (ii) unsatisfactory professional conduct or professional 21 misconduct of an Australian legal practitioner or 22 misconduct of a law practice employee in relation to the 23 relevant practice; 24 (c) the commissioner considers the complaint is vexatious, 25 misconceived, frivolous or lacking in substance; 26 (d) the conduct complained about has been the subject of a previous 27 complaint that has been dismissed or dealt with, and the 28 commissioner considers that the complaint discloses no reason to 29 reconsider the matter; 30 (e) it is not in the public interest to deal with the complaint having 31 regard to the fact that the name of the Australian legal 32 82 Section 614 (Basis of complaint mentioned in ss 256 or 613(2))

s 260 174 s 260 Legal Profession Bill 2004 practitioner to whom the complaint relates has already been 1 removed from each Australian roll in which he or she was 2 enrolled. 3 (2) The commissioner may dismiss a complaint under this section 4 without completing an investigation if, having considered the complaint, 5 the commissioner forms the view that the complaint requires no further 6 investigation. 7 (3) If a complaint is dismissed for the reason mentioned in 8 subsection (1)(a), the dismissal does not prevent the complainant from 9 making a fresh complaint under section 256.83 10 (4) In this section-- 11 "previous complaint" includes-- 12 (a) a complaint under the Queensland Law Society Act 1952 if the 13 complaint was made under that Act before the commencement of 14 this definition; and 15 (b) a complaint made to the bar association if the complaint was 16 made before that commencement. 17 260 Withdrawal of complaints 18 (1) The complainant may withdraw the complaint by notice to the 19 commissioner. 20 (2) If the notice about the withdrawal is oral, the commissioner must do 21 each of the following unless the complainant gives the commissioner 22 written confirmation of the withdrawal-- 23 (a) make a written record of the withdrawal; 24 (b) give the complainant a copy of the record, or send a copy of it 25 addressed to the complainant at the complainant's address last 26 known to the commissioner. 27 (3) However, the withdrawal of the complaint does not prevent action 28 being taken on a complaint by another person, or by the commissioner on 29 the commissioner's own initiative. 30 83 Section 256 (Making a complaint)

s 261 175 s 262 Legal Profession Bill 2004 (4) In this section-- 1 "withdrawal" of a complaint includes withdrawal of some only or part 2 only of the matters that form the subject of the complaint. 3 261 Commissioner may delay dealing with complaint 4 (1) The commissioner may delay dealing with a complaint for 1 or more 5 of the following reasons-- 6 (a) the complainant has asked for a delay and the commissioner 7 considers the request reasonable; 8 (b) for a complaint about an Australian legal practitioner--the 9 practitioner is under investigation in this jurisdiction or another 10 jurisdiction and, under this Act or a corresponding law of that 11 other jurisdiction, the practitioner's name may be removed from 12 the local roll or interstate roll; 13 (c) the matter that is the subject of the complaint is being or about to 14 be dealt with in another way; 15 (d) the commissioner considers that it is in the public interest to 16 delay dealing with the complaint. 17 (2) Subsection (1) applies despite sections 18 and 253.84 18 PART 3--MEDIATION FOR COMPLAINTS INVOLVING 19 CONSUMER DISPUTE 20 262 Definition for ch 3, pt 3 21 In this part-- 22 "consumer dispute" means a dispute between a person and a law practice 23 about conduct of-- 24 (a) an Australian legal practitioner to the extent the commissioner 25 considers that the dispute does not involve an issue of 26 84 Sections 18 (Timing for doing things) and 253 (Duty to deal with complaints efficiently and expeditiously)

s 263 176 s 264 Legal Profession Bill 2004 unsatisfactory professional conduct or professional misconduct; 1 or 2 (b) a law practice employee to the extent the commissioner considers 3 that the dispute does not involve an issue of misconduct in 4 relation to the relevant practice. 5 263 Mediation of complaint involving consumer dispute solely 6 (1) This section applies to a complaint that involves a consumer dispute. 7 (2) The commissioner may-- 8 (a) suggest to the complainant and the respondent that they enter 9 into a process of mediation; and 10 (b) refer the matter to the relevant regulatory authority to see if the 11 authority may help in the mediation or otherwise in the 12 resolution of the complaint. 13 (3) The commissioner is then not required to take further action on the 14 complaint. 15 264 Mediation of hybrid complaint 16 (1) This section applies to a complaint that involves both of the 17 following-- 18 (a) a consumer dispute; 19 (b) an issue of unsatisfactory professional conduct or professional 20 misconduct by an Australian legal practitioner or of misconduct 21 by a law practice employee in relation to the relevant practice. 22 (2) The commissioner may-- 23 (a) suggest to the complainant and the respondent that they enter 24 into a process of mediation; and 25 (b) refer the matter to the relevant regulatory authority to see if the 26 authority may help in the mediation or otherwise in the 27 resolution of the complaint. 28 (3) The complaint must continue to be dealt with under this chapter after 29 or during the mediation or attempt at mediation. 30

s 265 177 s 266 Legal Profession Bill 2004 PART 4--STARTING INVESTIGATIONS BASED ON 1 COMPLAINT OR WITHOUT A COMPLAINT 2 265 Referral by commissioner to law society or bar association 3 (1) This section applies if-- 4 (a) a complaint is received by the commissioner and is not dismissed 5 under section 258(2)(b) or 259 or withdrawn under section 260;85 6 or 7 (b) a complaint is withdrawn under section 260 but the 8 commissioner has continued to investigate the matter on the 9 commissioner's own initiative; or 10 (c) the commissioner believes that an investigation about a matter 11 (an "investigation matter") should be started into the conduct of 12 an Australian legal practitioner or a law practice employee. 13 (2) The commissioner may refer the complaint or the investigation 14 matter to the relevant regulatory authority. 15 (3) The referral may state a date by which the regulatory authority is to 16 report to the commissioner about the complaint or investigation matter and 17 directions to the authority about the way in which the authority is to 18 conduct the investigation. 19 (4) The commissioner may extend the date for the report but may require 20 the authority to give the commissioner an interim report. 21 (5) At any time while the regulatory authority is carrying out its 22 investigation, including after the commissioner is given an interim report, 23 the commissioner may give directions or further directions about the way 24 in which the authority is to conduct the investigation. 25 266 Commissioner investigating a complaint or investigation matter 26 (1) The commissioner must investigate a complaint or an investigation 27 matter if the commissioner is satisfied-- 28 85 Section 258 (Complaints made over 3 years after conduct concerned), 259 (Summary dismissal of complaints) or 260 (Withdrawal of complaints)

s 267 178 s 267 Legal Profession Bill 2004 (a) it is inconsistent with the public interest for the relevant 1 regulatory authority to investigate the complaint or investigation 2 matter; or 3 (b) it is in the public interest for the commissioner to investigate the 4 complaint or investigation matter. 5 (2) Also, the commissioner must investigate a complaint or investigation 6 matter that is not mentioned in subsection (1) but is not referred to a 7 regulatory authority under section 265(2).86 8 (3) If the commissioner considers it appropriate to start or continue an 9 investigation into a complaint or investigation matter that was referred to a 10 a regulatory authority under section 265(2), the commissioner may do so 11 by giving a written notice of the commissioner's decision to the authority. 12 (4) A regulatory authority given a notice under subsection (3) must give 13 to the commissioner all documents relating to the investigation into the 14 complaint or investigation matter. 15 267 Australian lawyer to be notified of complaint or investigation 16 matter 17 (1) The entity carrying out an investigation as mentioned in section 265 18 or 26687 must ensure that written notice of the following is given to the 19 respondent-- 20 (a) the making of the complaint or investigation matter; 21 (b) the nature of the complaint or investigation matter; 22 (c) the identity of the complainant; 23 (d) action taken by the entity in relation to the complaint or 24 investigation matter before giving the notice. 25 (2) Also, the notice must advise the respondent that the respondent may 26 make submissions to the entity by a stated date that is reasonable. 27 (3) Despite section 18,88 the entity may delay giving the respondent 28 notice under subsection (1) until-- 29 86 Section 265 (Referral by commissioner to law society or bar association) 87 Section 265 (Referral by commissioner to law society or bar association) or 266 (Commissioner investigating a complaint or investigation matter) 88 Section 18 (Timing for doing things)

s 268 179 s 268 Legal Profession Bill 2004 (a) the entity considers notice of the complaint or investigation 1 matter will not prejudice the investigation of the complaint or 2 investigation matter; or 3 (b) the complainant complies with a notice given under 4 section 257(1).89 5 268 Role of law society or bar association 6 (1) If a complaint or investigation matter is referred to a regulatory 7 authority, it must investigate the complaint or investigation matter and 8 report to the commissioner about the complaint or matter by the stated date 9 or a later date stated in an extension. 10 (2) For subsection (1), the authority may investigate a complaint or 11 investigation matter by an investigator investigating the complaint or 12 matter and presenting evidence to the authority for its consideration and 13 report. 14 (3) However, the investigator must be an investigator appointed because 15 of a nomination by the authority. 16 (4) The report must-- 17 (a) be in an approved form approved by the commissioner; and 18 (b) include a recommendation about whether a proceeding before a 19 disciplinary body in relation to the complaint or investigation 20 matter should be started. 21 (5) Without limiting the matters to which the authority may have regard 22 when making a recommendation as mentioned in subsection (4)(b), the 23 authority may have regard to the following-- 24 (a) the public interest in the complaint or investigation matter being 25 heard and decided by a disciplinary body; 26 (b) the likelihood of a finding of unsatisfactory professional conduct 27 or professional misconduct against the Australian legal 28 practitioner or of misconduct of the law practice employee in 29 relation to the relevant practice; 30 (c) any other action or proceeding that may have started or finished 31 in relation to the conduct the subject of the complaint or 32 89 Section 257 (Further information and verification)

s 269 180 s 269 Legal Profession Bill 2004 investigation matter or to the same practitioner or law practice 1 employee. 2 (6) If the authority recommends making a discipline application, the 3 report must also include a draft of the application and the evidence to 4 support the application. 5 269 Powers for investigations 6 (1) The entity carrying out an investigation as mentioned in section 265 7 or 26690 may, for the investigation-- 8 (a) require an Australian legal practitioner who is the subject of the 9 investigation-- 10 (i) to give the entity, in writing or personally, within a stated 11 reasonable time a full explanation of the matter being 12 investigated; or 13 (ii) to appear before the entity at a stated reasonable time and 14 place; or 15 (iii) to produce to the entity within a stated reasonable time any 16 document in the practitioner's custody, possession or 17 control that the practitioner is entitled at law to produce; or 18 (b) engage a costs assessor to report on the reasonableness of an 19 Australian legal practitioner's bill of costs. 20 (2) Subject to subsection (6), the practitioner must comply with a 21 requirement under subsection (1)(a). 22 Maximum penalty--50 penalty units. 23 (3) If the practitioner fails to comply with the requirement, the entity 24 may give the practitioner written notice that if the failure continues for a 25 further 14 days after the notice is given the practitioner may be dealt with 26 for professional misconduct. 27 (4) If notice under subsection (3) is given and the failure continues for 28 the 14 day period-- 29 90 Section 265 (Referral by commissioner to law society or bar association) or 266 (Commissioner investigating a complaint or investigation matter)

s 270 181 s 271 Legal Profession Bill 2004 (a) the practitioner is taken to have committed professional 1 misconduct, unless the practitioner has a reasonable excuse for 2 not complying with the requirement within the period; and 3 (b) the entity may bring a charge of professional misconduct against 4 the practitioner. 5 (5) In a hearing before the tribunal about a charge of professional 6 misconduct, a copy of the notice mentioned in subsection (3) and any 7 enclosures with the notice are evidence of the matters in the notice and the 8 enclosures. 9 (6) An Australian legal practitioner may refuse to give the entity an 10 explanation of a matter being investigated if-- 11 (a) the practitioner satisfies the entity that to give the explanation 12 would contravene, or invalidate, a policy for professional 13 indemnity insurance held by the practitioner; or 14 (b) the explanation would tend to incriminate the practitioner. 15 270 Submissions by respondent 16 (1) A respondent given a notice under section 26791 may, by the date 17 stated in that notice, make written submissions to the commissioner or the 18 stated relevant regulatory authority about the complaint or investigation 19 matter. 20 (2) At the request of the respondent or the authority, the commissioner 21 may substitute a later date by which submissions may be made. 22 (3) The commissioner or authority must consider the submissions made 23 before the stated date or any later date before deciding whether to make a 24 discipline application relating to the complaint or investigation matter. 25 271 Referral of matters for cost assessment 26 For the purpose of investigating a complaint, the entity carrying out an 27 investigation as mentioned in section 265 or 26692 may refer a matter to a 28 costs assessor for assessment of costs charged or claimed by a law practice. 29 91 Section 267 (Australian lawyer to be notified of complaint or investigation matter) 92 Section 265 (Referral by commissioner to law society or bar association) or 266 (Commissioner investigating a complaint or investigation matter)

s 272 182 s 274 Legal Profession Bill 2004 272 Regulation may provide for covering cost of costs assessor under 1 s 269 or 271 2 A regulation may provide for the way in which the cost of a costs 3 assessor under section 269 or 271 is to be met, including requiring an 4 amount to be paid before the costs assessment or by recovering the amount 5 of the assessment as a debt. 6 PART 5--DISCIPLINE 7 Division 1--Decision of commissioner 8 273 Decision of commissioner after investigation 9 As the commissioner considers appropriate in relation to a complaint or 10 investigation matter that has been or continues to be investigated, the 11 commissioner may start a proceeding under this part before a disciplinary 12 body. 13 274 Dismissal of complaint 14 (1) The commissioner may dismiss the complaint or investigation matter 15 if satisfied that-- 16 (a) there is no reasonable likelihood of a finding by a disciplinary 17 body of-- 18 (i) for an Australian legal practitioner--either unsatisfactory 19 professional conduct or professional misconduct; or 20 (ii) for a law practice employee--misconduct in relation to the 21 relevant practice; or 22 (b) it is in the public interest to do so. 23 (2) The commissioner must give the respondent and any complainant 24 written notice about the commissioner's decision to dismiss the complaint 25 or investigation matter. 26

s 275 183 s 278 Legal Profession Bill 2004 275 Record of decision 1 The commissioner must cause a record of his or her decision about a 2 complaint or an investigation matter, together with reasons for the decision, 3 to be kept for each complaint or investigation matter dealt with under this 4 division. 5 Division 2--Proceedings in disciplinary body 6 276 Starting proceeding before a disciplinary body 7 (1) The commissioner may apply-- 8 (a) to the tribunal for an order against an Australian legal practitioner 9 in relation to a complaint against the legal practitioner or an 10 investigation matter; or 11 (b) to the committee for an order-- 12 (i) against an Australian legal practitioner in relation to a 13 complaint against the legal practitioner or an investigation 14 matter; or 15 (ii) against a law practice employee in relation to a complaint 16 against the employee or an investigation matter involving 17 the employee. 18 (2) An application under subsection (1) is a "discipline application". 19 277 Hearings 20 The disciplinary body must hear and decide each allegation stated in the 21 discipline application. 22 278 Variation of discipline application 23 (1) The disciplinary body may, on the commissioner's application, vary a 24 discipline application by omitting allegations or including additional 25 allegations, if the body is satisfied that it is reasonable to do so having 26 regard to all the circumstances. 27 (2) Without limiting subsection (1), when considering whether or not it 28 is reasonable to vary a discipline application, the disciplinary body must 29

s 279 184 s 280 Legal Profession Bill 2004 have regard to whether varying the application will affect the fairness of the 1 proceeding. 2 (3) A variation to include an additional allegation is not precluded 3 merely because the alleged conduct happened more than 3 years before the 4 variation is made, including conduct that happened before the 5 commencement of this section. 6 279 Joinder 7 A disciplinary body may, subject to its rules, order the joinder of more 8 than 1 discipline application involving the same Australian legal 9 practitioner or law practice employee or different Australian legal 10 practitioners or law practice employees. 11 Division 3--Decisions of disciplinary bodies 12 280 Decisions of tribunal about an Australian legal practitioner 13 (1) This section applies if, after the tribunal has completed a hearing of a 14 discipline application in relation to a complaint or an investigation matter 15 against an Australian legal practitioner, the tribunal is satisfied that the 16 practitioner is guilty of unsatisfactory professional conduct or professional 17 misconduct. 18 (2) The tribunal may, under this subsection, make 1 or more of the 19 following in a way it considers appropriate-- 20 (a) an order recommending that the name of the practitioner be 21 removed from the local roll; 22 (b) an order that the practitioner's local practising certificate be 23 cancelled or suspended for a stated period; 24 (c) an order that a local practising certificate not be issued to the 25 practitioner until the end of a stated period; 26 (d) an order that-- 27 (i) imposes stated conditions on the practitioner's practising 28 certificate issued or to be issued under this Act; and 29 (ii) imposes the conditions for a stated period; and 30

s 280 185 s 280 Legal Profession Bill 2004 (iii) specifies the time, if any, after which the practitioner may 1 apply to the tribunal for the conditions to be amended or 2 removed; 3 (e) an order publicly reprimanding the practitioner or, if there are 4 special circumstances, privately reprimanding the practitioner; 5 (f) an order that no law practice in this jurisdiction may, for a period 6 stated in the order of not more than 5 years-- 7 (i) employ or continue to employ the practitioner in a law 8 practice in this jurisdiction; or 9 (ii) employ or continue to employ the practitioner in this 10 jurisdiction unless the conditions of employment are subject 11 to conditions stated in the order. 12 (3) The tribunal may, under this subsection, make 1 or more of the 13 following-- 14 (a) an order recommending that the name of the Australian legal 15 practitioner be removed under a corresponding law from an 16 interstate roll; 17 (b) an order that the practitioner's interstate practising certificate be 18 cancelled or suspended under a corresponding law; 19 (c) an order that an interstate practising certificate not be, under a 20 corresponding law, granted to the practitioner until the end of a 21 stated period; 22 (d) an order that-- 23 (i) stated conditions be imposed under a corresponding law on 24 the practitioner's interstate practising certificate; and 25 (ii) the conditions be imposed for a stated period; and 26 (iii) specifies the time, if any, after which the practitioner may 27 apply under the corresponding law for the conditions to be 28 amended or removed. 29 (4) The tribunal may, under this subsection, make 1 or more of the 30 following-- 31 (a) an order that the Australian legal practitioner pay a penalty of a 32 stated amount, not more than $100 000; 33 (b) a compensation order; 34

s 281 186 s 281 Legal Profession Bill 2004 (c) an order that the practitioner undertake and complete a stated 1 course of further legal education; 2 (d) an order that, for a stated period, the practitioner engage in legal 3 practice under supervision as stated in the order; 4 (e) an order that the practitioner do or refrain from doing something 5 in connection with the practitioner engaging in legal practice; 6 (f) an order that the practitioner stop accepting instructions as a 7 public notary in relation to notarial services; 8 (g) an order that engaging in legal practice by the practitioner is to be 9 managed for a stated period in a stated way or subject to stated 10 conditions; 11 (h) an order that engaging in legal practice by the practitioner is to be 12 subject to periodic inspection by a person nominated by the 13 relevant regulatory authority for a stated period; 14 (i) an order that the practitioner seek advice from a stated person in 15 relation to the practitioner's management of engaging in legal 16 practice; 17 (j) an order that the practitioner must not apply for a local practising 18 certificate for a stated period. 19 (5) To remove any doubt, it is declared that the tribunal may make any 20 number of orders mentioned in any or all of subsections (2), (3) and (4). 21 (6) Also, the tribunal may make ancillary orders, including an order for 22 payment by the Australian legal practitioner of expenses associated with 23 orders under subsection (4), as assessed in or under the order or as agreed. 24 (7) The tribunal may find a person guilty of unsatisfactory professional 25 conduct even though the discipline application alleged professional 26 misconduct. 27 281 Orders to be filed in Supreme Court and information notices to be 28 given to parties etc. 29 (1) This section applies to the Brisbane registrar after the tribunal makes 30 an order under section 280 or 286 or part 693 in relation to a discipline 31 93 Section 280 (Decisions of tribunal about an Australian legal practitioner) or 286 (Costs) or part 6 (Compensation orders)

s 282 187 s 282 Legal Profession Bill 2004 application, including a discipline application that the tribunal dealt with 1 on an appeal from the committee under section 293.94 2 (2) The Brisbane registrar must-- 3 (a) file the order in a Supreme Court registry; and 4 (b) give the parties in relation to the discipline application a copy of 5 the order and an information notice about the final decision about 6 the discipline application; and 7 (c) give the Minister a copy of the order. 8 (3) On being filed, the order is an order of the Supreme Court and may 9 be enforced accordingly. 10 (4) Subsection (3) is subject to section 287.95 11 282 Decisions of committee about discipline application 12 (1) This section applies if, after a committee has completed a hearing of 13 a discipline application in relation to a complaint or an investigation matter 14 against an Australian legal practitioner or law practice employee, the 15 committee is satisfied-- 16 (a) for the practitioner--that the practitioner is guilty of 17 unsatisfactory professional conduct; or 18 (b) for the employee--that the employee is guilty of misconduct in 19 relation to the relevant practice. 20 (2) The committee may make 1 or more of the following in relation to an 21 Australian legal practitioner-- 22 (a) an order publicly reprimanding the practitioner or, if there are 23 special circumstances, privately reprimanding the practitioner; 24 (b) an order that the practitioner pay a penalty of a stated amount, 25 not more than $10 000; 26 (c) a compensation order; 27 (d) an order that the practitioner do or refrain from doing something 28 in connection with the practitioner engaging in legal practice; 29 94 Section 293 (Appeal to tribunal against committee's decision) 95 Section 287 (Other remedies not affected)

s 283 188 s 283 Legal Profession Bill 2004 (e) an order that engaging in legal practice by the practitioner is to be 1 managed for a stated period in a stated way or subject to stated 2 conditions; 3 (f) an order that engaging in legal practice by the practitioner is to be 4 subject to periodic inspection by a person nominated by the 5 relevant regulatory authority for a stated period; 6 (g) an order that the practitioner seek advice from a person 7 nominated by the relevant regulatory authority in relation to the 8 practitioner's management of engaging in legal practice. 9 (3) Also, the committee may make ancillary orders, including an order 10 for payment by the Australian legal practitioner of expenses associated 11 with orders under subsection (2), as assessed in or under the order or as 12 agreed. 13 (4) For a law practice employee, the committee may order that the law 14 practice concerned or no law practice in this jurisdiction may, for a period 15 stated in the order of not more than 5 years-- 16 (a) continue to employ or employ the employee in a law practice in 17 this jurisdiction; or 18 (b) employ or continue to employ the employee in this jurisdiction 19 unless the conditions of employment are subject to conditions 20 stated in the order. 21 (5) In this section-- 22 "law practice employee" includes a person who was a law practice 23 employee. 24 283 Orders to be filed in Supreme Court and information notices to be 25 given to parties etc. 26 (1) This section applies after the committee makes an order under 27 section 282 or 286 or part 696 in relation to a discipline application. 28 (2) The commissioner must-- 29 (a) give the other party or parties in relation to the discipline 30 application a copy of the order and an information notice about 31 the final decision about the discipline application; and 32 96 Section 282 (Decisions of committee about discipline application) or 286 (Costs) or part 6 (Compensation orders)

s 284 189 s 285 Legal Profession Bill 2004 (b) give the Minister a copy of the order. 1 (3) If there is no appeal from the decision within the 28 days allowed for 2 the appeal, the commissioner must file the order in a Supreme Court 3 registry. 4 (4) On being filed, the order is an order of the Supreme Court and may 5 be enforced accordingly. 6 (5) Subsection (4) is subject to section 287.97 7 284 Interlocutory and interim orders 8 (1) A disciplinary body may make an interlocutory or interim order as it 9 considers appropriate before making its final decision about a discipline 10 application. 11 (2) Without limiting subsection (1), an order under section 280 or 282 12 may be made as an interlocutory or interim order. 13 285 Compliance with decisions 14 (1) To the extent an entity has a function or power under this Act relevant 15 to an order of a disciplinary body, the entity must-- 16 (a) give effect to an order made under section 280(2), 282(2) or 17 284;98 and 18 (b) enforce an order made under section 280(4) or (6), 282(2) or (3) 19 or 284 so far as the order relates to the legal practice of, or other 20 matters affecting, the Australian legal practitioner concerned in 21 this jurisdiction. 22 (2) The commissioner must ensure that entities having functions or 23 powers under a corresponding law of another jurisdiction are notified of the 24 making and contents of-- 25 (a) an order of the tribunal made under section 280(3) or 284 in 26 relation to that corresponding law; and 27 97 Section 287 (Other remedies not affected) 98 Section 280 (Decisions of tribunal about an Australian legal practitioner), 282 (Decisions of committee about discipline application) or 284 (Interlocutory and interim orders)

s 286 190 s 286 Legal Profession Bill 2004 (b) an order of the body made under section 280(4) or (6), 282(2) 1 or (3) or 284 so far as the order relates to the legal practice of, or 2 other matters affecting, the Australian legal practitioner 3 concerned in that other jurisdiction. 4 (3) If the tribunal makes an order recommending that the name of an 5 Australian legal practitioner be removed from the local roll, the Brisbane 6 registrar must remove, or arrange with another registrar for the removal of, 7 the name from the local roll. 8 286 Costs 9 (1) A disciplinary body must make an order requiring a person whom it 10 has found guilty to pay costs, including costs of the commissioner and the 11 complainant, unless the disciplinary body is satisfied exceptional 12 circumstances exist. 13 (2) A disciplinary body may make an order requiring a person whom it 14 has not found guilty to pay costs, including costs of the commissioner and 15 the complainant, if the disciplinary body is satisfied that-- 16 (a) the sole or principal reason why the proceeding was started in the 17 disciplinary body was the person's failure to cooperate with the 18 commissioner or a relevant regulatory authority; or 19 (b) there is some other reason warranting the making of an order in 20 the particular circumstances. 21 (3) Without limiting subsection (2), a disciplinary body may make an 22 order requiring an Australian legal practitioner in relation to whom a 23 proceeding is pending before the disciplinary body to pay costs on an 24 interlocutory or interim basis. 25 (4) A disciplinary body may make an order requiring the commissioner 26 to pay costs, but may do so only if it is satisfied that-- 27 (a) the Australian legal practitioner or law practice employee is not 28 guilty; and 29 (b) the body considers that special circumstances warrant the 30 making of the order. 31 (5) An order for costs-- 32 (a) may be for a stated amount; or 33 (b) may be for an unstated amount but must specify the basis on 34 which the amount must be decided. 35

s 287 191 s 288 Legal Profession Bill 2004 (6) An order for costs may specify the terms on which costs must be 1 paid. 2 (7) In this section-- 3 "guilty" means guilty of unsatisfactory professional conduct or 4 professional misconduct, or of misconduct in relation to a relevant 5 practice, as mentioned in section 280(1) or 282(1).99 6 287 Other remedies not affected 7 (1) This part does not affect any other remedy available to a complainant. 8 (2) Also, the findings or an order of a disciplinary body are not binding 9 on a court or decision-making entity in any other proceeding under which 10 the complainant is seeking the other remedy. 11 PART 6--COMPENSATION ORDERS 12 Division 1--Preliminary 13 288 Meaning of "compensation order" 14 A "compensation order" is 1 or more of the following-- 15 (a) an order that a law practice can not recover or must repay all or a 16 stated part of the amount that the law practice charged a 17 complainant for stated legal services; 18 (b) an order discharging a lien possessed by a law practice in relation 19 to a stated document or class of documents; 20 (c) an order that a law practice carry out stated work for a stated 21 person without a fee or for a stated fee; 22 (d) an order that a law practice pay to a complainant an amount by 23 way of compensation for pecuniary loss because of conduct that 24 has been found to be-- 25 99 Section 280 (Decisions of tribunal about an Australian legal practitioner) or 282 (Decisions of committee about discipline application)

s 289 192 s 290 Legal Profession Bill 2004 (i) unsatisfactory professional conduct or professional 1 misconduct of an Australian legal practitioner involved in 2 the relevant practice; or 3 (ii) misconduct of a law practice employee in relation to the 4 relevant practice. 5 Division 2--Compensation orders 6 289 Compensation order relating to pecuniary loss 7 (1) Unless the parties agree, a compensation order that is the type of 8 order mentioned in section 288(d) must not be made unless the disciplinary 9 body making the order is satisfied-- 10 (a) if there is a complainant in relation to the discipline 11 application--that the complainant has suffered pecuniary loss 12 because of the conduct concerned; and 13 (b) that it is in the interests of justice that an order of that type be 14 made. 15 (2) Also, a compensation order of the type mentioned in section 288(d) 16 for a pecuniary loss for which the relevant complainant has received or is 17 entitled to receive either of the following must not be made-- 18 (a) compensation under an order that has been made by a court; 19 (b) compensation from the fidelity fund, or a fund of another 20 jurisdiction under a corresponding law of that jurisdiction, if a 21 claim for payment from the fidelity fund or other fund has been 22 made or decided. 23 290 Effect of compensation order 24 (1) A compensation order preventing recovery of an amount of the type 25 mentioned in section 288(a) is effective even if a proceeding to recover the 26 amount, or any part of it, has been started by or for the law practice. 27 (2) A compensation order requiring repayment of an amount of the type 28 mentioned in section 288(a) is effective even if a court has ordered 29 payment of the amount, or an amount of which it is part, in a proceeding 30 brought by or for the law practice. 31

s 291 193 s 292 Legal Profession Bill 2004 (3) A compensation order requiring payment of an amount more than 1 $7 500 by way of monetary compensation of the type mentioned in 2 section 288(d) must not be made unless the complainant and the law 3 practice both consent to the order. 4 291 Other remedies not affected 5 The recovery of an amount awarded by a compensation order does not 6 affect any other remedy available to a complainant, but an amount so 7 awarded must be taken into account in another proceeding by or for the 8 complainant in relation to the same loss. 9 PART 7--APPEALS FROM DECISIONS OF 10 DISCIPLINARY BODIES 11 292 Appeal may be made to Court of Appeal from tribunal's decision 12 (1) The following may appeal a decision of the tribunal to the Court of 13 Appeal-- 14 (a) a party dissatisfied with the tribunal's decision; 15 (b) the Minister. 16 (2) The appeal is by way of a rehearing on the evidence given in the 17 matter before the tribunal. 18 (3) However, subsection (2) does not prevent the Court of Appeal from 19 giving leave to introduce further evidence, whether fresh, additional or 20 substituted, if the court considers the further evidence may be material to 21 the appeal. 22 (4) The appeal must be made-- 23 (a) if the appeal is being made by the Minister--within 28 days after 24 a copy of the tribunal's order is given to the Minister; or 25 (b) otherwise--within 28 days after the tribunal's order is made. 26

s 293 194 s 295 Legal Profession Bill 2004 293 Appeal to tribunal against committee's decision 1 (1) A party dissatisfied with a final decision of the committee about a 2 discipline application may appeal to the tribunal against the decision within 3 28 days after the day the information notice mentioned in section 283(2)100 4 is given to the party. 5 (2) If a party appeals to the tribunal against the decision of the 6 committee, the appeal is to be by way of rehearing, and fresh evidence or 7 evidence in addition to or in substitution for the evidence before the 8 committee may be given on the appeal. 9 (3) On an appeal under this section, the tribunal may make an order as it 10 considers appropriate to decide the discipline application. 11 294 Appeal to Court of Appeal in relation to a decision of committee 12 (1) This section applies to a decision of the committee that, under 13 section 283(4), has become an order of the Supreme Court. 14 (2) A person may, with the leave of the Court of Appeal, appeal against 15 the order by appealing to that court. 16 (3) The appeal is by way of a rehearing on the evidence given in the 17 matter before the committee. 18 (4) However, subsection (3) does not prevent the Court of Appeal from 19 giving leave to introduce further evidence, whether fresh, additional or 20 substituted, if the court considers the further evidence may be material to 21 the appeal. 22 PART 8--PUBLICATION OF DISCIPLINARY ACTIONS 23 295 Definition for ch 3, pt 8 24 In this part-- 25 "disciplinary action" means-- 26 100 Section 283 (Orders to be filed in Supreme Court and information notices to be given to parties etc.)

s 296 195 s 296 Legal Profession Bill 2004 (a) the making of an order by a court or the tribunal that finds an 1 Australian legal practitioner guilty of professional misconduct 2 under this Act or under a corresponding law; or 3 (b) any of the following actions under this Act or under a 4 corresponding law, following a finding by a court or the tribunal 5 of professional misconduct by an Australian legal practitioner-- 6 (i) the removal of the practitioner's name from a local roll or 7 interstate roll; 8 (ii) the cancellation or suspension of the practising certificate of 9 the practitioner; 10 (iii) the refusal to issue a practising certificate to the practitioner; 11 (iv) the appointment of a manager or a receiver for the law 12 practice concerned; or 13 (c) the making of an order by the committee under section 282(4).101 14 296 Discipline register 15 (1) The commissioner must keep a register (the "discipline register") 16 about the following-- 17 (a) disciplinary action taken under this Act against an Australian 18 legal practitioner or in relation to a law practice employee; 19 (b) disciplinary action taken under a corresponding law against an 20 Australian legal practitioner who is or was admitted under this 21 Act as a legal practitioner or practising in this jurisdiction, when 22 the conduct that is the subject of the disciplinary action 23 happened. 24 (2) The discipline register must include-- 25 (a) the full name of the person against whom the disciplinary action 26 was taken and the law practice who employs or employed the 27 person; and 28 (b) the person's business address or former business address; and 29 (c) for an Australian legal practitioner--the practitioner's home 30 jurisdiction; and 31 101 Section 282 (Decisions of committee about discipline application)

s 297 196 s 298 Legal Profession Bill 2004 (d) particulars of the disciplinary action taken; and 1 (e) other particulars prescribed under a regulation. 2 (3) The discipline register may-- 3 (a) be kept in a form decided by the commissioner, including 4 forming part of other registers; and 5 (b) include other information, including, for example, the date and 6 jurisdiction of the person's first admission to the legal profession. 7 (4) The discipline register must be available for public inspection on-- 8 (a) the Internet site of the commissioner; or 9 (b) an Internet site identified on the Internet site of the 10 commissioner. 11 (5) Information recorded in the discipline register may be given to 12 members of the public in another way approved by the commissioner. 13 (6) The commissioner may cause any error in or omission from the 14 discipline register to be corrected. 15 (7) The requirement to keep the discipline register applies only in 16 relation to disciplinary action taken after the commencement of this 17 section, but details relating to earlier disciplinary action may be included in 18 the register. 19 297 Other means of publicising disciplinary action 20 (1) The commissioner may publicise disciplinary action taken against a 21 person in any way the commissioner considers appropriate. 22 (2) Nothing in this section affects the provisions of this part relating to 23 the discipline register. 24 298 Disciplinary action taken because of infirmity, injury or illness 25 (1) Disciplinary action taken against a person because of infirmity, injury 26 or mental or physical illness is not to be recorded in the discipline register 27 or otherwise publicised under this part. 28 (2) Subsection (1) does not apply if the disciplinary action involves-- 29 (a) the cancellation or suspension of the person's practising 30 certificate; or 31

s 299 197 s 300 Legal Profession Bill 2004 (b) a refusal to issue a practising certificate to the person or to renew 1 the person's practising certificate; or 2 (c) a regulation of the person's right to engage in legal practice; 3 but in that case the reason for the disciplinary action, and other information 4 relating to the infirmity, injury or mental or physical illness, must not be 5 recorded in the register or otherwise publicised under this part without the 6 person's consent. 7 299 Quashing of disciplinary action 8 (1) If disciplinary action is quashed on appeal or review, any reference to 9 that disciplinary action must be removed from the discipline register. 10 (2) If disciplinary action is quashed on appeal or review after the action 11 was publicised by the commissioner under section 297, the result of the 12 appeal or review must be publicised in the same way by the commissioner. 13 300 Liability for publicising disciplinary action 14 (1) No liability is incurred by a protected person in relation to anything 15 done or omitted to be done in good faith for the purpose of-- 16 (a) publicising disciplinary action taken against a person or relating 17 to a law practice; or 18 (b) performing the functions or exercising the powers of the 19 commissioner under this part; or 20 (c) keeping, publishing or enabling access to the discipline register. 21 (2) Without limiting subsection (1), no liability, including liability in 22 defamation, is incurred by a protected person publishing in good faith-- 23 (a) information about disciplinary action-- 24 (i) recorded in the discipline register; or 25 (ii) otherwise publicised by the commissioner under this part; 26 or 27 (b) matter containing that information; or 28 (c) a fair report or summary of that information. 29 (3) In this section-- 30 "protected person" means-- 31

s 301 198 s 301 Legal Profession Bill 2004 (a) the State; or 1 (b) the commissioner; or 2 (c) a regulatory authority; or 3 (d) a person responsible for keeping a record about disciplinary 4 action, or information about disciplinary action, under a 5 corresponding law; or 6 (e) an Internet service provider or Internet content host; or 7 (f) a person acting at the direction of the State or any person or body 8 mentioned in paragraphs (b) to (d). 9 301 General provisions about disclosure of information 10 (1) The provisions of this part are subject to any order made by any of 11 the following if the order regulates the disclosure of information-- 12 (a) a disciplinary body in relation to disciplinary action taken under 13 this part; 14 (b) a corresponding tribunal in relation to disciplinary action taken 15 under a corresponding law; 16 (c) a court of this or another jurisdiction. 17 (2) However, despite the order mentioned in subsection (1), the name 18 and other identifying particulars of the person against whom the 19 disciplinary action was taken and the law practice who employs or 20 employed the person, and the kind of disciplinary action taken-- 21 (a) must be recorded in the discipline register; and 22 (b) may be otherwise publicised under this part. 23 (3) Section 592102 is subject to this part. 24 102 Section 592 (Offence of improper disclosure of information)

s 302 199 s 304 Legal Profession Bill 2004 PART 9--INTER-JURISDICTIONAL PROVISIONS 1 302 Protocols 2 (1) The commissioner may enter into arrangements ("cross-border 3 protocols") with corresponding authorities about investigating and dealing 4 with conduct that appears to have happened in more than 1 jurisdiction. 5 (2) In particular, a cross-border protocol may provide for-- 6 (a) principles to help in deciding where conduct happens, either 7 generally or in stated classes of cases; and 8 (b) giving and receiving consent for conduct happening in a 9 jurisdiction to be dealt with under a law of another jurisdiction; 10 and 11 (c) procedures to be adopted for requesting and conducting the 12 investigation of an aspect of complaints or investigation matters 13 under this part. 14 303 Request to another jurisdiction to investigate complaint or 15 investigation matter 16 (1) The commissioner may request a corresponding authority to arrange 17 for the investigation of an aspect of a complaint or an investigation matter 18 that is being dealt with by the commissioner and to give the commissioner 19 a report on the result of the investigation. 20 (2) A report on the result of the investigation received from-- 21 (a) the corresponding authority; or 22 (b) a person or body authorised by the corresponding authority to 23 conduct the investigation; 24 may be used and considered by the commissioner and a disciplinary body 25 in the course of dealing with the discipline application under this chapter. 26 304 Request from another jurisdiction to investigate complaint 27 (1) This section applies in relation to a request received by the 28 commissioner from a corresponding authority to arrange for the 29 investigation of an aspect of a complaint under a corresponding law being 30 dealt with under that law. 31

s 305 200 s 306 Legal Profession Bill 2004 (2) The commissioner may conduct the investigation or authorise 1 another entity to conduct it. 2 (3) The provisions of this chapter relating to the investigation of a 3 complaint or investigation matter apply, with any necessary changes, in 4 relation to the investigation that is the subject of the request. 5 (4) The commissioner must give a report on the result of the 6 investigation to the corresponding authority. 7 (5) In this section-- 8 "complaint under a corresponding law" means a matter (however 9 described) under a corresponding law that corresponds to a complaint 10 or investigation matter. 11 305 Sharing of information with corresponding authorities 12 (1) The commissioner may give information to a corresponding 13 authority about-- 14 (a) a complaint or investigation matter made under this chapter; and 15 (b) any action taken in relation to a complaint or investigation matter 16 made under this chapter, including a decision of a disciplinary 17 body in relation to a discipline application. 18 (2) However, the commissioner must enter into an arrangement with the 19 corresponding authority before providing information to the corresponding 20 authority. 21 (3) The arrangement must include the following-- 22 (a) the purposes for which the corresponding authority is given the 23 information; 24 (b) how the corresponding authority will protect the privacy of the 25 information. 26 306 Cooperation with corresponding authorities 27 (1) When dealing with a complaint or investigation matter relating to an 28 Australian legal practitioner or law practice, the commissioner may consult 29 and cooperate with another person or body who or which has powers under 30 the corresponding law of another jurisdiction in relation to the practitioner 31 or law practice. 32

s 307 201 s 309 Legal Profession Bill 2004 (2) For subsection (1), the commissioner and the other person or body 1 may exchange information concerning the complaint or investigation 2 matter. 3 307 Compliance with orders made under corresponding laws 4 (1) Entities having relevant functions or powers under this Act must-- 5 (a) give effect to any order of a corresponding tribunal or other 6 corresponding authority made under a corresponding law in 7 relation to powers exercisable under this Act; and 8 (b) enforce any order of a corresponding tribunal or other 9 corresponding authority made under a corresponding law so far 10 as the order relates to the legal practice in this jurisdiction of the 11 Australian legal practitioner or law practice concerned. 12 (2) If a corresponding tribunal makes an order recommending that the 13 name of a person be removed from the roll of this jurisdiction or of rolls of 14 other jurisdictions, the Brisbane registrar must remove, or arrange with 15 another registrar for the removal of, the name from the local roll. 16 (3) If a corresponding tribunal makes an order that a local Australian 17 legal practitioner pay a penalty, or pay an amount under a compensation 18 order under a corresponding law, a copy of the order may be filed in the 19 Supreme Court and the order may be enforced as if it were an order of the 20 court. 21 308 Other powers or functions not affected 22 Nothing in this part affects any functions or powers that a person or body 23 has apart from this part. 24 PART 10--MISCELLANEOUS 25 309 Information about complaints procedure 26 The commissioner must-- 27 (a) produce information about the making of complaints and the 28 procedure for dealing with complaints; and 29

s 310 202 s 311 Legal Profession Bill 2004 (b) ensure that information is available to members of the public on 1 request; and 2 (c) give help to members of the public in making complaints. 3 310 Performance criteria 4 (1) The commissioner must develop performance criteria relating to the 5 handling of complaints under this chapter. 6 (2) The commissioner must include the relevant criteria in the 7 commissioner's annual report under this Act, together with an assessment 8 of the commissioner's performance against the criteria in the period to 9 which the report relates. 10 311 Annual and other reports to the Minister 11 (1) By 31 October after the end of each financial year, the commissioner 12 must give to the Minister a report for the immediately preceding financial 13 year. 14 (2) The report must deal with the system established under this Act for 15 dealing with complaints. 16 (3) Also the Minister may, by written notice, ask the commissioner to 17 provide a report at any time for a period stated in the Minister's request 18 about the system or about an aspect of the system stated in the notice. 19 (4) If the Minister makes a request under subsection (3), the 20 commissioner must comply with the request and give the relevant report to 21 the Minister by the date stated in the notice. 22 (5) The commissioner may include other matters the commissioner 23 considers appropriate in a report under this section, including, for example, 24 recommendations about the system. 25 (6) The Minister must table in the Legislative Assembly a report given to 26 the Minister under subsection (1), within 14 days after receiving the report. 27

s 312 203 s 313 Legal Profession Bill 2004 312 Confidentiality of client communications 1 (1) An Australian legal practitioner must comply with a requirement 2 under this chapter, or chapter 6, part 2,103 to answer a question or to 3 produce information or a document, despite any duty of confidentiality 4 about a communication between the legal practitioner and a client, but only 5 if the client is the complainant or consents to its disclosure. 6 (2) A provision of an agreement with a client in settlement of a matter 7 that involves conduct that may be the subject of a complaint under this 8 chapter is not enforceable to prevent the client disclosing, or consenting to 9 the disclosure of, information for an investigation of the complaint, 10 whether or not the complaint has been withdrawn, or an investigation 11 matter. 12 (3) It is a reasonable excuse for the Australian legal practitioner not to 13 comply with a requirement mentioned in subsection (1) if complying with 14 the requirement might tend to incriminate the practitioner. 15 313 Waiver of legal professional privilege or benefit of duty of 16 confidentiality 17 (1) This section applies if a person signs a document waiving the 18 person's legal professional privilege, or the benefit of a duty of 19 confidentiality, about a matter (the "waived matter") the subject of a 20 complaint or an investigation matter. 21 (2) An Australian legal practitioner can not refuse to disclose to the 22 commissioner or relevant regulatory authority any information about the 23 waived matter on the grounds of legal professional privilege or the duty of 24 confidentiality. 25 (3) However, the Australian legal practitioner may refuse to disclose the 26 information on the grounds that it might tend to incriminate the 27 practitioner. 28 103 Chapter 6 (Establishment of entities for this Act, and related matters), part 2 (Disciplinary tribunal)

s 314 204 s 314 Legal Profession Bill 2004 CHAPTER 4--EXTERNAL INTERVENTION 1 PART 1--PRELIMINARY 2 314 Main purposes of ch 4 3 (1) The main purposes of this chapter are as follows-- 4 (a) to ensure that an appropriate range of options is available for 5 intervention in the business and professional affairs of lawyers, 6 including foreign lawyers, for the purpose of protecting-- 7 (i) the interests of the general public; and 8 (ii) the interests of clients; and 9 (iii) the interests of lawyers, including the owners and 10 employees of law practices, so far as their interests are not 11 inconsistent with those of the general public and clients; 12 (b) to ensure that interventions happen in a way that minimises 13 adverse consequences for the lawyers concerned and their 14 clients. 15 (2) It is intended that interventions happen consistently with-- 16 (a) similar interventions in other jurisdictions, especially where a 17 law practice operates in this jurisdiction and 1 or more other 18 jurisdictions; and 19 (b) chapter 2, part 5.104 20 21 Note-- 22 This chapter-- 23 (a) applies to all law practices, regardless of whether they are incorporated under 24 the Corporations Act; and 25 (b) is intended to apply so that it, rather than the Corporations Act or the 26 Bankruptcy Act 1966 (Cwlth), applies in relation to the winding up of trust 27 property and the carrying on of a law practice. 104 Chapter 2 (Engaging in legal practice other than by Australian-registered foreign lawyers), part 5 (Legal practice by incorporated legal practices)

s 315 205 s 316 Legal Profession Bill 2004 315 Definitions for ch 4 1 In this chapter-- 2 "external intervener for a law practice" means a person appointed as any 3 of the following under this chapter-- 4 (a) a supervisor of trust money received by a law practice; 5 (b) a manager for a law practice; 6 (c) a receiver for a law practice. 7 "external intervention" means the appointment of, and the exercise of the 8 functions and powers of, a supervisor of trust money received by a law 9 practice, or a manager or receiver for a law practice, under this 10 chapter. 11 "regulated property", of a law practice, means the following-- 12 (a) trust money received, receivable or held by, or under the control 13 of, the practice; 14 (b) other property received or receivable for another person by the 15 practice in providing legal services; 16 (c) interest, dividends or other income or anything else derived from 17 or acquired with money or property mentioned in paragraph (a) 18 or (b); 19 (d) documents or records of any description relating to anything 20 mentioned in paragraph (a), (b) or (c); 21 (e) any means by which any records that are mentioned in 22 paragraph (d) and not written may be reproduced in writing. 23 316 Application of ch 4 24 (1) This chapter does not apply to the holder of a current local practising 25 certificate granted or renewed by the bar association. 26 (2) A regulation may provide whether or not, and if so to what extent, 27 this part applies to an interstate legal practitioner. 28 (3) Also this chapter applies, with any necessary changes, to an 29 Australian-registered foreign lawyer in the same way as it applies to a law 30 practice. 31

s 317 206 s 318 Legal Profession Bill 2004 317 Application of chapter to other persons 1 This chapter applies, with any necessary changes, to each of the 2 following in the same way as it applies to a law practice-- 3 (a) a former law practice or former Australian legal practitioner; 4 (b) the executor, original or by representation, or administrator for 5 the time being relating to a deceased Australian legal practitioner 6 or of his or her estate; 7 (c) the administrator, receiver or receiver and manager, of the 8 property of an incorporated legal practice; 9 (d) the liquidator of an incorporated legal practice that is being or 10 has been wound up. 11 PART 2--STARTING EXTERNAL INTERVENTIONS 12 318 Circumstances warranting external intervention 13 External intervention in relation to a law practice may take place in any 14 of the following circumstances-- 15 (a) if a legal practitioner associate involved in the practice has died, 16 ceases to be an Australian legal practitioner, has become an 17 insolvent under administration or is in prison; 18 (b) if the partnership that constitutes a law firm has been wound up 19 or dissolved; 20 (c) if an incorporated legal practice-- 21 (i) ceases to be an incorporated legal practice; or 22 (ii) is being or has been wound up; or 23 (iii) has been deregistered or dissolved; 24 (d) if the law society believes that the practice-- 25 (i) is not dealing adequately with trust money or is not properly 26 attending to the affairs of the practice; or 27

s 319 207 s 319 Legal Profession Bill 2004 (ii) has committed a serious irregularity, or a serious irregularity 1 has happened, in relation to trust money or the affairs of the 2 practice; or 3 (iii) has failed properly to account in a timely way to any person 4 for trust money received by the practice for that person; or 5 (iv) has failed properly to make a payment of trust money when 6 required to do so by a person entitled to that money or 7 entitled to give a direction for payment; or 8 (v) is in breach of a regulation with the result that the 9 record-keeping for the practice's trust account is inadequate; 10 or 11 (vi) has been or is likely to be convicted of an offence relating to 12 trust money; or 13 (vii) is the subject of a complaint relating to trust money received 14 by the practice; or 15 (viii)has failed to comply with any requirement of an 16 investigator, an ILP investigator or an external examiner, 17 under a relevant law; or 18 (ix) has ceased to be engaged in legal practice without making 19 provision for properly dealing with trust money received by 20 the practice or for properly winding up the affairs of the 21 practice; 22 (e) if the law society believes proper cause exists in relation to the 23 practice that warrants external intervention other than a cause 24 mentioned in paragraphs (a) to (d). 25 319 Decision regarding external intervention 26 (1) This section applies if the law society becomes aware that 1 or more 27 of the circumstances mentioned in section 318 exist in relation to a law 28 practice and decides that, having regard to the interests of the clients, 29 owners and employees of the practice and to other matters that it considers 30 appropriate, external intervention is warranted. 31 (2) The law society may-- 32 (a) appoint a supervisor of trust money received by the law practice, 33 if the law society considers-- 34

s 319 208 s 319 Legal Profession Bill 2004 (i) that external intervention is required because of issues 1 relating to the practice's trust accounts; and 2 (ii) that it is not appropriate that the provision of legal services 3 by the practice be wound up and terminated because of 4 those issues; or 5 (b) appoint a manager for the law practice, if the law society 6 considers-- 7 (i) that the practice is or may be a viable business concern; and 8 (ii) that, for this to happen, there is a need for an independent 9 person to be appointed to take over professional and 10 operational responsibility for the practice; or 11 (c) appoint a receiver for the law practice, if the law society 12 considers-- 13 (i) that the appointment is necessary to protect the interests of 14 clients in relation to trust money or trust property; or 15 (ii) that it may be appropriate that the provision of legal services 16 by the practice be wound up and terminated. 17 (3) The law society may make further appointments under subsection (2) 18 in relation to the law practice and for that purpose may revoke a previous 19 appointment with effect from a date or event specified by it. 20 (4) A further appointment may be made under subsection (3) whether or 21 not there has been any change in the circumstances in consequence of 22 which the original appointment was made and whether or not any further 23 circumstances have come into existence in relation to the law practice after 24 the original appointment was made. 25 (5) An appointment of an external intervener for a law practice may be 26 made in relation to the practice generally or may be limited in any way the 27 law society considers appropriate, including, for example, to matters 28 connected with a particular legal practitioner associate, legal office or 29 subject-matter. 30

s 320 209 s 321 Legal Profession Bill 2004 PART 3--SUPERVISORS 1 320 Appointment of supervisor 2 (1) This section applies if the law society decides to appoint a supervisor 3 of trust money received by a law practice. 4 (2) The law society must, in a law society approved form, appoint a 5 person as the supervisor who is-- 6 (a) an Australian legal practitioner; or 7 (b) a person holding accounting qualifications with experience in 8 trust accounts of law practices. 9 (3) The supervisor may, but need not, be an employee of the law society. 10 (4) The instrument of appointment must-- 11 (a) identify the law practice and the supervisor; and 12 (b) indicate that the external intervention is by way of appointment 13 of a supervisor; and 14 (c) specify the term of the appointment; and 15 (d) specify any conditions imposed by the law society at the time of 16 making the appointment; and 17 (e) specify reporting requirements, if any, to be observed by the 18 supervisor. 19 (5) However, before appointing someone as the supervisor of trust 20 money received by a law practice, the law society must enter into an 21 agreement with that person about the following-- 22 (a) the fees payable by way of remuneration to the person for 23 carrying out duties as the supervisor in relation to the external 24 intervention; 25 (b) the legal costs and expenses that may be incurred by the person 26 as the supervisor in relation to the external intervention. 27 321 Notice of appointment 28 After appointing a person as the supervisor of trust money received by a 29 law practice, the law society must give a copy of the notice of appointment 30 of the supervisor to each of the following-- 31

s 322 210 s 322 Legal Profession Bill 2004 (a) the practice; 1 (b) another person authorised to operate a trust account of the 2 practice; 3 (c) any external examiner appointed under a relevant law to examine 4 the practice's trust records; 5 (d) each financial institution with which a trust account of the 6 practice is kept; 7 (e) a person whom the law society believes should be given a copy 8 of the notice. 9 322 Effect of service of notice of appointment 10 (1) After a financial institution is given a copy of the notice of 11 appointment of the supervisor and until the appointment is terminated, the 12 financial institution must ensure that no funds are withdrawn or transferred 13 from a trust account of the practice unless the withdrawal or transfer is 14 made-- 15 (a) by cheque or other instrument drawn on that account signed by 16 the supervisor; or 17 (b) by the supervisor by means of electronic or Internet banking 18 facilities; or 19 (c) under an authority to withdraw or transfer funds from the 20 account signed by the supervisor. 21 (2) After a person, other than the supervisor or a financial institution, is 22 given a copy of the notice of appointment of the supervisor and until the 23 appointment is terminated, the person must not-- 24 (a) deal with any of the practice's trust money; or 25 (b) sign any cheque or other instrument drawn on a trust account of 26 the practice; or 27 (c) authorise the withdrawal or transfer of funds from a trust account 28 of the practice. 29 Maximum penalty--100 penalty units. 30 (3) The supervisor may, for subsection (1)(b), enter into arrangements 31 with a financial institution for withdrawing money from a trust account of 32 the law practice by means of electronic or Internet banking facilities. 33

s 323 211 s 323 Legal Profession Bill 2004 (4) If an amount is withdrawn or transferred in contravention of 1 subsection (1), that amount may be recovered from the financial institution 2 concerned by the supervisor as a debt and, if recovered, must be paid into a 3 trust account of the law practice. 4 323 Role of supervisor 5 (1) The supervisor of trust money received by a law practice has the 6 powers and duties of the practice in relation to the trust money, including 7 powers-- 8 (a) to receive trust money on behalf of the practice; and 9 (b) to open and close trust accounts. 10 (2) For performing the functions of a supervisor, the supervisor may do 11 any or all of the following-- 12 (a) enter and remain on premises used by the law practice in 13 connection with its engaging in legal practice; 14 (b) require the practice or an associate or former associate of the 15 practice, or another person having control of documents relating 16 to trust money received by the practice, to give the supervisor-- 17 (i) access to the documents that the supervisor reasonably 18 requires; and 19 (ii) information relating to the trust money that the supervisor 20 reasonably requires; 21 (c) operate equipment or facilities on the premises, or require a 22 person on the premises to operate equipment or facilities on the 23 premises, for a purpose relevant to the supervisor's appointment; 24 (d) take possession of any relevant material and retain it for as long 25 as may be necessary; 26 (e) secure any relevant material found on the premises against 27 interference, if the material can not be conveniently removed; 28 (f) take possession of any computer equipment or computer program 29 reasonably required for a purpose relevant to the supervisor's 30 appointment. 31 (3) If the supervisor takes anything from the premises, the supervisor 32 must issue a receipt, in a law society approved form, and-- 33

s 324 212 s 325 Legal Profession Bill 2004 (a) if the occupier or a person apparently responsible to the occupier 1 is present at or near the premises--give the receipt to the 2 occupier or person; or 3 (b) otherwise--leave the receipt at the premises in an envelope 4 addressed to the occupier. 5 (4) If the supervisor is refused access to the premises or the premises are 6 unoccupied, the supervisor may use whatever appropriate force is 7 necessary to enter the premises. 8 (5) This section applies to trust money held by the practice before the 9 supervisor is appointed, as well as to trust money received afterwards. 10 (6) The supervisor does not have a role in the management of the affairs 11 of the law practice except in so far as the affairs relate to a trust account of 12 the practice. 13 (7) For this section, the supervisor is declared to be a public official for 14 the Police Powers and Responsibilities Act 2000. 15 16 Note-- 17 The Police Powers and Responsibilities Act 2000, section 14(3) states-- 18 If a public official asks, a police officer may help the public official perform the 19 public official's functions under the authorising law. 324 Records of law practice under supervision 20 (1) The supervisor of trust money received by a law practice must keep 21 records of the supervisor's dealings with the trust money. 22 (2) The records kept under subsection (1) must be kept-- 23 (a) separately from records relating to dealings with trust money 24 before the supervisor's appointment; and 25 (b) separately from the affairs of another law practice in relation to 26 which the supervisor is also a supervisor; and 27 (c) in the way prescribed under a regulation. 28 325 Termination of supervisor's appointment 29 (1) The appointment of a supervisor of trust money received by a law 30 practice terminates in the following circumstances-- 31 (a) the term of the appointment comes to an end; 32

s 326 213 s 326 Legal Profession Bill 2004 (b) the appointment of a manager for the practice takes effect; 1 (c) the appointment of a receiver for the practice takes effect; 2 (d) the supervisor has distributed all trust money received by the 3 practice and wound up all trust accounts; 4 (e) a termination of the appointment by the law society takes effect. 5 (2) The law society may, by written notice to the supervisor, terminate 6 the supervisor's appointment on or after a day stated in the notice. 7 (3) The law society must give a copy of the notice under subsection (2) 8 to the persons originally given a copy of the notice of appointment. 9 PART 4--MANAGERS 10 326 Appointment of manager 11 (1) This section applies if the law society decides to appoint a manager 12 for a law practice. 13 (2) The law society must, in a law society approved form, appoint a 14 person as the manager who is an Australian legal practitioner holding an 15 unrestricted practising certificate. 16 (3) The manager may, but need not, be an employee of the law society. 17 (4) The instrument of appointment must-- 18 (a) identify the law practice and the manager; and 19 (b) indicate that the external intervention is by way of appointment 20 of a manager for the law practice; and 21 (c) specify the term of the appointment; and 22 (d) specify any conditions imposed by the law society when the 23 appointment is made; and 24 (e) specify reporting requirements, if any, to be observed by the 25 manager. 26 (5) However, before appointing someone as the manager of a law 27 practice, the law society must enter into an agreement with that person 28 about the following-- 29

s 327 214 s 328 Legal Profession Bill 2004 (a) the fees payable by way of remuneration to the person for 1 carrying out duties as the manager for the external intervention; 2 (b) the legal costs and expenses that may be incurred by the person 3 as the manager for the external intervention. 4 327 Notice of appointment 5 After appointing a person as the manager for a law practice, the law 6 society must give a copy of the notice of appointment of the manager to 7 each of the following-- 8 (a) the practice; 9 (b) another person authorised to operate any trust account of the 10 practice; 11 (c) any external examiner appointed by the practice under a relevant 12 law to examine the practice's trust records; 13 (d) each financial institution with which any trust account of the 14 practice is kept; 15 (e) another person whom the law society believes should be given a 16 copy of the notice. 17 328 Effect of service of notice of appointment 18 (1) After a law practice is given a notice of appointment of the manager 19 for the practice and until the appointment is terminated, a legal practitioner 20 associate of the practice who is specified or mentioned in the notice must 21 not participate in the affairs of the practice except under the direct 22 supervision of the manager. 23 Maximum penalty--100 penalty units. 24 (2) After a financial institution is given a notice of appointment of the 25 manager for the law practice and until the appointment is terminated, the 26 financial institution must ensure that no funds are withdrawn or transferred 27 from a trust account of the practice unless the withdrawal or transfer is 28 made-- 29 (a) by cheque or other instrument drawn on that account signed by 30 the manager, or by a receiver appointed for the practice; or 31 (b) by the manager, or by a receiver appointed for the practice, by 32 means of electronic or Internet banking facilities; or 33

s 329 215 s 329 Legal Profession Bill 2004 (c) under an authority to withdraw or transfer funds from the 1 account signed by the manager, or by a receiver appointed for the 2 practice. 3 (3) After a person is given a notice of appointment of the manager for the 4 law practice and until the appointment is terminated, the person must not-- 5 (a) deal with any of the practice's trust money; or 6 (b) sign any cheque or other instrument drawn on a trust account of 7 the practice; or 8 (c) authorise the withdrawal or transfer of funds from a trust account 9 of the practice. 10 Maximum penalty--100 penalty units. 11 (4) Subsection (3) does not apply to a legal practitioner associate 12 mentioned in subsection (1), a financial institution or the manager or 13 receiver for the practice. 14 (5) The manager may, for subsection (2)(b), enter into arrangements with 15 a financial institution for withdrawing money from a trust account of the 16 law practice by means of electronic or Internet banking facilities. 17 (6) If an amount is withdrawn or transferred in contravention of 18 subsection (2), that amount may be recovered from the financial institution 19 concerned by the manager, or a receiver for the law practice, as a debt and, 20 if recovered, must be paid into a trust account of the law practice. 21 329 Role of manager 22 (1) The manager for a law practice may carry on the practice and may do 23 all things that the practice, or a legal practitioner associate of the practice, 24 might lawfully have done, including but not limited to the following-- 25 (a) transacting any urgent business of the practice; 26 (b) transacting, with the approval of any or all of the existing clients 27 of the practice, any business on their behalf, including-- 28 (i) starting, continuing, defending or settling any proceeding; 29 and 30 (ii) receiving, retaining and disposing of property; 31 (c) accepting instructions from new clients and transacting any 32 business on their behalf, including-- 33

s 329 216 s 329 Legal Profession Bill 2004 (i) starting, continuing, defending or settling any proceeding; 1 and 2 (ii) receiving, retaining and disposing of regulated property of 3 the law practice; 4 (d) charging and recovering legal costs, including legal costs for 5 work in progress at the time of the appointment of the manager; 6 (e) entering into, executing or performing any agreement; 7 (f) dealing with trust money under this Act; 8 (g) winding up the affairs of the practice. 9 (2) For performing the functions of the manager for the law practice, the 10 manager may do any or all of the following-- 11 (a) enter and remain on premises used by the law practice in 12 connection with its engaging in legal practice; 13 (b) require the practice or an associate or former associate of the 14 practice, or another person having control of client files and 15 associated documents, including documents relating to trust 16 money received by the practice, to give the manager-- 17 (i) access to the documents that the manager reasonably 18 requires; and 19 (ii) information relating to client matters that the manager 20 reasonably requires; 21 (c) operate equipment or facilities on the premises, or require a 22 person on the premises to operate equipment or facilities on the 23 premises, for a purpose relevant to the manager's appointment; 24 (d) take possession of any relevant material and retain it for as long 25 as may be necessary; 26 (e) secure any relevant material found on the premises against 27 interference, if the material can not be conveniently removed; 28 (f) take possession of any computer equipment or computer program 29 reasonably required for a purpose relevant to the manager's 30 appointment. 31 (3) If the manager takes something from the premises, the manager must 32 issue a receipt, in a law society approved form, and-- 33

s 330 217 s 331 Legal Profession Bill 2004 (a) if the occupier or a person apparently responsible to the occupier 1 is present at or near the premises--give the receipt to the 2 occupier or person; or 3 (b) otherwise--leave the receipt at the premises in an envelope 4 addressed to the occupier. 5 (4) If the manager is refused access to the premises or the premises are 6 unoccupied, the manager may use whatever appropriate force is necessary 7 to enter the premises. 8 (5) For this section, the manager is declared to be a public official for the 9 Police Powers and Responsibilities Act 2000. 10 330 Records and accounts of law practice under management 11 (1) The manager for a law practice must keep records and accounts 12 relating to the management of the practice. 13 (2) The records must be kept-- 14 (a) separately from the management of the affairs of the law practice 15 before the manager's appointment; and 16 (b) separately from the affairs of another law practice that the 17 manager is managing; and 18 (c) in the way prescribed under a regulation. 19 331 Deceased estates 20 (1) It is the duty of the manager for a law practice to cooperate with the 21 legal personal representative relating to a deceased legal practitioner 22 associate of the practice for the orderly winding up of the estate. 23 (2) The manager is not, in the performance of functions or the exercise 24 of powers as manager, a legal personal representative of the deceased legal 25 practitioner associate, but nothing in this subsection prevents the manager 26 from performing functions or exercising powers as a legal personal 27 representative if otherwise appointed as representative. 28 (3) Subject to subsections (1) and (2) and to the terms of the manager's 29 appointment, if the manager was appointed before the death of the legal 30 practitioner associate, the manager's appointment, functions and powers 31 are not affected by the death. 32

s 332 218 s 333 Legal Profession Bill 2004 332 Termination of manager's appointment 1 (1) The appointment of a manager for a law practice terminates in the 2 following circumstances-- 3 (a) the term of the appointment comes to an end; 4 (b) the appointment of a receiver for the practice takes effect, if the 5 terms of the receiver's appointment indicate that the receiver is 6 authorised to exercise the functions and powers of a manager; 7 (c) the manager has wound up the affairs of the practice; 8 (d) a termination of the appointment by the law society takes effect. 9 (2) The law society may, by written notice to the manager, terminate the 10 manager's appointment on or after a day stated in the notice. 11 (3) In the circumstances mentioned in subsection (1)(a), (b) and (d), the 12 former manager must, after the termination, transfer and deliver the 13 regulated property and client files of the law practice to-- 14 (a) if there is another external intervener for the law practice--the 15 other external intervener; or 16 (b) otherwise--the practice. 17 (4) However, the former manager need not transfer the regulated 18 property and client files of the law practice under subsection (3) unless the 19 manager's expenses for the external intervention have been paid by the law 20 society. 21 (5) The law society must give a copy of the notice under subsection (2) 22 to the persons originally given a copy of the notice of appointment. 23 PART 5--RECEIVERS 24 333 Appointment of receiver 25 (1) This section applies if the law society decides to appoint a receiver 26 for a law practice. 27 (2) The law society must, in the law society approved form, appoint a 28 person as receiver who is-- 29 (a) an Australian legal practitioner; or 30

s 334 219 s 334 Legal Profession Bill 2004 (b) a person holding accounting qualifications with experience in the 1 trust accounts of law practices. 2 (3) The receiver may, but need not, be an employee of the law society. 3 (4) The instrument of appointment must-- 4 (a) identify the law practice and the receiver; and 5 (b) indicate that the external intervention is by way of appointment 6 of a receiver; and 7 (c) specify any conditions imposed by the law society when the 8 appointment is made; and 9 (d) specify reporting requirements, if any, to be observed by the 10 receiver. 11 (5) However, before appointing someone as the receiver of a law 12 practice, the law society must enter into an agreement with that person 13 about the following-- 14 (a) the fees payable by way of remuneration to the person for 15 carrying out duties as the receiver for the external intervention; 16 (b) the legal costs and expenses that may be incurred by the person 17 as the receiver for the external intervention. 18 334 Notice of appointment 19 After appointing a receiver for a law practice, the law society must give a 20 copy of the notice of appointment to each of the following-- 21 (a) the practice; 22 (b) any person authorised to operate a trust account of the practice; 23 (c) any external examiner appointed to examine the practice's trust 24 records; 25 (d) each financial institution with which a trust account of the 26 practice is kept; 27 (e) a person whom the law society believes should be given a copy 28 of the notice. 29

s 335 220 s 335 Legal Profession Bill 2004 335 Effect of service of notice of appointment 1 (1) After a law practice is given a copy of the notice of appointment of a 2 receiver for the practice and until the appointment is terminated, a legal 3 practitioner associate of the practice who is specified or mentioned in the 4 notice must not participate in the affairs of the practice. 5 Maximum penalty--100 penalty units. 6 (2) After a financial institution is given a copy of the notice of 7 appointment of the receiver for the law practice and until the appointment 8 is terminated, the financial institution must ensure that no funds are 9 withdrawn or transferred from a trust account of the practice unless the 10 withdrawal or transfer is made-- 11 (a) by cheque or other instrument drawn on that account signed by 12 the receiver, or by a manager appointed for the practice; or 13 (b) by the receiver, or by a manager appointed for the practice, by 14 means of electronic or Internet banking facilities; or 15 (c) under an authority to withdraw or transfer funds from the 16 account signed by the receiver, or by a manager appointed for the 17 practice. 18 (3) After a person is given a copy of the notice of appointment of the 19 receiver for the law practice, other than a financial institution or a receiver 20 or manager for the practice, and until the appointment is terminated, the 21 person must not-- 22 (a) deal with any of the practice's trust money; or 23 (b) sign any cheque or other instrument drawn on a trust account of 24 the practice; or 25 (c) authorise the withdrawal or transfer of funds from a trust account 26 of the practice. 27 Maximum penalty--100 penalty units. 28 (4) The receiver may, for subsection (2)(b), enter into arrangements with 29 a financial institution for withdrawing money from a trust account of the 30 law practice by means of electronic or Internet banking facilities. 31 (5) If an amount is withdrawn or transferred in contravention of 32 subsection (2), that amount may be recovered from the financial institution 33 concerned by the receiver, or a manager for the practice, as a debt and, if 34 recovered, is to be paid into a trust account of the law practice. 35

s 336 221 s 337 Legal Profession Bill 2004 336 Role of receiver 1 (1) The role of a receiver for a law practice is-- 2 (a) to be the receiver of regulated property of the law practice; and 3 (b) to wind up and terminate the affairs of the practice. 4 (2) For the purpose of winding up the affairs of the law practice and in 5 the interests of the practice's clients, the law society may, in a law society 6 approved form, authorise-- 7 (a) the receiver to carry on the legal practice engaged in by the law 8 practice, if the receiver is an Australian legal practitioner who 9 holds an unrestricted practising certificate; or 10 (b) authorise an Australian legal practitioner who holds an 11 unrestricted practising certificate, or a law practice whose 12 principals are or include 1 or more Australian legal practitioners 13 who hold unrestricted practising certificates, specified in the 14 approved form, to carry on the legal practice on behalf of the 15 receiver. 16 (3) Subject to a direction given by the law society and stated in the 17 approved form, the person authorised to carry on a legal practice has all the 18 powers of a manager under this chapter and is taken to have been appointed 19 as the manager for the law practice. 20 (4) The law society may, by written notice to the receiver, terminate an 21 authorisation to carry on a legal practice granted under this section. 22 337 Records and accounts of law practice under receivership 23 (1) The receiver for a law practice must keep records and accounts 24 relating to the management of the practice. 25 (2) The records must be kept-- 26 (a) separately from the management of the affairs of the practice 27 before the appointment of the receiver; and 28 (b) separately from the affairs of another law practice that the 29 receiver is managing; and 30 (c) in a way prescribed under a regulation. 31

s 338 222 s 339 Legal Profession Bill 2004 338 Power of receiver to take possession of regulated property 1 (1) The receiver for a law practice may take possession of regulated 2 property of the law practice. 3 (2) A person in possession or having control of regulated property of the 4 law practice must permit the receiver to take possession of the regulated 5 property if required by the receiver to do so. 6 (3) If a person contravenes subsection (2), the Supreme Court may, on 7 application by the receiver, order the person to deliver the regulated 8 property to the receiver. 9 (4) If, on application made by the receiver, the Supreme Court is satisfied 10 that an order made under subsection (3) has not been complied with, the 11 court may order the seizure of any regulated property of the law practice 12 that is located on the premises specified in the order and make any further 13 orders it considers appropriate. 14 (5) An order under subsection (4) operates to authorise the receiver, or a 15 person authorised by the receiver, to enter the premises specified in the 16 order and search for, seize and remove anything that appears to be 17 regulated property of the law practice. 18 (6) The receiver must return anything seized under this section if it 19 transpires that it is not regulated property of the law practice. 20 (7) For an order under subsection (4), the receiver and a person 21 authorised by the receiver are declared to be a public officials for the Police 22 Powers and Responsibilities Act 2000. 23 339 Power of receiver to take delivery of regulated property 24 (1) If the receiver for a law practice believes that another person is under 25 an obligation, or will later be under an obligation, to deliver regulated 26 property of the law practice to the practice, the receiver may, by written 27 notice, require that other person to deliver the property to the receiver. 28 (2) If a person has notice that a receiver has been appointed for a law 29 practice and the person is under an obligation to deliver regulated property 30 of the law practice to the practice, the person must deliver the property to 31 the receiver. 32 Maximum penalty--100 penalty units. 33

s 340 223 s 342 Legal Profession Bill 2004 (3) A document signed by the receiver acknowledging the receipt of 1 regulated property of the law practice delivered to the receiver is as valid 2 and effectual as if it had been given by the law practice. 3 340 Power of receiver to deal with regulated property 4 (1) This section applies if the receiver for a law practice acquires or takes 5 possession of regulated property of the law practice. 6 (2) The receiver may deal with the regulated property in a way in which 7 the law practice might lawfully have dealt with the property. 8 341 Power of receiver to require documents or information 9 (1) The receiver for a law practice may require a person who is an 10 associate or former associate of the practice, or a person having control of 11 documents relating to the practice, to give the receiver either or both of the 12 following-- 13 (a) access to documents that the receiver reasonably requires; 14 (b) information that the receiver reasonably requires. 15 (2) A person who is subject to a requirement under subsection (1) must 16 comply with the requirement unless the person has a reasonable excuse. 17 Maximum penalty--100 penalty units. 18 (3) When making the requirement, the receiver must warn the person it 19 is an offence to fail to give the information unless the person has a 20 reasonable excuse. 21 (4) It is, for example, a reasonable excuse for an individual to fail to 22 comply with the requirement if complying with the requirement would 23 tend to incriminate the person. 24 342 Examinations 25 (1) The Supreme Court may, on application of the receiver for a law 26 practice or on its own initiative, make an order directing that an associate or 27 former associate of the practice, or another person, appear before the court 28 for examination on oath or affirmation in relation to the regulated property 29 of the law practice. 30

s 343 224 s 343 Legal Profession Bill 2004 (2) On an examination of a person under this section, the person must 1 answer all questions that the court allows to be put to the person. 2 Maximum penalty--200 penalty units. 3 (3) An individual is not excused from answering a question on the 4 ground that the answer might tend to incriminate the person. 5 (4) However if, before answering the question, the individual objects on 6 the ground that answering may tend to incriminate the individual and that 7 ground is established, the answer is not admissible in evidence, and 8 derivative evidence is not admissible, against the individual in any 9 proceeding for an offence, other than-- 10 (a) an offence against a relevant law; or 11 (b) a proceeding for perjury. 12 (5) In this section-- 13 "derivative evidence" means any information, document or other evidence 14 obtained as a direct or indirect result of the evidence given by an 15 individual mentioned in subsection (4). 16 "proceeding for perjury" means a criminal proceeding in which the false 17 or misleading nature of the evidence is in question. 18 343 Lien for costs on regulated property of the law practice 19 (1) This section applies if-- 20 (a) a receiver has been appointed for a law practice; and 21 (b) a legal practitioner associate of the practice claims a lien for costs 22 on the regulated property of the law practice. 23 (2) The receiver may serve on the legal practitioner associate a written 24 notice requiring the associate to give the receiver within a stated period of 25 not less than 1 month-- 26 (a) particulars sufficient to identify the regulated property; and 27 (b) a detailed bill of costs. 28 (3) If the legal practitioner associate requests the receiver in writing to 29 give access to the regulated property that is reasonably necessary to enable 30 the associate to prepare a bill of costs in compliance with subsection (2), 31 the time allowed does not start until the access is given. 32

s 344 225 s 345 Legal Profession Bill 2004 (4) If a requirement of a notice under this section is not complied with, 1 the receiver may, in dealing with the regulated property claimed to be 2 subject to the lien, disregard the claim. 3 344 Regulated property of a law practice is not to be attached 4 Regulated property of a law practice for which a receiver has been 5 appointed, including regulated property held by the receiver, is not liable to 6 be taken, levied on or attached under any judgment, order or process of any 7 court or another process. 8 345 Recovery of regulated property where there has been a breach of 9 trust etc. 10 (1) This section applies if regulated property of the law practice, 11 including regulated property under its control, has, before or after the 12 appointment of a receiver for the practice, been taken by, paid or 13 transferred to a person (the "transferee") in breach of trust, improperly or 14 unlawfully and the transferee-- 15 (a) knew or believed at the time of the taking, payment or transfer 16 that it was done in breach of trust, improperly or unlawfully; or 17 (b) did not provide to the practice or another person any or adequate 18 consideration for the taking, payment or transfer; or 19 (c) because of the taking, payment or transfer, became indebted or 20 otherwise liable to the practice or to a client of the practice in the 21 amount of the taking, payment or transfer or in another amount. 22 (2) The receiver is entitled to recover from the transferee-- 23 (a) if subsection (1)(a) applies--the amount of the payment or the 24 value of the regulated property taken or transferred; or 25 (b) if subsection (1)(b) applies--the amount of the inadequacy of the 26 consideration or, if there was no consideration, the amount of the 27 payment or the value of the regulated property taken or 28 transferred; or 29 (c) if subsection (1)(c) applies--the amount of the debt or liability. 30 (3) If the receiver recovers an amount mentioned in subsection (2) from 31 the transferee, the transferee stops being liable for the amount to another 32 person. 33

s 345 226 s 345 Legal Profession Bill 2004 (4) If any money of or under the control of a law practice has, before or 1 after the appointment of a receiver for the practice, been paid in breach of 2 trust, improperly or unlawfully to a person (the "prospective plaintiff") in 3 relation to a cause of action that the prospective plaintiff had, or claimed to 4 have, against a third party-- 5 (a) the receiver may prosecute the cause of action against the third 6 party in the name of the prospective plaintiff; or 7 (b) if the prospective plaintiff did not have, at the time the payment 8 was made, a cause of action against the third party, the receiver 9 may recover the amount of that money from the prospective 10 plaintiff. 11 (5) If any regulated property of or under the control of a law practice has, 12 before or after the appointment of a receiver for the practice, been used in 13 breach of trust, improperly or unlawfully so as to discharge a debt or 14 liability of a person (the "debtor"), the receiver may recover from the 15 debtor the amount of the debt or liability so discharged less any 16 consideration provided by the debtor for the discharge. 17 (6) A person authorised by the law society to do so may give a certificate 18 in relation to all or any of the following-- 19 (a) the receipt of regulated property by the law practice concerned 20 from any person, the nature and value of the property, the date of 21 receipt and the identity of the person from whom it was received; 22 (b) the taking, payment or transfer of regulated property, the nature 23 and value of the property, the date of the taking, payment or 24 transfer and the identity of the person by whom it was taken or to 25 whom it was paid or transferred; 26 (c) the entries made in the trust account and in other ledgers, books 27 of account, vouchers or records of the practice and the truth or 28 falsity of those entries; 29 (d) the money and securities held by the practice at the specified 30 time. 31 (7) If the receiver brings a proceeding under subsection (2), (4) or (5), a 32 certificate given under subsection (6) is evidence and, in the absence of 33 evidence to the contrary, is proof of the facts specified in it. 34

s 346 227 s 348 Legal Profession Bill 2004 346 Improperly destroying property etc. 1 (1) Unless a person has a reasonable excuse for doing so, the person 2 must not conceal regulated property of a law practice-- 3 (a) for which a receiver has been appointed; or 4 (b) in relation to which the person ought reasonably to have known 5 that a receiver would be appointed. 6 Maximum penalty--200 penalty units. 7 (2) In this section-- 8 "conceal regulated property" includes the following-- 9 (a) destroy regulated property; 10 (b) remove regulated property from 1 place to another; 11 (c) deliver regulated property into the possession, or place regulated 12 property under the control, of someone else other than the 13 receiver. 14 347 Deceased estates 15 (1) It is the duty of the receiver for a law practice to cooperate with the 16 legal personal representative relating to a deceased legal practitioner 17 associate of the practice for the orderly winding up of the estate. 18 (2) The receiver is not, in the performance of functions or exercise of 19 powers as receiver, a legal personal representative of the deceased legal 20 practitioner associate, but nothing in this subsection prevents the receiver 21 from performing functions or exercising powers as a legal personal 22 representative if otherwise appointed as representative. 23 (3) Subject to subsections (1) and (2) and to the terms of the receiver's 24 appointment, if the receiver was appointed before the death of the legal 25 practitioner associate, the receiver's appointment, functions and powers are 26 not affected by the death. 27 348 Termination of receiver's appointment 28 (1) The appointment of a receiver for a law practice terminates in the 29 following circumstances-- 30 (a) the term of the appointment, if any, comes to an end; 31

s 349 228 s 349 Legal Profession Bill 2004 (b) a termination of the appointment by the law society takes effect. 1 (2) The law society may, by written notice, terminate the receiver's 2 appointment on or after a day stated in the notice. 3 (3) After a receiver's appointment terminates, the former receiver must 4 transfer and deliver the regulated property of the law practice to-- 5 (a) another external intervener for the law practice appointed within 6 14 days after the day the termination takes effect; or 7 (b) the practice, if another external intervener is not appointed as 8 mentioned in paragraph (a) and paragraph (c) does not apply; or 9 (c) another person under arrangements approved by the law society, 10 if it is not practicable to transfer and deliver the regulated 11 property to the practice. 12 (4) However, the former receiver need not transfer and deliver regulated 13 property of the law practice under subsection (3) unless the receiver's 14 expenses for the external intervention have been paid by the law society. 15 (5) The law society must give a copy of the notice under subsection (2) 16 to all persons originally given a copy of the notice of appointment. 17 PART 6--GENERAL 18 349 Conditions on appointment of external intervener for a law 19 practice 20 (1) The appointment of an external intervener for a law practice is 21 subject to-- 22 (a) conditions imposed by the law society at the time of appointment 23 as mentioned in sections 320, 326 and 333,105 including an 24 amendment of a condition during the appointment; and 25 (b) new conditions imposed by the law society during the 26 appointment; and 27 (c) conditions imposed under a regulation. 28 105 Section 320 (Appointment of supervisor), 326 (Appointment of manager) and 333 (Appointment of receiver)

s 350 229 s 352 Legal Profession Bill 2004 (2) In relation to the appointment of an external intervener for a law 1 practice, the law society may do any of the following-- 2 (a) impose new conditions during the term of the appointment; 3 (b) revoke or vary a condition mentioned in subsection (1)(a) or 4 imposed under subsection (1)(b). 5 (3) This section is not limited by a power to appoint a person as an 6 external intervener for a law practice under another division. 7 (4) If there is any inconsistency in relation to a condition imposed at any 8 time by the law society and a condition imposed under a regulation, the 9 condition imposed under a regulation prevails to the extent of the 10 inconsistency. 11 350 Status of acts of external intervener for a law practice 12 (1) An act done or omitted to be done by an external intervener for a law 13 practice is, for the purposes of any proceeding, or any transaction that relies 14 on that act or omission, taken to have been done or omitted to be done by 15 the practice. 16 (2) Nothing in this section subjects the law practice or an associate of the 17 law practice to any personal liability. 18 351 Eligibility for reappointment or authorisation 19 A person who has been appointed as an external intervener for a law 20 practice is eligible for re-appointment as an external intervener for the 21 practice, whether the later appointment is made as the same type of 22 external intervener for the law practice or another type. 23 352 Appeal against appointment 24 (1) The following persons may appeal to the Supreme Court against the 25 appointment of an external intervener for a law practice-- 26 (a) the practice; 27 (b) an associate of the practice; 28 (c) any person authorised to operate a trust account of the practice; 29 (d) another person whose interests may be adversely affected by the 30 appointment. 31

s 353 230 s 355 Legal Profession Bill 2004 (2) The appeal is to be started as follows-- 1 (a) if a copy of the notice of appointment is not required to be given 2 to the person who proposes to appeal--within 7 days after a copy 3 of the notice of appointment is given to the law practice; 4 (b) otherwise--within 7 days after a copy of the notice of 5 appointment is given to the person who proposes to appeal. 6 353 Directions of Supreme Court 7 On application by any of the following, the Supreme Court may give 8 directions about the functions and powers of an external intervener for a 9 law practice or a matter affecting an external intervention-- 10 (a) an external intervener for the law practice; 11 (b) a principal of the law practice; 12 (c) the law society; 13 (d) another person affected by the external intervention. 14 354 Requirement for financial institution to disclose and permit access 15 to accounts 16 (1) An external intervener for a law practice may require a financial 17 institution at which the practice has or had an account to do either or both 18 of the following-- 19 (a) disclose each account of the law practice that the intervener 20 believes may be relevant to the practice's affairs; 21 (b) permit copies to be made or extracts taken from the account. 22 (2) Subsection (1) applies despite any rule of law to the contrary. 23 355 Fees, legal costs and expenses 24 (1) An external intervener for a law practice is entitled to be paid all of 25 the following under an agreement entered into with the law society about 26 the external intervention-- 27 (a) fees by way of remuneration; 28 (b) the legal costs and expenses incurred in relation to the external 29 intervention. 30

s 356 231 s 357 Legal Profession Bill 2004 (2) An account of the external intervener for fees, costs and expenses 1 may, on application of the law society, be taxed or assessed. 2 (3) The fees and costs are payable by and recoverable from the law 3 practice. 4 (4) Fees and costs not paid to the external intervener by the law practice 5 are payable from the fidelity fund to the extent that the external 6 intervention related to a default for which the fidelity fund was, or may be, 7 liable. 8 (5) The law society may recover any unpaid fees and costs from the law 9 practice. 10 (6) An amount of fees and costs paid by or recovered from the law 11 practice after they have been paid from the fidelity fund is to be paid to the 12 fidelity fund. 13 356 Reports by external intervener for law practice 14 (1) An external intervener for a law practice must give written reports 15 under any reporting requirements to be observed by the external intervener 16 under the conditions applying to the appointment. 17 (2) If the appointment is not subject to specific reporting requirements, 18 the external intervener must give written reports to the law society as 19 follows-- 20 (a) when required at any time by the law society; 21 (b) at the termination of the appointment. 22 (3) Also, the external intervener must keep the law society informed of 23 the progress of the external intervention, including by reporting to the law 24 society about significant events happening, or a significant state of affairs 25 existing, in connection with the intervention or other matters relating to the 26 intervention. 27 (4) Nothing in this section affects another reporting obligation that may 28 exist in relation to the law practice concerned. 29 (5) A regulation may prescribe matters to be included in a report. 30 357 Confidentiality for external intervener for law practice 31 (1) A person who is or was an external intervener for a law practice, or a 32 person who helped the external intervener in the intervention, must not 33

s 357 232 s 357 Legal Profession Bill 2004 disclose information obtained as a result of the appointment or external 1 intervention except so far as is necessary for exercising the functions or 2 powers of a person who is or was an external intervener for the law 3 practice. 4 (2) However, the person may disclose information to any of the 5 following-- 6 (a) a court, tribunal or other person acting judicially; 7 (b) the law society or a regulatory authority of another jurisdiction; 8 (c) the commissioner; 9 (d) an officer of, or an Australian legal practitioner instructed by, any 10 of the following in relation to a proceeding, inquiry or other 11 matter pending or contemplated arising out of the external 12 intervention-- 13 (i) the law society or another regulatory authority of another 14 jurisdiction; 15 (ii) the Commonwealth or a State; 16 (iii) an authority of the Commonwealth or a State; 17 (e) a member of the police service or police force of any jurisdiction 18 if, at the time of the disclosure, the person believes that the 19 information relates to an offence that may have been committed 20 by the law practice concerned or by an associate of the law 21 practice; 22 (f) the law practice concerned or a principal of the law practice or, if 23 the practice is an incorporated legal practice, a shareholder in the 24 practice; 25 (g) a client or former client of the law practice concerned if the 26 information relates to the client or former client; 27 (h) another external intervener for the law practice, or an Australian 28 legal practitioner or accountant employed by that other 29 intervener; 30 (i) an external examiner appointed under a relevant law and 31 exercising powers in relation to the trust records of the law 32 practice concerned. 33

s 358 233 s 359 Legal Profession Bill 2004 CHAPTER 5--PRACTICE OF FOREIGN LAW BY 1 FOREIGN LAWYERS 2 PART 1--PRELIMINARY 3 358 Main purpose of ch 5 4 The main purpose of this chapter is to encourage and facilitate the 5 internationalisation of legal services and the legal services sector by 6 providing a framework for regulation of the practice of foreign law in this 7 jurisdiction by foreign lawyers as a recognised aspect of legal practice in 8 this jurisdiction. 9 359 Definitions for ch 5 10 In this chapter-- 11 "Australia" includes the external Territories. 12 "Australian law" means law of the Commonwealth or of a jurisdiction. 13 "commercial legal presence" means an interest in a law practice 14 practising foreign law. 15 "foreign law practice" means a partnership or corporate entity that is 16 entitled to engage in legal practice in a foreign country. 17 "foreign registration authority" means an entity in a foreign country 18 having the function, conferred by the law of the foreign country, of 19 registering persons to engage in legal practice in the foreign country. 20 "local registration certificate" means a registration certificate given or 21 issued under this chapter. 22 "overseas-registered foreign lawyer" means an individual who is 23 properly registered to engage in legal practice in a foreign country by 24 the foreign registration authority for the country. 25 "practise foreign law" means doing work, or transacting business, in this 26 jurisdiction concerning foreign law, being work or business of a kind 27 that, if it concerned the law of this jurisdiction, would ordinarily be 28 done or transacted by an Australian legal practitioner. 29 "registered", when used in connection with a foreign country, means 30 having all necessary licences, approvals, admissions, certificates or 31

s 360 234 s 361 Legal Profession Bill 2004 other forms of authorisation (including practising certificates) 1 required under legislation for engaging in legal practice in that 2 country. 3 360 Chapter does not apply to Australian legal practitioners 4 (1) This chapter does not apply to an Australian legal practitioner, 5 including an Australian legal practitioner who is also an 6 overseas-registered foreign lawyer. 7 (2) Accordingly, nothing in this chapter requires or enables an Australian 8 legal practitioner, including an Australian legal practitioner who is also a 9 government legal officer or an overseas-registered foreign lawyer, to be 10 registered as a foreign lawyer under this Act in order to practise foreign law 11 in this jurisdiction. 12 (3) Although this chapter does not apply to a government legal officer 13 engaged in government work, who is not an Australian legal practitioner, it 14 does not prevent a government legal officer engaged in government work 15 from registering under this chapter. 16 PART 2--PRACTICE OF FOREIGN LAW 17 361 Requirement for registration 18 (1) A person must not practise foreign law in this jurisdiction unless the 19 person is-- 20 (a) an Australian-registered foreign lawyer; or 21 (b) an Australian legal practitioner. 22 Maximum penalty--200 penalty units. 23 (2) However, a person does not contravene subsection (1) if the person is 24 a foreign lawyer-- 25 (a) who-- 26 (i) practises foreign law in this jurisdiction for 1 or more 27 continuous periods that is or are not more than 1 year; or 28

s 362 235 s 363 Legal Profession Bill 2004 (ii) is subject to a restriction imposed under the Migration 1 Act 1958 (Cwlth) that has the effect of limiting the period 2 during which work may be done, or business transacted, in 3 Australia by the person; and 4 (b) who-- 5 (i) does not maintain an office for the purpose of practising 6 foreign law in this jurisdiction; or 7 (ii) does not have a commercial legal presence in this 8 jurisdiction. 9 362 Entitlement of Australian-registered foreign lawyer to practise in 10 this jurisdiction 11 An Australian-registered foreign lawyer is, subject to this Act, entitled to 12 practise foreign law in this jurisdiction. 13 363 Scope of practice 14 (1) An Australian-registered foreign lawyer may provide only the 15 following legal services in this jurisdiction-- 16 (a) doing work, or transacting business, concerning the law of a 17 foreign country if the lawyer is registered by the foreign 18 registration authority for the country; 19 (b) legal services, including appearances, in relation to an arbitration 20 proceeding of a kind prescribed under a regulation; 21 (c) legal services, including appearances, in relation to a proceeding 22 before a body other than a court, being a proceeding in which the 23 body concerned is not required to apply the rules of evidence and 24 in which knowledge of the foreign law of a country mentioned in 25 paragraph (a) is essential; 26 (d) legal services for conciliation, mediation and other forms of 27 consensual dispute resolution of a kind prescribed under a 28 regulation. 29 (2) Nothing in this chapter authorises an Australian-registered foreign 30 lawyer to appear in any court, except on the lawyer's own behalf, or to 31 practise Australian law in this jurisdiction. 32

s 364 236 s 365 Legal Profession Bill 2004 (3) Despite subsection (2), an Australian-registered foreign lawyer may 1 advise on the effect of an Australian law if-- 2 (a) the giving of advice on Australian law is necessarily incidental to 3 the practice of foreign law; and 4 (b) the advice is expressly based on advice given on the Australian 5 law by an Australian legal practitioner who is not an employee of 6 the foreign lawyer. 7 364 Form of practice 8 (1) An Australian-registered foreign lawyer may, subject to any 9 conditions attaching to the foreign lawyer's registration, practise foreign 10 law-- 11 (a) on the foreign lawyer's own account; or 12 (b) in partnership with 1 or more Australian-registered foreign 13 lawyers or 1 or more Australian legal practitioners, or both, in 14 circumstances where, if the Australian-registered foreign lawyer 15 were an Australian legal practitioner, the partnership would be 16 permitted under a law of this jurisdiction; or 17 (c) as a director or employee of an incorporated legal practice or a 18 member or employee of a multi-disciplinary partnership that is 19 permitted by a law of this jurisdiction; or 20 (d) as an employee of an Australian legal practitioner or law firm in 21 circumstances where, if the Australian-registered foreign lawyer 22 were an Australian legal practitioner, the employment would be 23 permitted under a law of this jurisdiction; or 24 (e) as an employee of an Australian-registered foreign lawyer. 25 (2) An affiliation mentioned in subsection (1)(b) to (e) does not entitle 26 the Australian-registered foreign lawyer to practise Australian law in this 27 jurisdiction. 28 365 Application of Australian professional ethical and practice 29 standards 30 (1) An Australian-registered foreign lawyer must not engage in any 31 conduct in practising foreign law that would, if the conduct were engaged 32 in by an Australian legal practitioner in practising Australian law in this 33

s 366 237 s 366 Legal Profession Bill 2004 jurisdiction, constitute professional misconduct or unsatisfactory 1 professional conduct. 2 (2) Chapter 3106 applies to a person who-- 3 (a) is an Australian-registered foreign lawyer; or 4 (b) was an Australian-registered foreign lawyer when the relevant 5 conduct allegedly happened, but is no longer an 6 Australian-registered foreign lawyer (in which case chapter 3 7 applies as if the person were an Australian-registered foreign 8 lawyer); 9 and so applies as if references in chapter 3 to an Australian legal 10 practitioner were references to a person of that kind. 11 (3) A regulation may make provision in relation to the application, with 12 or without changes, of the provisions of chapter 3 for the purposes of this 13 section. 14 (4) Without limiting the matters that may be taken into account in 15 deciding whether a person should be disciplined for a contravention of 16 subsection (1), the following matters may be taken into account-- 17 (a) whether the conduct of the person was consistent with the 18 standard of professional conduct of the legal profession in any 19 foreign country where the person is registered; 20 (b) whether the person contravened the subsection wilfully or 21 without reasonable excuse. 22 (5) Without limiting another provision of this section or the orders that 23 may be made under chapter 3 as applied by this section, the following 24 orders may be made under that chapter as applied by this section-- 25 (a) an order that a person's registration under this Act as a foreign 26 lawyer be cancelled; 27 (b) an order that a person's registration under a corresponding law as 28 a foreign lawyer be cancelled. 29 366 Designation 30 (1) An Australian-registered foreign lawyer may use only the following 31 designations-- 32 106 Chapter 3 (Complaints, investigation matters and discipline)

s 366 238 s 366 Legal Profession Bill 2004 (a) the lawyer's own name; 1 (b) a title or business name that the lawyer is authorised by law to 2 use in a foreign country where the lawyer is registered by a 3 foreign registration authority; 4 (c) subject to this section, the name of a foreign law practice with 5 which the lawyer is affiliated or associated whether as a partner, 6 director, employee or otherwise; 7 (d) if the lawyer is a principal of any law practice in Australia whose 8 principals include both 1 or more Australian-registered foreign 9 lawyers and 1 or more Australian legal practitioners--a 10 description of the practice that includes reference to both 11 Australian legal practitioners and Australian-registered foreign 12 lawyers. 13 14 Examples for paragraph (d)-- 15 � solicitors and locally-registered foreign lawyers 16 � Australian solicitors and US attorneys. (2) An Australian-registered foreign lawyer who is a principal of a 17 foreign law practice may use the practice's name in or in connection with 18 practising foreign law in this jurisdiction only if-- 19 (a) the lawyer indicates, on the lawyer's letterhead or another 20 document used in this jurisdiction to identify the lawyer as an 21 overseas-registered foreign lawyer, that the foreign law practice 22 practises only foreign law in this jurisdiction; and 23 (b) the lawyer has provided the law society with acceptable evidence 24 that the lawyer is a principal of the foreign law practice. 25 (3) An Australian-registered foreign lawyer who is a principal of a 26 foreign law practice may use the name of the practice as mentioned in this 27 section whether or not other principals of the practice are 28 Australian-registered foreign lawyers. 29 (4) This section does not authorise the use of a name or other designation 30 that contravenes any requirements of the law of this jurisdiction concerning 31 the use of business names or that is likely to lead to any confusion with the 32 name of any established domestic law practice or foreign law practice in 33 this jurisdiction. 34

s 367 239 s 368 Legal Profession Bill 2004 367 Letterhead and other identifying documents 1 (1) An Australian-registered foreign lawyer must indicate, in each public 2 document distributed by the lawyer in connection with the lawyer's 3 practice of foreign law, the fact that the lawyer is an Australian-registered 4 foreign lawyer and is restricted to the practice of foreign law. 5 (2) Subsection (1) is satisfied if the lawyer includes in the public 6 document the words-- 7 (a) `registered foreign lawyer' or `registered foreign practitioner'; 8 and 9 (b) `entitled to practise foreign law only'. 10 (3) An Australian-registered foreign lawyer may, but need not, include 11 any or all of the following on any public document-- 12 (a) an indication of all foreign countries in which the lawyer is 13 registered to engage in legal practice; 14 (b) a description of himself or herself, and any law practice with 15 which the lawyer is affiliated or associated, in any of the ways 16 designated in section 366. 17 (4) In this section-- 18 "public document" includes any business letter, statement of account, 19 invoice, business card, and promotional and advertising material. 20 368 Advertising 21 (1) An Australian-registered foreign lawyer is required to comply with 22 any advertising restrictions imposed by the law society or by law on the 23 practice of law by an Australian legal practitioner that are relevant to the 24 practice of law in this jurisdiction. 25 (2) Without limiting subsection (1), an Australian-registered foreign 26 lawyer must not advertise, or use any description on the lawyer's letterhead 27 or another document used in this jurisdiction to identify the lawyer as a 28 lawyer, in any way that-- 29 (a) might reasonably be regarded as-- 30 (i) false, misleading or deceptive; or 31

s 369 240 s 370 Legal Profession Bill 2004 (ii) suggesting that the Australian-registered foreign lawyer is 1 an Australian legal practitioner; or 2 (b) contravenes a regulation. 3 369 Foreign lawyer employing Australian legal practitioner 4 (1) An Australian-registered foreign lawyer may employ 1 or more 5 Australian legal practitioners. 6 (2) Employment of an Australian legal practitioner does not entitle an 7 Australian-registered foreign lawyer to practise Australian law in this 8 jurisdiction. 9 (3) An Australian legal practitioner employed by an 10 Australian-registered foreign lawyer may practise foreign law. 11 (4) An Australian legal practitioner employed by an 12 Australian-registered foreign lawyer must not do either of the following-- 13 (a) provide advice on Australian law to, or for use by, the 14 Australian-registered foreign lawyer; 15 (b) otherwise practise Australian law in this jurisdiction in the course 16 of that employment. 17 (5) Subsection (4) does not apply to an Australian legal practitioner 18 employed by a law firm, a partner of which is an Australian-registered 19 foreign lawyer, if at least 1 other partner is an Australian legal practitioner. 20 (6) Any period of employment of an Australian legal practitioner by an 21 Australian-registered foreign lawyer can not be used to satisfy a 22 requirement imposed by a condition on a local practising certificate to 23 complete a period of supervised legal practice. 24 370 Trust money and trust accounts 25 (1) Subject to this section, the Trust Accounts Act 1973 and provisions 26 under this Act relating to requirements about trust money and trust 27 accounts apply to Australian-registered foreign lawyers in the same way as 28 they apply to Australian legal practitioners. 29 (2) For subsection (1), a regulation may make provision in relation to the 30 application, with or without changes, of the provisions of the Trust 31 Accounts Act 1973 and this Act relating to trust money and trust accounts. 32

s 371 241 s 374 Legal Profession Bill 2004 (3) In this section-- 1 "money" includes money other than in this jurisdiction. 2 371 Professional indemnity insurance 3 An Australian-registered foreign lawyer who practises foreign law in this 4 jurisdiction must have professional indemnity insurance that conforms with 5 any requirements prescribed under a regulation. 6 372 Fidelity cover 7 A regulation may provide that provisions of chapter 2, part 7107 apply to 8 prescribed classes of Australian-registered foreign lawyers and so apply 9 with any changes specified in the regulation. 10 PART 3--LOCAL REGISTRATION OF FOREIGN 11 LAWYERS GENERALLY 12 373 Local registration of foreign lawyers 13 Overseas-registered foreign lawyers may be registered as 14 locally-registered foreign lawyers under this Act. 15 374 Duration of registration 16 (1) Registration as a locally-registered foreign lawyer granted under this 17 Act is in force from the day specified in the local registration certificate 18 until the end of the financial year in which it is granted, unless the 19 registration is sooner suspended or cancelled. 20 (2) Registration as a locally-registered foreign lawyer renewed under this 21 Act is in force until the end of the financial year following its previous 22 period of currency, unless the registration is sooner suspended or cancelled. 23 107 Chapter 2 (Engaging in legal practice other than by Australian-registered foreign lawyers), part 7 (Fidelity cover)

s 375 242 s 377 Legal Profession Bill 2004 (3) If an application for the renewal of registration as a locally-registered 1 foreign lawyer has not been decided by the following 1 July, the 2 registration-- 3 (a) continues in force on and from that 1 July until the law society 4 renews or refuses to renew the registration or the holder 5 withdraws the application for renewal, unless the registration is 6 sooner suspended or cancelled; and 7 (b) if renewed, is taken to have been renewed on and from that 8 1 July. 9 375 Local registered foreign lawyer is not officer of Supreme Court 10 A locally-registered foreign lawyer is not an officer of the Supreme 11 Court. 12 PART 4--APPLICATION FOR GRANT OR RENEWAL 13 OF LOCAL REGISTRATION 14 376 Application for grant or renewal of registration 15 An overseas-registered foreign lawyer may apply to the law society for 16 the grant or renewal of registration as a locally-registered foreign lawyer. 17 377 Manner of application 18 (1) An application for the grant or renewal of registration as a 19 locally-registered foreign lawyer must be-- 20 (a) made in the law society approved form; and 21 (b) accompanied by the fees prescribed under a regulation. 22 (2) The prescribed fees must not be greater than the maximum fees for a 23 local practising certificate. 24 (3) The law society may require the applicant to pay any reasonable 25 costs and expenses incurred by it in considering the application, including, 26 for example, costs and expenses of making inquiries and obtaining 27

s 378 243 s 378 Legal Profession Bill 2004 information or documents about the applicant's entitlement to be 1 registered. 2 (4) The fees and costs must not include any component for compulsory 3 membership of any professional association. 4 (5) The law society approved form may require the applicant to 5 disclose-- 6 (a) matters that may affect the applicant's eligibility for the grant or 7 renewal of registration; and 8 (b) particulars of any offences for which the applicant has been 9 convicted in Australia or a foreign country, whether before or 10 after the commencement of this section. 11 (6) The law society approved form may indicate that convictions of a 12 particular kind need not be disclosed for the purposes of the current 13 application. 14 (7) The law society approved form may indicate that specified kinds of 15 matters or particulars previously disclosed in a particular way need not be 16 disclosed for the purposes of the current application. 17 378 Requirements regarding applications for the grant or renewal of 18 registration 19 (1) An application for the grant of registration as a locally-registered 20 foreign lawyer must state the applicant's educational and professional 21 qualifications. 22 (2) An application for the grant or renewal of registration as a 23 locally-registered foreign lawyer must-- 24 (a) state that the applicant is registered to engage in legal practice by 25 1 or more specified foreign registration authorities in 1 or more 26 foreign countries; and 27 (b) state that the applicant is not an Australian-registered foreign 28 lawyer; and 29 (c) state that the applicant is not the subject of any disciplinary 30 proceeding in Australia or a foreign country, including any 31 preliminary investigations or action that might lead to a 32 disciplinary proceeding in his or her capacity as-- 33 (i) an overseas-registered foreign lawyer; or 34

s 378 244 s 378 Legal Profession Bill 2004 (ii) an Australian-registered foreign lawyer; or 1 (iii) an Australian legal practitioner; and 2 (d) state that the applicant is not a party in any pending criminal or 3 civil proceeding in Australia or a foreign country that is likely to 4 result in disciplinary action being taken against the applicant; 5 and 6 (e) state that the applicant's registration is not cancelled or currently 7 suspended in any place as a result of any disciplinary action in 8 Australia or a foreign country; and 9 (f) state that the applicant is not, as a result of any criminal, civil or 10 disciplinary proceeding in Australia or a foreign country-- 11 (i) otherwise personally prohibited from carrying on the 12 practice of law in any place or bound by any undertaking 13 not to carry on the practice of law in any place; and 14 (ii) subject to any special conditions in carrying on any practice 15 of law in any place; and 16 (g) specify any special conditions imposed in Australia or a foreign 17 country as a restriction on the practice of law by the applicant or 18 any undertaking given by the applicant restricting the applicant's 19 practice of law; and 20 (h) give consent to the making of inquiries of, and the exchange of 21 information with, any foreign registration authorities that the law 22 society considers appropriate regarding the applicant's activities 23 in engaging in legal practice in the places concerned or otherwise 24 regarding matters relevant to the application; and 25 (i) provide the information, or be accompanied by the other 26 information or documents, or both, that is specified in the 27 application form or in material accompanying the application 28 form. 29 (3) The application must, if the law society so requires, be accompanied 30 by an original instrument, or a copy of an original instrument, from each 31 foreign registration authority specified in the application that-- 32 (a) verifies the applicant's educational and professional 33 qualifications; and 34 (b) verifies the applicant's registration by the authority to practise 35 law in the foreign country concerned and the date of registration; 36 and 37

s 379 245 s 379 Legal Profession Bill 2004 (c) describes anything done by the applicant in engaging in legal 1 practice in that foreign country of which the authority is aware 2 and that the authority believes has had or is likely to have had an 3 adverse effect on the applicant's professional standing within the 4 legal profession of that place. 5 (4) The applicant must, if the law society so requires, certify in the 6 application that the accompanying instrument is the original or a complete 7 and accurate copy of the original. 8 (5) The law society may require the applicant to verify the statements in 9 the application by statutory declaration or by other proof acceptable to the 10 law society. 11 (6) If the accompanying instrument is not in English, it must be 12 accompanied by a translation in English that is authenticated or certified to 13 the satisfaction of the law society. 14 PART 5--GRANT OR RENEWAL OF LOCAL 15 REGISTRATION 16 379 Grant or renewal of local registration 17 (1) The law society must consider an application that has been made for 18 the grant or renewal of registration as a locally-registered foreign lawyer 19 and may-- 20 (a) grant or refuse to grant the registration; or 21 (b) renew or refuse to renew the registration. 22 (2) If the law society grants or renews the registration, the law society 23 must give the applicant a registration certificate or a notice of renewal. 24 (3) A notice of renewal may be in the form of a new registration 25 certificate or another form the law society considers appropriate. 26 (4) If the law society decides not to grant or renew the registration, or 27 imposes a condition on the registration that the applicant has not agreed to 28 as part of the grant or renewal of the registration-- 29 (a) the law society must give the person an information notice about 30 the law society's decision; and 31

s 380 246 s 380 Legal Profession Bill 2004 (b) the person may appeal to the Supreme Court against the decision 1 within 28 days after the day the information notice is given to the 2 person. 3 380 Requirement to grant or renew registration if criteria satisfied 4 (1) The law society must grant an application for registration as a 5 locally-registered foreign lawyer if the law society-- 6 (a) is satisfied the applicant is registered to engage in legal practice 7 in 1 or more foreign countries and is not an Australian legal 8 practitioner; and 9 (b) considers an effective system exists for regulating the practice of 10 law in 1 or more of the foreign countries; and 11 (c) considers the applicant is not, as a result of a criminal, civil or 12 disciplinary proceeding in any of the foreign countries, subject to 13 either of the following that would make it inappropriate to 14 register the person-- 15 (i) any undertakings concerning the practice of law in any of 16 the foreign countries; 17 (ii) any special conditions in carrying on the practice of law in 18 any of the foreign countries; and 19 (d) is satisfied the applicant demonstrates an intention-- 20 (i) to practise foreign law in this jurisdiction; and 21 (ii) to establish an office or a commercial legal presence in this 22 jurisdiction within the period prescribed under a regulation 23 after registration; and 24 (e) is satisfied there is no other reasonable ground for refusing the 25 application. 26 (2) The law society must grant an application for renewal of an 27 applicant's registration, unless the law society refuses renewal under 28 section 381. 29 (3) Residence or domicile in this jurisdiction is not to be a prerequisite 30 for or a factor in entitlement to the grant or renewal of registration. 31

s 381 247 s 381 Legal Profession Bill 2004 381 Refusal to grant or renew registration 1 (1) The law society may refuse to consider an application that purports to 2 be an application for the grant or renewal of registration as a 3 locally-registered foreign lawyer if the application is not made under this 4 Act. 5 (2) The law society may refuse to grant or renew an applicant's 6 registration if-- 7 (a) the application is not accompanied by, or does not contain, the 8 information required under this chapter; or 9 (b) the applicant has contravened this Act or a corresponding law; or 10 (c) the applicant has contravened an order of the disciplinary body or 11 a corresponding disciplinary body, including but not limited to an 12 order to pay any fine or costs; or 13 (d) the applicant has contravened an order of a regulatory authority 14 of any jurisdiction to pay any fine or costs; or 15 (e) the applicant has failed to comply with a requirement under this 16 Act to pay a contribution to, or levy for, the fidelity fund; or 17 (f) the applicant has contravened a requirement under this Act about 18 professional indemnity insurance; or 19 (g) the applicant has failed to pay any expenses of external 20 intervention payable under this Act. 21 (3) The law society may refuse to grant or renew an applicant's 22 registration if the regulatory authority of another jurisdiction has under a 23 corresponding law-- 24 (a) refused to grant or renew the applicant's registration; or 25 (b) suspended or cancelled the applicant's registration. 26 (4) The law society may refuse to grant registration if satisfied that the 27 applicant is not a fit and proper person to be registered after considering-- 28 (a) the nature of any offence for which the applicant has been 29 convicted in Australia or a foreign country, whether before or 30 after the commencement of this section; and 31 (b) how long ago the offence was committed; and 32 (c) the person's age when the offence was committed. 33

s 382 248 s 382 Legal Profession Bill 2004 (5) The law society may refuse to renew registration if satisfied that the 1 applicant is not a fit and proper person to continue to be registered after 2 considering-- 3 (a) the nature of any offence for which the applicant has been 4 convicted in Australia or a foreign country, whether before or 5 after the commencement of this section, other than an offence 6 disclosed in a previous application to the law society; and 7 (b) how long ago the offence was committed; and 8 (c) the person's age when the offence was committed. 9 (6) The law society may refuse to grant or renew registration on any 10 ground on which registration could be suspended or cancelled. 11 (7) If the law society refuses to grant or renew an application for 12 registration as a locally-registered foreign lawyer under this section-- 13 (a) the law society must give the person an information notice about 14 the law society's decision; and 15 (b) the person may appeal to the Supreme Court against the decision 16 within 28 days after the day the information notice is given to the 17 person. 18 (8) Nothing in this section affects the operation of part 7.108 19 PART 6--AMENDMENT, CANCELLATION OR 20 SUSPENSION OF LOCAL REGISTRATION 21 382 Application of ch 5, pt 6 22 This part does not apply to a show cause event in relation to which the 23 law society may exercise a power under part 7.109 24 108 Part 7 (Special powers in relation to local registration--show cause events) 109 Part 7 (Special powers in relation to local registration--show cause events)

s 383 249 s 384 Legal Profession Bill 2004 383 Grounds for amending, cancelling or suspending registration 1 Each of the following is a ground for amending, cancelling or 2 suspending a person's registration as a locally-registered foreign lawyer-- 3 (a) the registration was obtained because of incorrect or misleading 4 information; 5 (b) the person otherwise contravened any of the requirements 6 mentioned in section 378;110 7 (c) a disciplinary body or a corresponding disciplinary body has 8 ordered the amendment, cancellation or suspension of the 9 person's registration as an Australian-registered foreign lawyer; 10 (d) a foreign registration authority has cancelled or suspended the 11 person's registration to engage in the practice of a foreign law in 12 a foreign country because of any criminal, civil or disciplinary 13 proceeding against the person; 14 (e) the person's registration to engage in the practice of a foreign law 15 in a foreign country has lapsed; 16 (f) the person has not established an office to practise foreign law or 17 a commercial legal presence in this jurisdiction within the period 18 prescribed under a regulation after registration was granted; 19 (g) the person, having ceased to have an office or commercial legal 20 presence in this jurisdiction after registration was granted, has 21 not had an office or a commercial legal presence in this 22 jurisdiction for a period prescribed under a regulation; 23 (h) the person has become an insolvent under administration; 24 (i) another ground that the law society considers is reasonable for 25 amending, cancelling or suspending the person's registration. 26 384 Amending, cancelling or suspending registration 27 (1) If the law society believes a ground exists to amend, cancel or 28 suspend a person's registration in this jurisdiction as a locally-registered 29 foreign lawyer (the "proposed action"), the law society must give the 30 person a notice (the "show cause notice") that states-- 31 110 Section 378 (Requirements regarding applications for the grant or renewal of registration)

s 384 250 s 384 Legal Profession Bill 2004 (a) the proposed action and-- 1 (i) if the proposed action is to amend the person's 2 registration--the proposed amendment; or 3 (ii) if the proposed action is to suspend the person's 4 registration--the proposed suspension period; and 5 (b) the grounds for proposing to take the proposed action; and 6 (c) an outline of the facts and circumstances that form the basis for 7 the law society's belief; and 8 (d) an invitation to the person to make written representations to the 9 law society, within a specified time of not less than 28 days, why 10 the proposed action should not be taken. 11 (2) If, after considering all written representations made within the stated 12 time or, in its discretion, after the stated time, the law society still believes a 13 ground exists to take the proposed action, the law society may-- 14 (a) if the show cause notice stated the proposed action was to amend 15 the person's registration--amend the registration in the way 16 stated, or in another way the law society is satisfied will be less 17 onerous for the person; or 18 (b) if the show cause notice stated the proposed action was to cancel 19 the person's registration--cancel the registration or suspend the 20 registration for a period; or 21 (c) if the show cause notice stated the proposed action was to 22 suspend the registration for a stated period--suspend the 23 registration for a period no longer than the stated period or 24 amend the registration in the way the law society is satisfied is 25 appropriate because of written representations. 26 (3) If the law society decides to amend, cancel or suspend the person's 27 registration-- 28 (a) the law society must give the person an information notice about 29 the law society's decision; and 30 (b) the person may appeal to the Supreme Court against the decision 31 within 28 days after the day the information notice is given to the 32 person. 33

s 385 251 s 386 Legal Profession Bill 2004 385 Operation of amendment, cancellation or suspension of 1 registration 2 (1) This section applies if a decision is made to amend, cancel or 3 suspend a person's registration under section 384. 4 (2) Subject to subsections (3) and (4), the amendment, cancellation or 5 suspension of the person's registration takes effect on the later of the 6 following-- 7 (a) the day that the information notice about the decision is given to 8 the person; 9 (b) the day stated in the information notice. 10 (3) If the person's registration is amended, cancelled or suspended 11 because the person has been convicted of an offence-- 12 (a) the Supreme Court may, on application of the person, order that 13 the amendment, cancellation or suspension be stayed until-- 14 (i) the end of the time to appeal against the conviction; or 15 (ii) if an appeal is made against the conviction--the appeal is 16 finally decided, lapses or otherwise ends; and 17 (b) the amendment, cancellation or suspension does not have effect 18 during any period for which the stay is in force. 19 (4) If the person's registration is amended, cancelled or suspended 20 because the person has been convicted of an offence and the conviction is 21 quashed-- 22 (a) the amendment or suspension ceases to have effect when the 23 conviction is quashed; or 24 (b) the cancellation ceases to have effect when the conviction is 25 quashed and the person's registration is restored as if it had 26 merely been suspended. 27 386 Other ways of amending or cancelling registration 28 (1) This section applies if-- 29 (a) a locally-registered foreign lawyer requests the law society to 30 amend or cancel the person's registration and the law society 31 proposes to give effect to the request; or 32

s 387 252 s 388 Legal Profession Bill 2004 (b) the law society proposes to amend a locally-registered foreign 1 lawyer's registration-- 2 (i) only for a formal or clerical reason or in another way that 3 does not adversely affect the person's interests; and 4 (ii) the person agrees in writing to the amendment. 5 (2) The law society may amend or cancel the registration as mentioned 6 in subsection (1) by written notice given to the person. 7 (3) Section 384111 does not apply to an amendment or cancellation under 8 this section. 9 387 Relationship of this part with ch 3 10 Nothing in this part prevents the law society from making a complaint 11 under chapter 3112 about a matter to which this part relates. 12 PART 7--SPECIAL POWERS IN RELATION TO LOCAL 13 REGISTRATION 14 388 Applicant for local registration if show cause event happened 15 after first registration as overseas-registered foreign lawyer 16 (1) This section applies if-- 17 (a) a person is applying for registration as a locally-registered 18 foreign lawyer under this Act; and 19 (b) a show cause event in relation to the person happened, whether 20 before or after the commencement of this section, after the 21 person first became an overseas-registered foreign lawyer. 22 (2) As part of the application, the applicant must give the law society a 23 written statement, as required under a regulation-- 24 (a) about the show cause event; and 25 111 Section 384 (Amending, cancelling or suspending registration) 112 Chapter 3 (Complaints, investigation matters and discipline)

s 389 253 s 390 Legal Profession Bill 2004 (b) explaining why, despite the event, the applicant is suitable to be a 1 locally-registered foreign lawyer. 2 (3) However, the applicant need not give a statement under 3 subsection (2) if the applicant has previously given the law society a 4 statement under this section, or a notice and statement under section 389, 5 for the event stating why, despite the event, the applicant is, or continues to 6 be, a suitable person to be a locally-registered foreign lawyer. 7 (4) A contravention of subsection (2) is capable of constituting 8 unsatisfactory professional conduct or professional misconduct. 9 389 Requirement if show cause event 10 (1) This section applies to a show cause event that happens in relation to 11 a locally-registered foreign lawyer. 12 (2) The locally-registered foreign lawyer must give the law society both 13 of the following-- 14 (a) within 7 days after the day of the event--notice, in the law 15 society approved form, that the event happened; 16 (b) within 28 days after the day of the event--a written statement 17 explaining why, despite the event, the person is a suitable person 18 to be a locally-registered foreign lawyer. 19 (3) A contravention of subsection (2) is capable of constituting 20 unsatisfactory professional conduct or professional misconduct. 21 (4) However, if a written statement is provided after the 28 days 22 mentioned in subsection (2)(b), the law society may accept the statement 23 and take it into consideration. 24 390 Refusal, cancellation or suspension of local registration--failure 25 to show cause 26 (1) The law society may refuse to grant or renew, or may cancel or 27 suspend, registration as a locally-registered foreign lawyer if the applicant 28 for registration or the locally-registered foreign lawyer-- 29

s 391 254 s 391 Legal Profession Bill 2004 (a) is required by section 388 or 389113 to give a written statement 1 relating to a matter to the law society and the person has not done 2 so; or 3 (b) has given a written statement under section 388 or 389 but the 4 law society does not consider that the person has shown in the 5 statement that the person is suitable to be a locally-registered 6 foreign lawyer. 7 (2) For subsection (1)(b), a written statement accepted by the law society 8 as mentioned in section 389(4) is taken to have been given under 9 section 389. 10 (3) If the law society decides to refuse to grant or renew registration as, 11 or to cancel or suspend the registration of, a locally-registered foreign 12 lawyer-- 13 (a) the law society must give the person an information notice about 14 the decision; and 15 (b) the person may appeal to the Supreme Court against the decision 16 within 28 days after the day the information notice is given to the 17 person. 18 391 Restriction on making further applications 19 (1) If the law society decides under this part to cancel a person's 20 registration as a locally-registered foreign lawyer, the law society may also 21 decide that the person is not entitled to apply for registration under this 22 chapter for a stated period of not more than 5 years. 23 (2) A person in relation to whom a decision has been made under this 24 section, or under a provision of a corresponding law that corresponds to 25 this section, is not entitled to apply for registration under this chapter 26 during the period specified in the decision. 27 (3) If the law society makes a decision under this section-- 28 (a) the law society must give the person an information notice about 29 the decision; and 30 113 Section 388 (Applicant for local registration if show cause event happened after first registration as overseas-registered foreign lawyer) or 389 (Requirement if show cause event)

s 392 255 s 393 Legal Profession Bill 2004 (b) the person may appeal to the Supreme Court against the decision 1 within 28 days after the day the information notice is given to the 2 person. 3 392 Relationship of this part with chs 3 and 7 4 (1) The law society has and may exercise powers under chapter 3, part 4, 5 and chapter 7, part 2, in relation to a matter under this part, as if the matter 6 were the subject of a complaint under chapter 3. 7 (2) Accordingly, the provisions of chapter 3, part 4, and chapter 7, part 2, 8 apply in relation to a matter under this part, and so apply with any 9 necessary changes. 10 (3) Nothing in this part prevents the law society from making a 11 complaint under chapter 3 about a matter to which this part relates. 12 PART 8--FURTHER PROVISIONS RELATING TO 13 LOCAL REGISTRATION 14 393 Immediate suspension of registration 15 (1) This section applies, despite sections 384 and 385,114 if the law 16 society considers it necessary in the public interest to immediately suspend 17 a person's registration as a locally-registered foreign lawyer. 18 (2) The law society may immediately suspend the person's registration 19 for any of the following reasons, whether they happened before or after the 20 commencement of this section-- 21 (a) the locally-registered foreign lawyer has become an insolvent 22 under administration; 23 (b) the locally-registered foreign lawyer has been convicted of a 24 serious offence or tax offence; 25 114 Sections 384 (Amending, cancelling or suspending registration) and 385 (Operation of amendment, cancellation or suspension of registration)

s 394 256 s 394 Legal Profession Bill 2004 (c) a ground exists on which the certificate could be cancelled or 1 suspended under section 384.115 2 (3) The law society suspends the person's registration by giving an 3 information notice to the person about the law society's decision to 4 suspend. 5 (4) The information notice must also state that the person may make 6 written representations to the law society about the suspension. 7 (5) Subject to subsection (8), the person's registration continues to be 8 suspended until the earlier of the following-- 9 (a) the time at which the law society informs the person of the law 10 society's decision by information notice under section 384; 11 (b) the end of 56 days after the information notice is given to the 12 person under this section. 13 (6) If the person makes written representations to the law society about 14 the suspension, the law society must consider the written representations. 15 (7) The law society may revoke the suspension at any time, whether or 16 not because of written representations made to it by the person. 17 (8) Also, the law society may apply to the Supreme Court for an order 18 extending the period of the suspension and, if the court considers it 19 appropriate and the suspension has not ended under subsection (5), the 20 court may extend the period of the suspension for a further period of not 21 more than a further 56 days after the date of the court order. 22 (9) The law society must give the person an information notice about its 23 decision to apply under subsection (8) for an order extending the period of 24 the suspension. 25 394 Surrender of local registration certificate and cancellation of 26 registration 27 (1) A locally-registered foreign lawyer may surrender the person's local 28 registration certificate to the law society. 29 (2) If a local registration certificate is surrendered, the law society may 30 cancel the registration. 31 115 Section 384 (Amending, cancelling or suspending registration)

s 395 257 s 397 Legal Profession Bill 2004 395 Automatic cancellation of registration on grant of practising 1 certificate 2 A person's registration as a locally-registered foreign lawyer is taken to 3 be cancelled if the person becomes an Australian legal practitioner. 4 396 Cancellation or suspension of registration not to affect 5 disciplinary processes 6 The cancellation or suspension of a person's registration as a 7 locally-registered foreign lawyer does not affect any disciplinary processes 8 in relation to matters happening before the cancellation or suspension. 9 397 Return of local registration certificate on amendment, suspension 10 or cancellation of registration 11 (1) This section applies if a person's registration as a locally-registered 12 foreign lawyer is amended, cancelled or suspended. 13 (2) The law society may-- 14 (a) give the person a notice requiring the person to return the 15 registration certificate or notice of renewal to the law society in 16 the way stated in the notice within a stated period of 14 days; or 17 (b) include in an information notice that the law society must give to 18 the person under this chapter a further notice requiring the person 19 to return the registration certificate or notice of renewal to the 20 law society in the way stated in the notice within a stated period 21 of not less than 14 days. 22 (3) The person must comply with the requirement, unless the person has 23 a reasonable excuse. 24 Maximum penalty--50 penalty units. 25 (4) The law society must return the registration certificate or notice of 26 renewal to the person-- 27 (a) if the certificate is amended--after amending it; or 28 (b) if the certificate is suspended and is still current at the end of the 29 suspension period--at the end of the suspension period. 30

s 398 258 s 400 Legal Profession Bill 2004 PART 9--CONDITIONS ON REGISTRATION 1 398 Conditions generally 2 The registration of a person as a locally-registered foreign lawyer is 3 subject to the following-- 4 (a) any conditions imposed by the law society; 5 (b) any statutory conditions imposed under this Act or another Act; 6 (c) any conditions imposed under chapter 3116 or under provisions of 7 a corresponding law that correspond to chapter 3. 8 399 Conditions imposed by law society 9 (1) The law society may impose conditions on a person's registration as 10 a locally-registered foreign lawyer-- 11 (a) when the registration is granted or renewed; or 12 (b) at any time during the currency of the registration. 13 (2) A condition imposed under this section-- 14 (a) may be about any matter in relation to which a condition could 15 be imposed on a local practising certificate or any other matter 16 agreed to by the person; and 17 (b) must be reasonable and relevant. 18 (3) The law society must not impose a condition under subsection (2)(a) 19 that is more onerous than a condition that it would impose on a local 20 practising certificate of a local legal practitioner in the same or similar 21 circumstances. 22 (4) The law society may revoke a condition imposed by it under this 23 section and, under this chapter, may amend the condition. 24 400 Statutory condition regarding notification of offence 25 (1) It is a statutory condition of a person's registration as a 26 locally-registered foreign lawyer that the person must give notice, in a law 27 society approved form, to the law society if the person is-- 28 116 Chapter 3 (Complaints, investigation matters and discipline)

s 401 259 s 402 Legal Profession Bill 2004 (a) convicted of an offence that would have to be disclosed in 1 relation to an application for registration as a locally-registered 2 foreign lawyer; or 3 (b) charged with a serious offence. 4 (2) The notice must be given to the law society within 7 days after the 5 conviction or the day the person is charged. 6 (3) A legal profession rule may specify the person to whom, or the 7 address to which, the notice is to be given or sent. 8 (4) This section does not apply to an offence to which part 7117 applies. 9 401 Conditions imposed by regulation 10 A regulation may make provision in relation to an Australian-registered 11 foreign lawyer, including, for example-- 12 (a) imposing conditions on the registration of persons as 13 locally-registered foreign lawyers or any class of 14 locally-registered foreign lawyers; or 15 (b) authorising conditions to be imposed on the registration of 16 persons as locally-registered foreign lawyers or any class of 17 locally-registered foreign lawyers. 18 402 Compliance with conditions 19 A locally-registered foreign lawyer must not contravene a condition to 20 which the person's registration is subject. 21 Maximum penalty--50 penalty units. 22 117 Part 7 (Special powers in relation to local registration)

s 403 260 s 404 Legal Profession Bill 2004 PART 10--INTERSTATE-REGISTERED FOREIGN 1 LAWYERS 2 403 Extent of entitlement of interstate-registered foreign lawyer to 3 practise in this jurisdiction 4 (1) This chapter does not authorise an interstate-registered foreign 5 lawyer to practise foreign law in this jurisdiction to a greater extent than a 6 locally-registered foreign lawyer could be authorised under a local 7 registration certificate. 8 (2) Also, an interstate-registered foreign lawyer's right to practise 9 foreign law in this jurisdiction-- 10 (a) is subject to any conditions imposed by the law society under 11 section 404,118 and any conditions imposed under a legal 12 profession rule as mentioned under that section; and 13 (b) is to the greatest extent and with all necessary changes-- 14 (i) the same as the interstate-registered foreign lawyer's right to 15 practise foreign law in the lawyer's home jurisdiction; and 16 (ii) subject to any condition on the interstate-registered foreign 17 lawyer's right to practise foreign law in that jurisdiction. 18 (3) If there is an inconsistency between conditions mentioned in 19 subsection (2)(a) and conditions mentioned in subsection (2)(b), the more 20 onerous conditions prevail to the extent of the inconsistency. 21 (4) An interstate-registered foreign lawyer must not practise foreign law 22 in this jurisdiction in a way that is not authorised by this Act or in 23 contravention of any condition mentioned in this section. 24 (5) A contravention of this section is capable of constituting 25 unsatisfactory professional conduct or professional misconduct. 26 404 Additional conditions on practice of interstate-registered foreign 27 lawyers 28 (1) The law society may impose any condition on the 29 interstate-registered foreign lawyer's practice of foreign law in this 30 118 Section 404 (Additional conditions on practice of interstate-registered foreign lawyers)

s 405 261 s 405 Legal Profession Bill 2004 jurisdiction that it may impose under this Act in relation to a 1 locally-registered foreign lawyer. 2 (2) Also, an interstate-registered foreign lawyer's right to practise 3 foreign law in this jurisdiction is subject to any condition imposed by or 4 under an applicable legal profession rule. 5 (3) Conditions imposed under this section or a legal profession rule must 6 not be more onerous than conditions applying to locally-registered foreign 7 lawyers in the same or similar circumstances. 8 (4) If the law society imposes a condition under subsection (1)-- 9 (a) the law society must give the interstate-registered foreign lawyer 10 an information notice about the law society's decision; and 11 (b) the person may appeal to the Supreme Court against the decision 12 within 28 days after the day the information notice is given to the 13 person. 14 PART 11--MISCELLANEOUS 15 405 Consideration and investigation of applicants and holders 16 (1) To help it consider whether or not to grant, renew, suspend or cancel 17 registration under this chapter, or impose conditions on a person's 18 registration under this chapter, the law society may-- 19 (a) ask an applicant or locally-registered foreign lawyer for any 20 further documents or information the law society requires; or 21 (b) make any investigations or inquiries it considers appropriate. 22 (2) Each of the following is a ground for making an adverse decision in 23 relation to action being considered by the law society-- 24 (a) a failure to produce documents or information under this section; 25 (b) a failure to cooperate with the law society in its investigations or 26 inquiries under this section when asked to do so. 27

s 406 262 s 409 Legal Profession Bill 2004 406 Register of locally-registered foreign lawyers 1 (1) The law society must keep a register of the names of 2 locally-registered foreign lawyers. 3 (2) The register must-- 4 (a) state any conditions imposed by it on a locally-registered foreign 5 lawyer's registration; and 6 (b) otherwise include the particulars prescribed under a regulation. 7 (3) The register may be kept in the way the law society decides. 8 (4) The register must be available for inspection, without charge, at the 9 law society's office during normal business hours. 10 407 Publication of information about locally-registered foreign 11 lawyers 12 The law society may publish, in circumstances that it considers 13 appropriate, the names of persons registered by it as locally-registered 14 foreign lawyers and any relevant particulars concerning those persons. 15 408 Supreme Court orders about conditions 16 (1) The law society may apply to the Supreme Court for an order that an 17 Australian-registered foreign lawyer not contravene a condition imposed 18 under this chapter. 19 (2) The Supreme Court may make any order it considers appropriate 20 relating to the application. 21 409 Exemption by law society 22 (1) The law society may exempt an Australian-registered foreign lawyer, 23 or class of Australian-registered foreign lawyers, from compliance with a 24 specified provision under this Act that would otherwise apply to the 25 Australian-registered foreign lawyer or class of Australian-registered 26 foreign lawyers. 27 (2) An exemption may be granted unconditionally or subject to 28 conditions stated in writing. 29 (3) The law society may revoke or vary a condition imposed under this 30 section or impose new conditions. 31

s 410 263 s 412 Legal Profession Bill 2004 410 Membership of professional association 1 (1) An Australian-registered foreign lawyer is not required to join any 2 professional association. 3 (2) However, subsection (1) does not prevent an Australian-registered 4 foreign lawyer joining a professional association if the person is eligible to 5 do so. 6 411 Refund of fees 7 (1) A regulation may provide for the refund of a portion of a fee paid in 8 relation to registration as a locally-registered foreign lawyer if the 9 registration is cancelled or suspended during its currency. 10 (2) Without limiting subsection (1), a regulation may state-- 11 (a) the circumstances in which a refund is to be made; and 12 (b) the amount of the refund or the way in which the amount of the 13 refund is to be decided. 14 CHAPTER 6--ESTABLISHMENT OF ENTITIES 15 FOR THIS ACT, AND RELATED MATTERS 16 PART 1--LEGAL SERVICES COMMISSIONER 17 Division 1--Preliminary 18 412 Main purposes of ch 6, pt 1 19 The main purposes of this part are to establish the Legal Services 20 Commissioner and to provide for matters relevant to the commissioner. 21

s 413 264 s 416 Legal Profession Bill 2004 Division 2--Appointment 1 413 Legal Services Commissioner 2 There is to be a Legal Services Commissioner. 3 414 Appointment 4 (1) The Governor in Council may appoint a person as the commissioner 5 by gazette notice. 6 (2) Before recommending a person for appointment as the 7 commissioner, the Minister must be satisfied that the appointee-- 8 (a) is familiar with the nature of the legal system and legal practice; 9 and 10 (b) possesses appropriate qualities of independence, fairness and 11 integrity. 12 (3) The Minister may recommend a person who is not an Australian 13 lawyer. 14 (4) The commissioner is appointed under this Act and not under the 15 Public Service Act 1996. 16 415 Term of appointment 17 (1) The commissioner holds office for the term, not longer than 5 years, 18 stated in the gazette notice and may be reappointed. 19 (2) However, a person must not be reappointed if the total of the person's 20 term of appointment would be more than 10 years. 21 416 Remuneration and conditions 22 (1) The commissioner is entitled to be paid the remuneration and 23 allowances decided by the Governor in Council. 24 (2) The commissioner holds office-- 25 (a) on the conditions stated in this Act; and 26 (b) on other conditions decided by the Minister. 27

s 417 265 s 419 Legal Profession Bill 2004 (3) In this section-- 1 "commissioner" includes a person appointed to act as commissioner under 2 section 417. 3 417 Acting commissioner 4 (1) The Governor in Council may appoint a person to act as 5 commissioner-- 6 (a) during a vacancy in the office; or 7 (b) during any period, or during any periods, when the commissioner 8 is absent from duty or from the State or is, for another reason, 9 unable to perform the duties of the office. 10 (2) The person appointed to act as commissioner must be eligible for 11 appointment as commissioner. 12 418 Termination of appointment 13 (1) The Governor in Council may end the appointment of the 14 commissioner if the commissioner-- 15 (a) becomes incapable of performing the commissioner's functions 16 because of physical or mental incapacity; or 17 (b) is an insolvent under administration; or 18 (c) is guilty of misconduct of a kind that could warrant dismissal 19 from the public service if the commissioner were an officer of the 20 public service. 21 (2) The Governor in Council must end the appointment of the 22 commissioner if the commissioner is convicted of a serious offence or an 23 offence against a relevant law. 24 419 Resignation of commissioner 25 (1) The commissioner may resign by giving a signed notice of 26 resignation to the Minister. 27 (2) A notice of resignation under subsection (1) takes effect when the 28 notice is given to the Minister or, if a later time is stated in the notice, the 29 later time. 30

s 420 266 s 422 Legal Profession Bill 2004 Division 3--Functions 1 420 Functions 2 (1) The commissioner has the functions conferred or imposed on the 3 commissioner under this Act or another Act. 4 (2) The commissioner may appear, by Australian legal practitioner or 5 government legal officer, and be heard by the Supreme Court in relation to 6 the court's jurisdiction, or an exercise of the court's power, under a relevant 7 law. 8 Division 4--Legal Services Commission 9 421 Establishment of commission 10 (1) The Legal Services Commission (the "commission") is established. 11 (2) The commission consists of the commissioner and the staff of the 12 commission. 13 (3) The commissioner controls the commission. 14 422 Staff and other resources 15 (1) The chief executive must provide the commission with the resources 16 the chief executive considers appropriate for the commissioner to discharge 17 the commissioner's functions effectively and efficiently. 18 (2) The commission may, with the chief executive's approval, consult 19 with, employ and remunerate the Australian lawyers, accountants, auditors 20 or other professionals the commissioner considers necessary to properly 21 perform the commissioner's functions. 22 (3) For subsection (1) or (2), a public service officer may be seconded to 23 the commission. 24 (4) In this section-- 25 "resources" includes office accommodation and equipment, staff and 26 administrative support. 27 "staff", in relation to the commission, means the staff that the chief 28 executive provides under subsection (1) and a person employed under 29 subsection (2). 30

s 423 267 s 425 Legal Profession Bill 2004 423 Preservation of rights if public service officer appointed or 1 engaged 2 (1) A public service officer who is appointed to an office under this part 3 is entitled to retain all existing and accruing rights as if service in that office 4 were a continuation of service as a public service officer. 5 (2) If the person stops holding that office for a reason other than 6 misconduct, the person-- 7 (a) is entitled to be employed as a public service officer; and 8 (b) is to be employed on the classification level and remuneration 9 that the public service commissioner or another entity prescribed 10 under a regulation considers the person would have attained in 11 the ordinary course of progression if the person had continued in 12 employment as a public service officer. 13 424 Preservation of rights if person becomes public service officer 14 (1) On the appointment of a person holding office under this part as a 15 public service officer, the person's service under this part must be regarded 16 as service as a public service officer. 17 (2) Subsection (1) does not apply to the commissioner if the person is 18 guilty of misconduct in office as commissioner. 19 425 Preservation of rights if public service officer seconded 20 (1) A public service officer seconded as mentioned in section 422(3) -- 119 21 (a) is entitled to the person's existing and accruing rights as if 22 employment as a member of the staff of the commission were a 23 continuation of employment as a public service officer; and 24 (b) may apply for positions, and be employed in, the public service 25 as if the person were a public service officer. 26 (2) When the secondment ends, the person's employment on secondment 27 as a member of the staff of the commission is employment of the same 28 nature in the public service for working out the person's rights as a public 29 service officer. 30 119 Section 422 (Staff and other resources)

s 426 268 s 427 Legal Profession Bill 2004 (3) If the secondment ended for a reason other than misconduct, the 1 person is entitled to be employed-- 2 (a) as a public service officer; and 3 (b) on the same, or a higher, classification level and remuneration 4 that the public service commissioner or another entity prescribed 5 under a regulation considers the person would have attained in 6 the ordinary course of progression if the person had not been 7 seconded. 8 Division 5--Miscellaneous matters about the commissioner 9 426 Delegation 10 (1) The commissioner may delegate the commissioner's powers under 11 this Act, other than this power of delegation, to an appropriately qualified 12 member of the staff of the commission. 13 (2) In this section-- 14 "appropriately qualified", includes having the qualifications, experience 15 or standing appropriate to the exercise of the power. 16 427 Arrangements with regulatory authority about copies of 17 documents 18 If, under this Act, a regulatory authority must give a document to the 19 commissioner, the regulatory authority may, in an electronic way, give the 20 document to the commissioner if the commissioner has entered into an 21 arrangement with the regulatory authority about giving documents to the 22 commissioner in that way. 23

s 428 269 s 432 Legal Profession Bill 2004 PART 2--DISCIPLINARY TRIBUNAL 1 Division 1--Preliminary 2 428 Main purpose of ch 6, pt 2 3 The main purpose of this part is to establish the Legal Practice Tribunal 4 to deal with matters it is empowered to deal with under this Act. 5 Division 2--Establishment of Legal Practice Tribunal and related 6 matters 7 429 Establishment, members and chairperson of tribunal 8 (1) The Legal Practice Tribunal is established. 9 (2) The members of the tribunal are the Supreme Court judges. 10 (3) The Chief Justice is the chairperson of the tribunal. 11 (4) The tribunal is constituted by any 1 of its members. 12 430 Way tribunal is to operate 13 (1) The chairperson is to allocate the work of the tribunal. 14 (2) The tribunal, as constituted by any 1 of its members, may sit in more 15 than 1 place at the same time. 16 431 Jurisdiction 17 The tribunal's jurisdiction is to hear and decide a discipline application 18 made to the tribunal. 19 432 Powers 20 (1) The tribunal may do all things necessary or convenient to be done for 21 exercising its jurisdiction. 22 (2) Without limiting subsection (1), the tribunal has the powers conferred 23 on it under this Act or another Act. 24

s 433 270 s 436 Legal Profession Bill 2004 433 Rule-making power 1 (1) The Governor in Council may, on the recommendation of the 2 chairperson, make rules for the practice and procedure of the tribunal 3 ("tribunal rules"). 4 (2) The tribunal rules may make provision for the practice and procedure 5 of the committee. 6 (3) The tribunal rules are subordinate legislation. 7 434 Practice directions 8 (1) To the extent a matter about the tribunal's procedure is not provided 9 for by this Act or the tribunal rules, the matter may be dealt with by 10 directions under this section. 11 (2) The chairperson may issue directions of general application about the 12 tribunal's procedures. 13 (3) The chairperson may delegate the chairperson's power under 14 subsection (2) to another member of the tribunal. 15 (4) A member constituting the tribunal may issue particular directions 16 for a hearing. 17 435 Registrar 18 The registrar of the tribunal, as constituted by any 1 of its members, is 19 the registrar for the Supreme Court district in which the tribunal is hearing 20 the discipline application. 21 436 Tribunal's seal 22 (1) The tribunal must have a seal for each Supreme Court district. 23 (2) Each seal must be judicially noticed. 24 (3) The registrar for each Supreme Court district is to have custody of 25 the seal for the district. 26

s 437 271 s 438 Legal Profession Bill 2004 Division 3--Panels, members of panels and related matters 1 437 Establishment of panels for helping the tribunal 2 (1) The following are established-- 3 (a) the lay panel; 4 (b) the practitioner panel. 5 (2) The practitioner panel is to consist of both barristers and solicitors. 6 (3) One member of the lay panel and 1 member of the practitioner panel 7 are to sit with the tribunal and help the tribunal in hearing and deciding a 8 discipline application. 9 (4) However, if a panel member disqualifies himself or herself as 10 mentioned in section 443(2),120 the tribunal may continue with the relevant 11 hearing if the tribunal member considers it appropriate to do so. 12 438 Appointment of panel member 13 (1) The members of the panels are to be appointed under this Act by the 14 Governor in Council. 15 (2) A person is eligible for appointment as a member of the lay panel 16 only if the person-- 17 (a) has high level experience and knowledge of consumer protection, 18 business, public administration or another relevant area; and 19 (b) is not, and has not been, an Australian lawyer, foreign lawyer or 20 otherwise legally qualified; and 21 (c) has not been convicted of a serious offence or an offence against 22 a relevant law, including before the commencement of this 23 section; and 24 (d) is not an insolvent under administration. 25 (3) A person is eligible for appointment as a member of the practitioner 26 panel only if the person-- 27 (a) is an Australian legal practitioner who has held a practising 28 certificate for at least 5 years; and 29 120 Section 443 (Disclosure of interests)

s 439 272 s 440 Legal Profession Bill 2004 (b) has not been convicted of a serious offence or an offence against 1 a relevant law, including before the commencement of this 2 section; and 3 (c) is not an insolvent under administration. 4 (4) A member holds office for a term of not longer than 5 years stated in 5 the instrument of appointment. 6 (5) For subsection (3)(a), in relation to any part of the 5 year period 7 before the commencement of this section, a barrister is not required to have 8 held a practising certificate for that part of the period if the barrister was 9 practising as a barrister during that period. 10 439 Remuneration and appointment conditions of panel members 11 (1) A member of the lay panel is entitled to be paid the remuneration and 12 allowances decided by the Governor in Council for sitting with the tribunal 13 in relation to hearing and deciding a discipline application. 14 (2) It is a condition of a lay member's appointment that if the member's 15 appointment is terminated under section 440, the member is not entitled to 16 any remuneration or allowances applicable to any sitting after the date of 17 the termination. 18 (3) To the extent that the conditions are not provided for by this Act, a 19 member of the lay panel or practitioner panel holds office on the conditions 20 decided by the Governor in Council. 21 440 Termination of appointment 22 (1) The Governor in Council may end the appointment of a panel 23 member if the panel member-- 24 (a) becomes incapable of performing the member's functions 25 because of physical or mental incapacity; or 26 (b) is an insolvent under administration; or 27 (c) is guilty of misconduct of a kind that could warrant dismissal 28 from the public service if the member were an officer of the 29 public service. 30 (2) The Governor in Council must terminate the appointment of a panel 31 member if the member-- 32

s 441 273 s 443 Legal Profession Bill 2004 (a) is convicted of a serious offence or an offence against a relevant 1 law; or 2 (b) for a member of the lay panel--becomes an Australian lawyer or 3 otherwise legally qualified; or 4 (c) for a member of the practitioner panel--stops holding a 5 practising certificate. 6 441 Resignation of members 7 (1) A panel member may resign by giving a signed notice of resignation 8 to the Minister. 9 (2) A notice of resignation under subsection (1) takes effect when the 10 notice is given to the Minister or, if a later time is stated in the notice, the 11 later time. 12 Division 4--Role of tribunal members and panel members 13 442 Role of members 14 (1) The chairperson may do all things necessary or convenient to be 15 done for the performance of the chairperson's role. 16 (2) The role of a tribunal member and panel member includes 17 professionally and efficiently performing the functions of the tribunal 18 assigned or given to the member under this Act or another Act. 19 (3) Each tribunal member and panel member must comply with the 20 procedures and policies implemented by the chairperson for the tribunal's 21 adjudicative operations. 22 443 Disclosure of interests 23 (1) If a tribunal member, or a panel member helping the tribunal, 24 becomes aware that the member has a conflict of interest about a 25 proceeding before the tribunal, the member must disclose the issue giving 26 rise to the conflict-- 27 (a) if the member is the chairperson--to the parties to the 28 proceeding; or 29 (b) otherwise--to the chairperson and the parties to the proceeding. 30

s 444 274 s 444 Legal Profession Bill 2004 (2) After making the disclosure, the member must disqualify himself or 1 herself. 2 (3) A member has a conflict of interest about a proceeding if the member 3 has an interest, financial or otherwise, that could conflict with the proper 4 performance of the member's functions for the proceeding. 5 (4) If the person who is disqualified is a panel member, the tribunal 6 member may decide it is appropriate to proceed with the hearing with 7 only 1 panel member. 8 Division 5--Constitution of tribunal for hearings 9 444 Constitution of tribunal for hearing 10 (1) For hearing and deciding a discipline application made to the 11 tribunal, the tribunal is constituted by a tribunal member. 12 (2) However, although panel members do not constitute the tribunal, the 13 tribunal member is to be helped by 2 panel members chosen by the 14 Brisbane registrar and approved by the tribunal member. 15 (3) The panel members mentioned in subsection (2) must consist of-- 16 (a) a lay panel member; and 17 (b) 1 of the following members-- 18 (i) if the complaint is about the conduct of a person who, at the 19 time of performing the acts or omitting to do the acts 20 constituting the conduct complained of, was a barrister or, 21 in the opinion of the tribunal member, was engaged in legal 22 practice in the manner of a barrister--a member of the 23 practitioner panel who is a barrister; 24 (ii) otherwise--a member of the practitioner panel who is a 25 solicitor. 26 (4) The registrar must keep a record of the name of the tribunal member 27 for each hearing, the names of the panel members helping the tribunal and 28 the discipline application for which the hearing is held. 29

s 445 275 s 448 Legal Profession Bill 2004 Division 6--Other provisions 1 445 Institution of proceedings by the commissioner 2 The commissioner may bring a proceeding under this part for the 3 imposition or enforcement of a penalty. 4 446 Contempt of tribunal 5 (1) The tribunal has, for itself, the tribunal members and the panel 6 members, all the protection, powers, jurisdiction and authority the Supreme 7 Court has for that court in relation to contempt of court. 8 (2) The tribunal must comply with the Uniform Civil Procedure 9 Rules 1999 relating to contempt of court, with necessary changes. 10 (3) The registrar may apply to the tribunal for an order that a person be 11 committed to prison for contempt of the tribunal. 12 (4) The tribunal's jurisdiction to punish a contempt of the tribunal may 13 be exercised on the tribunal's own initiative. 14 447 Conduct that is contempt and an offence 15 If conduct of a person is both contempt of the tribunal and an offence, 16 the person may be proceeded against for the contempt or for the offence, 17 but the person is not liable to be punished twice for the same conduct. 18 448 Protection of members etc. 19 (1) A tribunal member or panel member has, in the performance of the 20 member's duties as a member, the same protection and immunity as a 21 Supreme Court judge carrying out the functions of a judge. 22 (2) A person representing a person before the tribunal has the same 23 protection and immunity as an Australian legal practitioner appearing for a 24 party in a proceeding in the Supreme Court. 25 (3) A person appearing before the tribunal as a witness has the same 26 protection as a witness in a proceeding in the Supreme Court. 27 (4) A document produced at, or used for, a tribunal hearing has the same 28 protection it would have if produced before the Supreme Court. 29

s 449 276 s 452 Legal Profession Bill 2004 PART 3--LEGAL PRACTICE COMMITTEE 1 Division 1--Preliminary 2 449 Main purpose of ch 6, pt 3 3 The main purpose of this part is to establish the Legal Practice 4 Committee to deal with matters it is empowered to deal with under this Act. 5 450 Definitions for ch 6, pt 3 6 In this part-- 7 "barrister" means a local legal practitioner who holds a current practising 8 certificate to practise as a barrister. 9 "solicitor" means a local legal practitioner who holds a current local 10 practising certificate to practise as a solicitor. 11 Division 2--Establishment, membership of committee, functions and 12 powers 13 451 Establishment of committee 14 The Legal Practice Committee is established. 15 452 Committee members 16 (1) The committee is to consist of the following members appointed by 17 the Governor in Council-- 18 (a) a chairperson; 19 (b) 2 solicitors; 20 (c) 2 barristers; 21 (d) 2 lay members. 22 (2) Before recommending a person for appointment as the chairperson, 23 the Minister must be satisfied that the person has high level experience and 24 knowledge of the legal system and legal practice. 25

s 453 277 s 456 Legal Profession Bill 2004 (3) For choosing someone to recommend for appointment under 1 subsection (1)(b), the Minister may invite nominations from the law 2 society. 3 (4) For choosing someone to recommend for appointment under 4 subsection (1)(c), the Minister may invite nominations from the bar 5 association. 6 (5) Before recommending a person for appointment under 7 subsection (1)(d), the Minister must be satisfied that the person has high 8 level experience and knowledge of consumer protection, business, public 9 administration or another relevant area but is not an Australian lawyer or 10 otherwise legally qualified. 11 453 Term of appointment 12 The appointment of a member of the committee is for the term stated in 13 the member's appointment. 14 454 Functions and powers of committee 15 (1) The committee has the functions provided for under this Act. 16 (2) The committee has all the powers necessary or convenient for 17 performing its functions. 18 455 Administrative support 19 The commissioner must provide administrative support for the 20 committee, including secretariat support. 21 Division 3--Provisions about committee members 22 456 Eligibility for membership 23 A person can not become a member of the committee if the person-- 24 (a) has been convicted of a serious offence or an offence against a 25 relevant law; or 26 (b) is an insolvent under administration. 27

s 457 278 s 459 Legal Profession Bill 2004 457 Termination of office 1 (1) The Governor in Council may terminate the appointment of a 2 committee member if the member-- 3 (a) becomes incapable of performing the member's functions 4 because of physical or mental incapacity; or 5 (b) is guilty of misconduct of a kind that could warrant dismissal 6 from the public service if the member were an officer of the 7 public service. 8 (2) The Governor in Council must end the appointment of a committee 9 member if the member-- 10 (a) is convicted of a serious offence or an offence against a relevant 11 law; or 12 (b) is an insolvent under administration; or 13 (c) if the person was appointed because the person was a 14 solicitor--the person stops being a solicitor; or 15 (d) if the person was appointed because the person was a 16 barrister--the person stops being a barrister; or 17 (e) if the person was appointed as a lay member--the person 18 becomes an Australian lawyer or otherwise legally qualified. 19 458 Resignation of committee member 20 (1) A committee member may resign by giving a signed notice of 21 resignation to the Minister. 22 (2) A notice of resignation under subsection (1) takes effect when the 23 notice is given to the Minister or, if a later time is stated in the notice, the 24 later time. 25 459 Deputy chairperson 26 (1) The committee members must appoint a member, other than the 27 chairperson, as the deputy chairperson of the committee. 28 (2) The appointment of the deputy chairperson may be for a time 29 decided by the committee but not for longer than the deputy chairperson's 30 term of appointment as a member. 31

s 460 279 s 465 Legal Profession Bill 2004 460 Remuneration and allowances of lay members 1 A lay member of the committee is entitled to be paid the remuneration 2 and allowances decided by the Governor in Council. 3 Division 4--Provisions about committee performing advisory functions 4 461 Application of ch 6, pt 3, div 4 5 This division applies to the committee in performing its advisory 6 functions under this Act.121 7 462 Conduct of business 8 Subject to this division, the committee may conduct its business, 9 including its meetings, in the way it considers appropriate. 10 463 Time and place of meeting 11 (1) Committee meetings are to be held at the times and places the 12 chairperson decides. 13 (2) However, the chairperson must call a meeting if asked, in writing, to 14 do so by at least the number of members forming a quorum for the 15 committee. 16 (3) In the absence of the chairperson, the deputy chairperson may 17 exercise the powers of the chairperson under this section. 18 464 Quorum 19 A quorum for the committee is 4 members. 20 465 Presiding at meetings 21 (1) The chairperson is to preside at all meetings of the committee at 22 which the chairperson is present. 23 121 See section 221 (Monitoring role of committee) which provides that the committee has certain functions in relation to advising the Minister about the legal profession rules.

s 466 280 s 467 Legal Profession Bill 2004 (2) If the chairperson is absent from a committee meeting, but the deputy 1 chairperson is present, the deputy chairperson is to preside. 2 (3) If the chairperson and deputy chairperson are both absent from a 3 committee meeting, including because of a vacancy in the office, a member 4 chosen by the members present is to preside at the committee meeting. 5 466 Conduct of meetings 6 (1) A question at a committee meeting is decided by a majority of the 7 votes of the members present. 8 (2) Each member present at the meeting has a vote on each question to 9 be decided and, if the votes are equal, the member presiding also has a 10 casting vote. 11 (3) A member present at the meeting who abstains from voting is taken 12 to be have voted for the negative. 13 (4) The committee may hold meetings, or allow members to take part in 14 its meetings, by using any technology that reasonably allows members to 15 hear and take part in discussions as they happen. 16 17 Example of use of technology-- 18 teleconferencing (5) A member who takes part in a committee meeting under 19 subsection (4) is taken to be present at the meeting. 20 (6) A resolution is validly made by the committee, even if it is not passed 21 at a committee meeting, if-- 22 (a) a majority of the committee members give written agreement to 23 the resolution; and 24 (b) notice of the resolution is given under procedures approved by 25 the committee. 26 467 Minutes 27 (1) The committee must keep-- 28 (a) minutes of its meetings; and 29 (b) a record of any resolutions made under section 466(6). 30 (2) Subsection (3) applies if a resolution is passed at a committee 31 meeting by a majority of the members present. 32

s 468 281 s 468 Legal Profession Bill 2004 (3) If asked by a member who voted against the passing of the 1 resolution, the committee must record in the minutes of the meeting that 2 the member voted against the resolution. 3 468 Disclosure of interests 4 (1) This section applies to a committee member (the "interested 5 person") if-- 6 (a) the interested person has a direct or indirect interest in an issue 7 being considered, or about to be considered, by the committee; 8 and 9 (b) the interest could conflict with the proper performance of the 10 interested person's duties about the consideration of the issue. 11 (2) After the relevant facts come to the interested person's knowledge, 12 the person must disclose the nature of the interest to a committee meeting. 13 (3) Unless the committee otherwise directs, the interested person must 14 not-- 15 (a) be present when the committee considers the issue; or 16 (b) take part in a decision of the committee about the issue. 17 (4) The interested person must not be present when the committee is 18 considering whether to give a direction under subsection (3). 19 (5) If there is another person who must, under subsection (2), also 20 disclose an interest in the issue, the other person must not-- 21 (a) be present when the committee is considering whether to give a 22 direction under subsection (3) about the interested person; or 23 (b) take part in making the decision about giving the direction. 24 (6) If-- 25 (a) because of this section, a committee member is not present at a 26 committee meeting for considering or deciding an issue, or for 27 considering or deciding whether to give a direction under 28 subsection (3); and 29 (b) there would be a quorum if the member were present; 30 the remaining persons present are a quorum of the committee for 31 considering or deciding the issue, or for considering or deciding whether to 32 give the direction, at the meeting. 33

s 469 282 s 470 Legal Profession Bill 2004 (7) A disclosure under subsection (2) must be recorded in the 1 committee's minutes. 2 Division 5--Provisions applying to committee for hearings 3 469 Constitution of committee for hearing 4 (1) The chairperson must make arrangements about constituting the 5 committee for hearing and deciding discipline applications. 6 (2) For hearing and deciding a discipline application made to the 7 committee, the committee is constituted by-- 8 (a) the chairperson; and 9 (b) a member of the committee who is a local legal practitioner 10 chosen by the chairperson; and 11 (c) a lay member of the committee chosen by the chairperson. 12 (3) In choosing a local legal practitioner as mentioned in subsection (2), 13 the chairperson must choose a person who is-- 14 (a) if the discipline application is about the conduct of a person who, 15 at the time of performing the acts or omitting to do the acts 16 constituting the conduct complained of, was a barrister or, in the 17 opinion of the chairperson, was engaged in legal practice in the 18 manner of a barrister--a barrister; or 19 (b) otherwise--a solicitor. 20 (4) The chairperson is to preside at the hearing of a matter referred to the 21 committee. 22 (5) In this section-- 23 "chairperson" includes the deputy chairperson. 24 470 Conduct of committee for hearing and deciding discipline 25 applications 26 (1) To the extent a matter about the committee's procedure is not 27 provided for by this Act or the tribunal rules, the matter may be dealt with 28 by directions under this section. 29 (2) The chairperson may issue directions of general application about the 30 committee's procedures. 31

s 471 283 s 472 Legal Profession Bill 2004 (3) The members constituting the committee may issue particular 1 directions for a hearing. 2 471 Disclosure of interests 3 (1) If a member of the committee becomes aware that the member has a 4 conflict of interest about a discipline application made to the committee, 5 the member must disclose the issue giving rise to the conflict-- 6 (a) if the member is the chairperson--to the parties to the 7 proceeding in relation to the discipline application; or 8 (b) otherwise--to the chairperson and the parties to the proceeding. 9 (2) After making the disclosure, the member must disqualify himself or 10 herself. 11 (3) A member has a conflict of interest about a proceeding if the member 12 has an interest, financial or otherwise, that could conflict with the proper 13 performance of the member's functions for the proceeding. 14 (4) If the parties agree, the remaining members of the committee may 15 continue with hearing and deciding the discipline application. 16 (5) However, if the parties do not agree as mentioned in subsection (4), 17 the hearing of the discipline application must stop and the committee must 18 be reconstituted to hear and decide the discipline application. 19 (6) If the committee can not be reconstituted under subsection (5), the 20 discipline application is to be transferred to the tribunal under the tribunal 21 rules. 22 472 Protection of members etc. 23 (1) A committee member has, in the performance of the member's duties 24 as a member of the committee hearing and deciding a discipline 25 application, the same protection and immunity as a Supreme Court judge 26 carrying out the functions of a judge. 27 (2) A person representing a person before the committee has the same 28 protection and immunity as an Australian legal practitioner appearing for a 29 party in a proceeding in the Supreme Court. 30 (3) A person appearing before the committee as a witness has the same 31 protection as a witness in a proceeding in the Supreme Court. 32

s 473 284 s 473 Legal Profession Bill 2004 (4) A document produced at, or used for, a hearing of the committee has 1 the same protection it would have if produced before the Supreme Court. 2 PART 4--PROVISIONS APPLYING TO EACH 3 DISCIPLINARY BODY 4 Division 1--Parties to proceedings 5 473 Parties 6 (1) The parties to a proceeding in a disciplinary body for a discipline 7 application are-- 8 (a) the respondent in relation to the complaint or investigation 9 matter; and 10 (b) the commissioner. 11 (2) The parties are entitled to appear at the hearing of the application. 12 (3) The complainant is entitled to appear at the hearing in relation to-- 13 (a) those aspects of the hearing that relate to a request by the 14 complainant for a compensation order; and 15 (b) other aspects of the hearing, but only if the disciplinary body 16 grants leave to the complainant to appear in relation to them. 17 (4) The disciplinary body may grant leave to another person to appear at 18 the hearing if the disciplinary body is satisfied that it is appropriate for that 19 person to appear at the hearing. 20 (5) A person who is entitled to appear at the hearing or who is granted 21 leave to appear at the hearing may appear personally or be represented by 22 an Australian legal practitioner or a government legal officer. 23 (6) In this section-- 24 "Australian legal practitioner" means a person to whom chapter 3 25 applies as mentioned in section 248.122 26 122 Section 248 (Application of chapter to lawyers, former lawyers and former practitioners)

s 474 285 s 476 Legal Profession Bill 2004 Division 2--Conduct of proceedings 1 474 Public hearings 2 (1) A hearing before a disciplinary body must be open to the public, 3 unless the disciplinary body directs that the hearing or a part of the hearing 4 be closed to the public. 5 (2) A disciplinary body may not direct that a hearing or a part of a 6 hearing be closed to the public unless satisfied that it is desirable to do so in 7 the public interest for reasons connected with-- 8 (a) the subject matter of the hearing; or 9 (b) the nature of the evidence to be given. 10 475 Procedure for hearing by a disciplinary body 11 (1) When conducting a hearing, a disciplinary body-- 12 (a) must comply with natural justice; and 13 (b) must act as quickly, and with as little formality and technicality, 14 as is consistent with a fair and proper consideration of the issues 15 before it; and 16 (c) is not bound by the rules of evidence; and 17 (d) may inform itself of anything in the way it considers appropriate. 18 (2) Subsection (1) is subject to another provision of this Act that states a 19 particular way the disciplinary body must conduct the hearing. 20 476 Recording evidence 21 (1) A disciplinary body for a discipline application may decide whether 22 or not a proceeding before it is to be recorded under the Recording of 23 Evidence Act 1962. 24 (2) Subject to an order made under section 480123 and the requirements 25 of the Recording of Evidence Act 1962, anyone is entitled to obtain a copy 26 of the record under that Act. 27 123 Section 480 (Prohibited publication about hearing of a disciplinary application)

s 477 286 s 479 Legal Profession Bill 2004 477 Disciplinary body may proceed in absence of party or may 1 adjourn hearing 2 (1) At a hearing, a disciplinary body may proceed in the absence of a 3 party if it reasonably believes the party has been given sufficient notice of 4 the hearing. 5 (2) A disciplinary body may adjourn the hearing from time to time. 6 478 Matter may be decided on affidavit evidence 7 If a disciplinary body receives in evidence an affidavit of 1 party, the 8 disciplinary body may decide all or part of a discipline application or any 9 relevant fact on the evidence given in the affidavit-- 10 (a) with the written consent of the other party; or 11 (b) if the other party does not appear and-- 12 (i) the party filing the affidavit has given the other party a copy 13 of the affidavit and the name of the person making the 14 affidavit is included in a list of documents given to the other 15 party under the tribunal rules; or 16 (ii) appropriate enquiries have been made as to the other party's 17 whereabouts and, in all the circumstances, it is reasonable 18 for the matter to be decided in that party's absence. 19 479 Standard of proof 20 (1) If an allegation of fact is not admitted or is challenged when a 21 disciplinary body is hearing a discipline application, the body may act on 22 the allegation if the body is satisfied on the balance of probabilities that the 23 allegation is true. 24 (2) For subsection (1), the degree of satisfaction required varies 25 according to the consequences for the relevant Australian legal practitioner 26 or law practice employee of finding the allegation to be true. 27 (3) In this section-- 28 "Australian legal practitioner" means a person to whom chapter 3 29 applies as mentioned in section 248.124 30 124 Section 248 (Application of chapter to lawyers, former lawyers and former practitioners)

s 480 287 s 481 Legal Profession Bill 2004 480 Prohibited publication about hearing of a disciplinary application 1 (1) A disciplinary body for a discipline application, either before, during 2 or immediately after a hearing, may make an order prohibiting the 3 publication of information stated in the order that relates to the discipline 4 application, the hearing or an order of the disciplinary body. 5 (2) A person must not contravene an order under subsection (1). 6 Maximum penalty--200 penalty units. 7 (3) A person must not publish or allow someone else to publish-- 8 (a) a question disallowed by the disciplinary body at the hearing; or 9 (b) an answer given to a question disallowed by disciplinary body at 10 the hearing. 11 Maximum penalty--200 penalty units. 12 (4) Also, the disciplinary body may make an order prohibiting-- 13 (a) the issue of the entire or part of a copy of the record made under 14 the Recording of Evidence Act 1962; or 15 (b) the publication of the entire or part of a copy of the record made 16 under that Act. 17 (5) A person must not contravene an order under subsection (4). 18 Maximum penalty--200 penalty units. 19 (6) In this section-- 20 "publish" includes publish on radio, television or the Internet. 21 "record" includes make an audio recording. 22 Division 3--Powers of disciplinary body 23 481 Power to disregard procedural lapses 24 (1) A disciplinary body may order that a failure by the commissioner to 25 observe a procedural requirement in relation to a complaint, investigation 26 matter or discipline application must be disregarded, if the disciplinary 27 body is satisfied that the parties to the hearing have not been prejudiced by 28 the failure. 29 (2) This section applies whether the failure happened-- 30

s 482 288 s 483 Legal Profession Bill 2004 (a) before the making of the discipline application resulting from the 1 complaint or investigation matter; or 2 (b) after the making of the discipline application. 3 (3) Subsection (1) does not limit the disciplinary body's power to 4 disregard a failure by another person to observe a procedural requirement. 5 482 Directions for hearings 6 (1) A disciplinary body may issue directions in relation to a hearing 7 before the disciplinary body. 8 (2) The disciplinary body may issue the directions-- 9 (a) on the body's own initiative; or 10 (b) at the request of a party, or a person granted leave to appear at the 11 hearing; or 12 (c) at the request of another person who has a sufficient interest in-- 13 (i) the hearing; or 14 (ii) another matter arising out of or relating to the hearing. 15 (3) Subsection (1) is subject to the tribunal rules, and directions under 16 section 434.125 17 483 Attendance notice 18 (1) A disciplinary body may, on application of a party to a hearing or on 19 its own initiative, by written notice given to a person (an "attendance 20 notice"), require the person to attend the hearing at a stated time and place 21 to give evidence or to produce stated documents or things. 22 (2) A person given an attendance notice must not fail, without reasonable 23 excuse-- 24 (a) to attend as required by the notice; or 25 (b) to continue to attend as required by the disciplinary body until 26 excused from further attendance. 27 Maximum penalty--100 penalty units. 28 125 Section 434 (Practice directions)

s 484 289 s 485 Legal Profession Bill 2004 (3) Also at a hearing, a person appearing as a witness must not-- 1 (a) fail to take an oath or make an affirmation when required by the 2 disciplinary body; or 3 (b) fail, without reasonable excuse, to answer a question the person 4 is required to answer by the disciplinary body; or 5 (c) fail, without reasonable excuse, to produce a document or thing 6 the person is required to produce by an attendance notice. 7 Maximum penalty--100 penalty units. 8 (4) It is a reasonable excuse for an individual to fail to answer a question 9 or produce a document or other thing, if answering the question or 10 producing the document or other thing might tend to incriminate the 11 individual. 12 484 Authentication of documents 13 (1) A document relating to a proceeding for a discipline application 14 requiring authentication by a disciplinary body is sufficiently authenticated 15 if it is signed by the tribunal member or the registrar for the proceeding, or 16 the chairperson or deputy chairperson of the committee. 17 (2) However, the tribunal rules may require that a document issued by 18 the tribunal is stamped with the tribunal's seal. 19 (3) Judicial notice must be taken of the signature of-- 20 (a) a tribunal member or the registrar that appears on a document 21 issued by the tribunal; or 22 (b) the chairperson or deputy chairperson of the committee that 23 appears on a document issued by the tribunal. 24 Division 4--Offences 25 485 False or misleading information 26 A person must not state anything to a disciplinary body that the person 27 knows is false or misleading in a material particular. 28 Maximum penalty--200 penalty units. 29

s 486 290 s 488 Legal Profession Bill 2004 486 False or misleading documents 1 (1) A person must not give to a disciplinary body a document containing 2 information the person knows is false or misleading in a material particular. 3 Maximum penalty--200 penalty units. 4 (2) Subsection (1) does not apply to a person who, when giving the 5 document-- 6 (a) informs the disciplinary body, to the best of the person's ability, 7 how the document is false or misleading; and 8 (b) gives the correct information to the disciplinary body if the 9 person has, or can reasonably obtain, the correct information. 10 PART 5--LEGAL PRACTITIONERS ADMISSIONS 11 BOARD 12 Division 1--Preliminary 13 487 Main purpose of ch 6, pt 5 14 The main purpose of this part is to establish the Legal Practitioners 15 Admissions Board to deal with matters it is empowered to deal with under 16 this Act. 17 488 Definitions for ch 6, pt 5 18 In this part-- 19 "barrister" means a local legal practitioner who holds a current local 20 practising certificate to practise as a barrister. 21 "solicitor" means a local legal practitioner who holds a current local 22 practising certificate to practise as a solicitor. 23

s 489 291 s 491 Legal Profession Bill 2004 Division 2--Establishment and membership of board 1 489 Establishment of board 2 The Legal Practitioners Admissions Board is established. 3 490 Members of board 4 (1) The board is to consist of the following members-- 5 (a) 2 solicitors and 2 barristers; 6 (b) 1 solicitor nominated by the law society; 7 (c) 1 barrister nominated by the bar association; 8 (d) the Brisbane registrar; 9 (e) a person nominated by the Minister. 10 (2) The Chief Justice must appoint the members of the board, other than 11 the Brisbane registrar or the Minister's nominee. 12 (3) A person mentioned in subsection (1)(a), (b) or (c) must not be 13 appointed unless the Chief Justice is satisfied the person is an Australian 14 lawyer of at least 5 years standing, including before the commencement of 15 this section. 16 (4) If the law society or bar association fails to nominate a member 17 within 14 days after being requested to do so by the Chief Justice, the Chief 18 Justice may appoint any person whom the Chief Justice considers suitable 19 to represent the interests of the law society or the bar association as a 20 member of the board and the nomination is taken to have been made by the 21 law society or bar association. 22 (5) An appointment under this section must be for no longer than 1 year 23 but a person may be reappointed. 24 Division 3--Board's functions and powers 25 491 Functions and powers of board 26 (1) The board has the functions provided for under this Act and the 27 admission rules. 28

s 492 292 s 496 Legal Profession Bill 2004 (2) The board has all the powers necessary or convenient for performing 1 its functions. 2 492 Administrative support of the board 3 The law society must provide administrative support for the board, 4 including secretariat support. 5 Division 4--Provisions about board members 6 493 Term of appointment 7 A member of the board, other than the Brisbane registrar, holds office for 8 the term stated in the member's appointment. 9 494 Chairperson and deputy chairperson 10 (1) The member of the board appointed by the Chief Justice as 11 chairperson is the chairperson of the board. 12 (2) The board members must appoint a member, other than the 13 chairperson, as the deputy chairperson of the board. 14 (3) The appointment of the deputy chairperson may be for a time 15 decided by the board but not for longer than the deputy chairperson's term 16 of appointment as a member. 17 495 Eligibility for membership 18 A person can not become a board member if the person-- 19 (a) is an insolvent under administration; or 20 (b) has been convicted of a serious offence; or 21 (c) has been convicted of an offence against this Act. 22 496 Termination of appointment 23 (1) The Chief Justice may end the appointment of a board member if the 24 member is absent without the board's permission from 3 consecutive 25 meetings of the board of which proper notice has been given. 26

s 497 293 s 499 Legal Profession Bill 2004 (2) The Chief Justice must end the appointment of a board member if the 1 member-- 2 (a) is an insolvent under administration; or 3 (b) is convicted of a serious offence; or 4 (c) is convicted of an offence against a relevant law; or 5 (d) if the person was appointed because the person was a 6 solicitor--stops being a solicitor; or 7 (e) if the person was appointed because the person was a 8 barrister--stops being a barrister. 9 (3) In this section-- 10 "meeting" means the following-- 11 (a) if the member does not attend--a meeting with a quorum 12 present; 13 (b) if the member attends--a meeting with or without a quorum 14 present. 15 497 Resignation of board member 16 (1) A board member, other than the Brisbane registrar, may resign by 17 giving a signed notice of resignation to the Chief Justice. 18 (2) A notice of resignation under subsection (1) takes effect when the 19 notice is given to the Chief Justice or, if a later time is stated in the notice, 20 the later time. 21 Division 5--Board business 22 498 Conduct of business 23 Subject to this division, the board may conduct its business, including its 24 meetings, in the way it considers appropriate. 25 499 Times and places of meetings 26 (1) Board meetings are to be held at the times and places the chairperson 27 decides. 28

s 500 294 s 502 Legal Profession Bill 2004 (2) However, the chairperson must call a meeting if asked, in writing, to 1 do so by the Chief Justice or at least the number of members forming a 2 quorum for the board. 3 (3) In the absence of the chairperson, the deputy chairperson may 4 exercise the powers of the chairperson under this section. 5 500 Quorum 6 A quorum for the board is 4 members. 7 501 Presiding at meetings 8 (1) The chairperson is to preside at all meetings of the board at which the 9 chairperson is present. 10 (2) If the chairperson is absent from a board meeting, but the deputy 11 chairperson is present, the deputy chairperson is to preside. 12 (3) If the chairperson and deputy chairperson are both absent from a 13 board meeting, including because of a vacancy in the office, a member 14 chosen by the members present is to preside at the board meeting. 15 502 Conduct of meetings 16 (1) A question at a board meeting is decided by a majority of the votes of 17 the members present. 18 (2) Each member present at the meeting has a vote on each question to 19 be decided and, if the votes are equal, the member presiding also has a 20 casting vote. 21 (3) A member present at the meeting who abstains from voting is taken 22 to be have voted for the negative. 23 (4) The board may hold meetings, or allow members to take part in its 24 meetings, by using any technology that reasonably allows members to hear 25 and take part in discussions as they happen. 26 27 Example of use of technology-- 28 teleconferencing (5) A member who takes part in a board meeting under subsection (4) is 29 taken to be present at the meeting. 30

s 503 295 s 504 Legal Profession Bill 2004 (6) A resolution is validly made by the board, even if it is not passed at a 1 board meeting, if-- 2 (a) a majority of the board members gives written agreement to the 3 resolution; and 4 (b) notice of the resolution is given under procedures approved by 5 the board. 6 503 Minutes 7 (1) The board must keep-- 8 (a) minutes of its meetings; and 9 (b) a record of any resolutions made under section 502(6). 10 (2) Subsection (3) applies if a resolution is passed at a board meeting by 11 a majority of the members present. 12 (3) If asked by a member who voted against the passing of the 13 resolution, the board must record in the minutes of the meeting that the 14 member voted against the resolution. 15 504 Disclosure of interests 16 (1) This section applies to a board member (the "interested person") 17 if-- 18 (a) the interested person has a direct or indirect interest in an issue 19 being considered, or about to be considered, by the board; and 20 (b) the interest could conflict with the proper performance of the 21 person's duties about the consideration of the issue. 22 (2) After the relevant facts come to the interested person's knowledge, 23 the person must disclose the nature of the interest to a board meeting. 24 (3) Unless the board otherwise directs, the interested person must not-- 25 (a) be present when the board considers the issue; or 26 (b) take part in a decision of the board about the issue. 27 (4) The interested person must not be present when the board is 28 considering whether to give a direction under subsection (3). 29 (5) If there is another person who must, under subsection (2), also 30 disclose an interest in the issue, the other person must not-- 31

s 505 296 s 506 Legal Profession Bill 2004 (a) be present when the board is considering whether to give a 1 direction under subsection (3) about the interested person; or 2 (b) take part in making the decision about giving the direction. 3 (6) If-- 4 (a) because of this section, a board member is not present at a board 5 meeting for considering or deciding an issue, or for considering 6 or deciding whether to give a direction under subsection (3); and 7 (b) there would be a quorum if the member were present; 8 the remaining persons present are a quorum of the board for considering or 9 deciding the issue, or for considering or deciding whether to give the 10 direction, at the meeting. 11 (7) A disclosure under subsection (2) must be recorded in the board's 12 minutes. 13 Division 6--Miscellaneous 14 505 Application of particular Acts to board 15 To remove any doubt, it is declared that the board is a public authority 16 for the purposes of-- 17 (a) the Freedom of Information Act 1992; and 18 (b) the Ombudsman Act 2001. 19 PART 6--QUEENSLAND LAW SOCIETY 20 INCORPORATED 21 Division 1--Preliminary 22 506 Purposes of ch 6, pt 6 23 (1) The main purpose of this part is to continue in existence the 24 Queensland Law Society Incorporated. 25

s 507 297 s 508 Legal Profession Bill 2004 (2) The main purpose is to be achieved in part by providing for the 1 council. 2 507 Definitions for ch 6, pt 6 3 In this part-- 4 "appointed member", for the council, see section 514(2)(a). 5 "council meeting" means a meeting of the council under this part. 6 "council member" means a member of the council, including the 7 following-- 8 (a) a presidential member; 9 (b) an immediate past president as mentioned in section 514.126 10 "presidential member" means a person who is the president, deputy 11 president or vice-president of the law society. 12 "society rule" see section 525. 13 Division 2--Constitution and related matters about the law society 14 508 Establishment of Queensland Law Society 15 (1) The body corporate in existence immediately before the 16 commencement of this section by the name of the Queensland Law Society 17 Incorporated is continued in existence under that name but may refer to 18 itself or be referred to as the Queensland Law Society. 19 (2) The law society-- 20 (a) is a body corporate; and 21 (b) has perpetual succession; and 22 (c) has a common seal; and 23 (d) may sue and be sued in its corporate name. 24 (3) All courts and persons acting judicially must take judicial notice of 25 the imprint of the law society's seal appearing on a document and, until the 26 contrary is proved, must presume the seal was properly affixed. 27 126 Section 514 (Council of the law society)

s 509 298 s 511 Legal Profession Bill 2004 509 Functions of the law society 1 The law society's functions are-- 2 (a) to perform the functions conferred on the law society under this 3 Act; and 4 (b) to manage the affairs, income and property of the law society for 5 the purposes and benefit of the law society; and 6 (c) to perform other functions given to the law society under another 7 Act. 8 510 General powers of the law society 9 (1) The law society has all the powers of an individual and may, for 10 example-- 11 (a) enter into contracts; and 12 (b) acquire, hold, dispose of, and deal with property; and 13 (c) appoint agents and attorneys; and 14 (d) engage consultants; and 15 (e) fix charges, and other terms, for services and other facilities it 16 supplies; and 17 (f) do anything else necessary or convenient to be done for its 18 functions. 19 (2) Without limiting subsection (1), the law society has the powers given 20 to it under this Act or another Act. 21 (3) However, the law society's powers are subject to any limitations 22 under this Act or another Act. 23 (4) The law society may exercise its powers inside or outside 24 Queensland. 25 (5) Without limiting subsection (4), the law society may exercise its 26 powers outside Australia. 27 511 Status of the law society because of its establishment in Act 28 (1) The law society is a statutory body for the Financial Administration 29 and Audit Act 1977 and the Statutory Bodies Financial Arrangements 30 Act 1982. 31

s 512 299 s 513 Legal Profession Bill 2004 (2) The Statutory Bodies Financial Arrangements Act 1982, part 2B127 1 sets out the way in which the law society's powers under this Act are 2 affected by the Statutory Bodies Financial Arrangements Act 1982. 3 (3) The law society-- 4 (a) does not represent the State; and 5 (b) is not entitled to any immunities or privileges of the State. 6 512 Delegation 7 (1) The law society may delegate its powers under this Act to-- 8 (a) an Australian lawyer who is a council member; or 9 (b) a committee that includes at least 1 council member who is an 10 Australian lawyer; or 11 (c) an Australian lawyer who is a member of the law society's staff; 12 or 13 (d) an Australian lawyer; or 14 (e) another person that the law society considers is an appropriate 15 person to exercise the powers of the law society proposed to be 16 delegated. 17 (2) A delegation of a power may permit the subdelegation of the power. 18 (3) However, a subdelegation must be made in a way allowed under a 19 society rule. 20 (4) This section does not limit the power of the law society to make a 21 society rule relating to delegations and subdelegations that may be made 22 under this section. 23 Division 3--Membership of law society 24 513 Membership of law society 25 (1) The law society consists of the individuals who, from time to time, 26 are enrolled as members of it. 27 127 Statutory Bodies Financial Arrangements Act 1982, part 2B (Powers under this Act and relationship with other Acts)

s 514 300 s 514 Legal Profession Bill 2004 (2) The following individuals are eligible to be enrolled as members of 1 the law society-- 2 (a) an individual who is entitled to engage in legal practice in this 3 jurisdiction or is an Australian-registered foreign lawyer; 4 (b) an individual who is a member of a class specified under a 5 society rule as persons who are appropriate to be members of the 6 law society; 7 (c) an individual whom the council considers is a fit and proper 8 person to be a member having regard to that person's 9 involvement with the legal profession. 10 Division 4--Council and its membership and officers of the law society 11 514 Council of the law society 12 (1) There is to be a council of the law society. 13 (2) The council is to consist of not less than 7 and not more than 14 12 council members, namely-- 15 (a) an Australian legal practitioner appointed by the Minister (the 16 "appointed member"); and 17 (b) the president, any deputy president and the vice-president of the 18 law society as mentioned in section 515; and 19 (c) members of the law society, elected or appointed under a society 20 rule. 21 (3) Each of the council members is to hold office for a term of 2 years 22 and is eligible for re-election or reappointment under a society rule. 23 (4) In addition to the members under subsection (2), a person who is the 24 immediate past president of the law society is, without further 25 appointment, a council member for a term of not longer than 1 year after 26 the person stops being the president. 27 (5) This section is subject to section 515. 28

s 515 301 s 518 Legal Profession Bill 2004 515 President, deputy president and vice-president of the law society 1 (1) Subject to subsection (4), the law society is to have a president, a 2 deputy president and a vice-president, each of whom is to be elected or 3 appointed under a society rule. 4 (2) The term of office for the president of the law society is 1 year. 5 (3) If, at the end of the president's term of office, a person is the deputy 6 president, that person is to assume the office of president. 7 (4) When the deputy president assumes the office of president, a vacancy 8 exists in the office of deputy president and that office must not be filled 9 until the next election or appointment of all officers of the law society 10 under a society rule. 11 (5) Subject to subsections (2) to (4), the term of office of the presidential 12 members is 2 years and each of those presidential members is to be eligible 13 for re-election or reappointment. 14 516 Dealing with casual vacancy 15 (1) This section applies despite a society rule about filling a casual 16 vacancy in the office of presidential member or elected council member. 17 (2) If a vacancy happens in relation to the appointed member, the 18 Minister must appoint another person who is an Australian lawyer to be the 19 appointed member until the term of office of the previous appointed 20 member ends. 21 517 No defect because of vacancy 22 The performance of a function or the exercise of a power of the law 23 society is not affected by the fact that at the time of the performance or 24 exercise a vacancy existed in the membership of the council or that the 25 election or appointment of a council member was defective. 26 518 Secretary and other staff of the law society 27 The law society may appoint a secretary and other members of the staff 28 of the law society as it may consider necessary. 29

s 519 302 s 522 Legal Profession Bill 2004 Division 5--Council meetings 1 519 Conduct of business at meetings 2 (1) Subject to this division, the law society may conduct its business and 3 proceedings at council meetings in the way it decides. 4 (2) The council meetings must be held at the place and at the time 5 decided by a presidential member. 6 (3) However, the council must meet at least 6 times a year. 7 520 Presiding at meetings 8 (1) The president is to preside at council meetings at which the president 9 is present. 10 (2) If the president is not present at a council meeting, the deputy 11 president is to preside. 12 (3) If both the president and deputy president are not present at a council 13 meeting, the vice-president is to preside. 14 (4) If no presidential member is present at a council meeting, a member 15 chosen by the council members present at the meeting is to preside. 16 521 Quorum 17 (1) A quorum of the council consists of a majority of council members 18 for the time being holding office. 19 (2) A council meeting at which a quorum is present may perform the 20 functions and exercise the powers of the law society. 21 522 Conduct of council meetings 22 (1) A question at a council meeting is decided by a majority of the votes 23 of the council members present. 24 (2) Each council member present at a council meeting has a vote on each 25 question to be decided and, if the votes are equal, the member presiding 26 also has a casting vote. 27 (3) A council member present at a council meeting who abstains from 28 voting is taken to have voted for the negative. 29

s 523 303 s 524 Legal Profession Bill 2004 (4) The council may hold its meetings, or allow council members to take 1 part in its meetings, by using any technology that reasonably allows 2 council members to hear and take part in discussions as they happen. 3 4 Example of use of technology-- 5 teleconferencing (5) A council member who takes part in a council meeting under 6 subsection (4) is taken to be present at the meeting. 7 (6) A resolution is validly made by the council, even if it is not passed at 8 a council meeting, if-- 9 (a) notice of the resolution is given under a society rule; and 10 (b) a majority of the council members gives written agreement to the 11 resolution. 12 523 Minutes 13 The council must keep-- 14 (a) minutes of the council's meetings; and 15 (b) a record of resolutions made under section 522(6). 16 524 Disclosure of interest 17 (1) This section applies to a council member (the "interested member") 18 if-- 19 (a) the member has a personal interest, or a direct or indirect 20 financial interest, in an issue being considered, or about to be 21 considered, by the council; and 22 (b) the interest could conflict with the proper performance of the 23 member's duties about the consideration of the issue. 24 (2) After the relevant facts come to the interested member's knowledge, 25 the member must disclose the nature of the interest to a council meeting. 26 (3) Unless the council otherwise directs, the interested member must 27 not-- 28 (a) be present when the council considers the issue; or 29 (b) take part in a decision of the council about the issue. 30

s 525 304 s 525 Legal Profession Bill 2004 (4) The interested member must not be present when the council is 1 considering whether to give a direction under subsection (3). 2 (5) If there is another council member who must, under subsection (2), 3 also disclose an interest in the issue, the other council member must not-- 4 (a) be present when the council is considering whether to give a 5 direction under subsection (3) about the interested member; or 6 (b) take part in making the decision about giving the direction. 7 (6) If-- 8 (a) because of this section, a council member is not present at a 9 council meeting for considering or deciding an issue, or for 10 considering or deciding whether to give a direction under 11 subsection (3); and 12 (b) there would be a quorum if the council member were present; 13 the remaining council members present are a quorum of the council for 14 considering or deciding the issue, or for considering or deciding whether to 15 give the direction, at the council meeting. 16 (7) A disclosure under subsection (2) must be recorded in the minutes of 17 the council meeting. 18 Division 6--Law society may make rule 19 525 Rule 20 (1) The law society may make a rule (the "society rule") for the 21 following purposes-- 22 (a) to define, and carry out, the objects of the law society; 23 (b) for the regulation and good government of the law society and its 24 members; 25 (c) to provide for the way of electing or appointing the presidential 26 members and other council members, and filling a vacancy of a 27 council member, other than an appointed member or person 28 appointed because the person is the immediate past president; 29 (d) the regulation of council meetings and the conduct of its 30 business; 31 (e) the custody and use of the law society's common seal; 32

s 526 305 s 528 Legal Profession Bill 2004 (f) the admission, re-admission, resignation, and expulsion of 1 members of the law society; 2 (g) to fix fees, levies and subscriptions in relation to membership of 3 the law society and to recover unpaid fees, levies and 4 subscriptions; 5 (h) to waive compliance with a society rule, in whole or in part, 6 absolutely or conditionally, in relation to a member or a class of 7 members. 8 (2) A society rule must be made by resolution of the council. 9 526 Notice by Minister about law society making a rule 10 (1) A society rule has no effect unless the Minister notifies the making of 11 the rule. 12 (2) The notice is subordinate legislation. 13 527 Availability of a society rule 14 The law society must ensure that an up-to-date version of each society 15 rule is available, without charge, for public inspection-- 16 (a) at the law society's principal place of business; and 17 (b) on the law society's Internet site or an Internet site identified on 18 the authority's Internet site. 19 Division 7--Miscellaneous 20 528 Starting proceedings 21 (1) The secretary, or another person authorised by resolution of the law 22 society, may start, carry on and defend any proceeding in the name of the 23 law society. 24 (2) In any proceeding on behalf of the law society, it is not necessary to 25 prove the election or appointment of the presidential members, another 26 council member or the secretary. 27

s 529 306 s 531 Legal Profession Bill 2004 529 Recovery of unpaid amount 1 (1) This section applies if there is a charge under a relevant law and the 2 charge or part of the charge is not paid by a person required under the 3 relevant law to pay it. 4 (2) The law society may recover from the person the charge, or the part 5 of the charge, not paid as a debt. 6 (3) In this section-- 7 "charge" includes-- 8 (a) a contribution, due, fee, levy, or subscription that becomes 9 payable on or after the commencement of this section; and 10 (b) a contribution, due, fee, fine, levy, or subscription that became 11 payable before the commencement of this section. 12 CHAPTER 7--SUITABILITY REPORTS AND 13 INVESTIGATIONS 14 PART 1--SUITABILITY REPORTS 15 Division 1--Preliminary 16 530 Main purpose of ch 7, pt 1 17 The main purpose of this part is to ensure police reports and health 18 assessment reports may be obtained when this Act has provided for the 19 reports or assessments. 20 531 Definitions for ch 7, pt 1 21 In this part-- 22 "commissioner of police" means the commissioner of the police service. 23 "interstate registration" means registration under a corresponding law as 24 a locally-registered foreign lawyer under that law. 25

s 532 307 s 532 Legal Profession Bill 2004 1 Note-- 2 A person granted interstate registration would be an interstate-registered foreign 3 lawyer under this Act. "legal practice" includes the practice of foreign law in this jurisdiction by 4 a foreign lawyer. 5 "local registration" means registration under this Act as a 6 locally-registered foreign lawyer. 7 "registration" means local registration or interstate registration. 8 "relevant authority" means-- 9 (a) for an applicant for admission--the board; or 10 (b) for an applicant for the grant or renewal of a local practising 11 certificate or local registration, for the holder of a local practising 12 certificate or for a locally-registered foreign lawyer--the relevant 13 regulatory authority. 14 "subject person" means-- 15 (a) an applicant for admission; or 16 (b) an applicant for the grant or renewal of a local practising 17 certificate; or 18 (c) the holder of a local practising certificate; or 19 (d) an applicant for registration as a locally-registered foreign 20 lawyer; or 21 (e) a locally-registered foreign lawyer. 22 "suitability report" means a police report or health assessment report 23 prepared under this part or under provisions of a corresponding law, 24 and includes a copy of a report or a part of a report or copy. 25 Division 2--Police reports 26 532 Relevant authority may ask for police report 27 (1) A relevant authority may ask the commissioner of police for a written 28 report about whether a subject person has any convictions for offences. 29

s 533 308 s 533 Legal Profession Bill 2004 (2) However, a regulatory authority must not ask for a report about a 1 local legal practitioner or a locally-registered foreign lawyer unless the 2 authority considers it appropriate. 3 (3) Subsection (2) applies to the regulatory authority in relation to a local 4 legal practitioner whether or not the practitioner is applying for the renewal 5 of the local practising certificate or applying for another practising 6 certificate. 7 (4) The commissioner of police must give the report to the authority. 8 (5) The report must contain only information in the possession of the 9 commissioner of police or to which the commissioner has access. 10 Division 3--Health assessments 11 533 Health assessment 12 (1) This section applies if a relevant authority believes a subject person 13 may have a material physical or mental infirmity that may make the person 14 unsuitable to engage in legal practice in this jurisdiction. 15 (2) The relevant authority may require the subject person to undergo a 16 health assessment by a person appointed by the relevant authority. 17 (3) If the relevant authority decides to require the health assessment, the 18 authority must give the subject person an information notice about the 19 decision to require the assessment that includes-- 20 (a) the name and qualifications of the person appointed by the 21 authority to conduct the assessment; and 22 (b) a stated date, and a stated time and place, for the assessment that 23 must be reasonable having regard to the circumstances of the 24 subject person as known to the relevant authority. 25 (4) The stated date must be no sooner than 28 days after the information 26 notice is given to the subject person. 27 (5) The subject person may appeal to the Supreme Court against the 28 decision within 28 days after the day the information notice is given to the 29 subject person. 30

s 534 309 s 535 Legal Profession Bill 2004 534 Appointment of health assessor 1 (1) The relevant authority may appoint 1 or more appropriately qualified 2 persons ("health assessors") to conduct all or part of a health assessment 3 under this division of a subject person. 4 (2) At least 1 health assessor must be a registered medical practitioner. 5 (3) If the relevant authority considers the subject person's criminal 6 history is relevant to the assessment, the authority may disclose the history 7 to the health assessor. 8 (4) The Criminal Law (Rehabilitation of Offenders) Act 1986 does not 9 apply to the disclosure. 10 (5) Before appointing a person as a health assessor, the relevant authority 11 must be satisfied the person does not have a personal or professional 12 connection with the subject person that may prejudice the way in which the 13 person conducts the assessment. 14 (6) In this section-- 15 "appropriately qualified", in relation to a registered medical practitioner 16 or other person conducting a health assessment, includes having the 17 qualifications, experience, skills or knowledge appropriate to conduct 18 the assessment. 19 535 Health assessment report 20 (1) A health assessor conducting all or part of a health assessment of a 21 subject person must prepare a report about the assessment ("health 22 assessment report"). 23 (2) The health assessment report must include-- 24 (a) the health assessor's findings as to any material physical or 25 mental infirmity of the subject person and the extent, if any, to 26 which the infirmity may make the person unsuitable to engage in 27 legal practice; and 28 (b) if the health assessor finds the person has a material physical or 29 mental infirmity that may make the person unsuitable to engage 30 in legal practice, the health assessor's recommendations, if any, 31 as to a condition-- 32 (i) the Supreme Court could impose on the person's admission 33 under this Act as a legal practitioner that would make, or 34

s 536 310 s 537 Legal Profession Bill 2004 would be likely to make, the person suitable to engage in 1 legal practice, despite the infirmity; or 2 (ii) the relevant authority could impose on the person's 3 practising certificate or local registration that would make, 4 or would be likely to make, the person suitable to engage in 5 legal practice, despite the infirmity. 6 (3) The health assessor must give the health assessment report to the 7 relevant authority and a copy to the subject person. 8 536 Payment for health assessment and report 9 The relevant authority that appoints a health assessor to conduct all or 10 part of a health assessment is liable for the cost of the assessment 11 conducted by, and the report prepared by, the health assessor. 12 537 Use of health assessment report 13 (1) A report about a subject person is not admissible in any proceeding, 14 and a person can not be compelled to produce the report or to give evidence 15 about the report or its contents in any proceeding. 16 (2) Subsection (1) does not apply in relation to-- 17 (a) a proceeding relating to an application by the subject person for 18 admission under this Act as a local practitioner, for local 19 registration, for admission to the legal profession in another 20 jurisdiction or for interstate registration; or 21 (b) a proceeding on an appeal by the subject person against a 22 decision of a relevant authority of this or another jurisdiction-- 23 (i) refusing to grant or renew a practising certificate or 24 registration; or 25 (ii) imposing conditions on a practising certificate or 26 registration; or 27 (iii) amending or cancelling a practising certificate or 28 registration. 29 (3) Subsection (1) does not apply if the report is admitted or produced, or 30 evidence about the report or its contents is given, in a proceeding with the 31 consent of-- 32 (a) the health assessor who prepared the report; and 33

s 538 311 s 538 Legal Profession Bill 2004 (b) the subject person to whom the report relates. 1 (4) In this section-- 2 "report" means a health assessment report prepared under this division or 3 under provisions of a corresponding law, and includes a copy of a 4 report or a part of a report or copy. 5 Division 4--General 6 538 Confidentiality of suitability report 7 (1) A member, officer, employee or agent of a relevant authority must 8 not, directly or indirectly, disclose to anyone else a suitability report, or 9 information in a suitability report, given to the relevant authority. 10 Maximum penalty--200 penalty units. 11 (2) A member, officer, employee or agent of the board does not 12 contravene subsection (1) if-- 13 (a) disclosure of the suitability report or information in it to someone 14 else is authorised by the board to the extent necessary to perform 15 a function or exercise a power under this Act relating to an 16 application for admission; or 17 (b) disclosure of the report or information in it is made to the 18 corresponding authority for the board of another jurisdiction in 19 which the person has applied for admission under this Act as a 20 legal practitioner; or 21 (c) the disclosure is made with the consent of the person to whom it 22 relates and, in the case of a health assessment, the health 23 assessor; or 24 (d) the disclosure is otherwise required or permitted by law. 25 (3) A member, officer, employee or agent of a regulatory authority does 26 not contravene subsection (1) if-- 27 (a) disclosure of the suitability report or information in it to someone 28 else is authorised by the regulatory authority to the extent 29 necessary to perform a function or exercise a power under this 30 Act in relation to-- 31 (i) an application for the grant or renewal of a local practising 32 certificate or for the grant or renewal of local registration; or 33

s 539 312 s 539 Legal Profession Bill 2004 (ii) the imposition or proposed imposition of conditions on a 1 local practising certificate or local registration; or 2 (iii) the amendment, cancellation or suspension, or the proposed 3 amendment, cancellation or suspension, of a local practising 4 certificate or local registration; or 5 (b) disclosure of the suitability report or information in it is made to 6 the regulatory authority of another jurisdiction when the person 7 to whom it relates is an applicant for the grant or renewal of a 8 practising certificate or the grant or renewal of interstate 9 registration, or the holder of an interstate practising certificate or 10 an interstate-registered foreign lawyer, under a corresponding 11 law of the other jurisdiction; or 12 (c) the disclosure is made with the consent of the person to whom it 13 relates and, in the case of a health assessment, the health 14 assessor; or 15 (d) the disclosure is otherwise required or permitted by law. 16 (4) The relevant authority must ensure a suitability report is destroyed 17 after-- 18 (a) the application concerned is finally decided or is withdrawn; or 19 (b) other action relating to the imposition of conditions on a 20 practising certificate or local registration, or the amendment, 21 cancellation or suspension of a practising certificate or local 22 registration, is taken or a decision is taken not to proceed with 23 any other action. 24 (5) Subsection (1) does not apply to information in a suitability report if 25 that information was given or obtained by the relevant authority other than 26 as part of the suitability report. 27 28 Example for subsection (5)-- 29 A suitability report may contain information that an applicant may have already 30 disclosed, including name, address, or some information about previous convictions or 31 a previous disqualification from being a lawyer. 539 Operation of ch 7, pt 1 32 (1) Nothing in this part authorises the board to seek a suitability report 33 about-- 34

s 540 313 s 542 Legal Profession Bill 2004 (a) an applicant for the grant or renewal of a local practising 1 certificate; or 2 (b) the holder of a local practising certificate. 3 (2) Nothing in this part authorises a relevant authority to seek a 4 suitability report about an applicant for admission. 5 PART 2--INVESTIGATORS AND THEIR POWERS 6 Division 1--Preliminary 7 540 Main purpose of ch 7, pt 2 8 The main purpose of this part is to provide for powers for audits or for 9 investigations of complaints or investigation matters. 10 541 Definitions for ch 7, pt 2 11 In this part-- 12 "investigation" means an investigation of a complaint or investigation 13 matter. 14 "investigator" means a person appointed under section 542 as an 15 investigator. 16 Division 2--Investigators 17 542 Appointment, qualifications etc. of investigators 18 (1) The commissioner may appoint any of the following persons as an 19 investigator-- 20 (a) a member of the staff of the commission or a consultant to the 21 commissioner as mentioned in section 422(2);128 22 128 Section 422 (Staff and other resources)

s 543 314 s 544 Legal Profession Bill 2004 (b) a person nominated for appointment as an investigator by a 1 regulatory authority. 2 (2) However, the commissioner may appoint a person as an investigator 3 only if the commissioner is satisfied the person is qualified for appointment 4 because the person has the necessary expertise or experience. 5 (3) An investigator nominated by a regulatory authority may only 6 exercise the power of an investigator in relation to an audit or investigation 7 by the regulatory authority or when directed by the commissioner to 8 conduct an audit or investigate a matter. 9 (4) If, under this Act, a regulatory authority may conduct an audit or 10 investigate a complaint or investigation matter, an investigator nominated 11 by the regulatory authority may conduct the audit or investigate the 12 complaint or investigation matter. 13 (5) This section does not limit the power of a regulatory authority to 14 delegate powers to a person who is an investigator nominated by the 15 regulatory authority. 16 (6) An investigator nominated by a regulatory authority is not employed, 17 and is not entitled to payments, under this Act or the Public Service 18 Act 1996. 19 543 Appointment conditions and limit on powers 20 (1) An investigator holds office on any conditions stated in-- 21 (a) the investigator's instrument of appointment; or 22 (b) a signed notice given to the investigator; or 23 (c) a regulation. 24 (2) The instrument of appointment, a signed notice given to the 25 investigator or a regulation may limit the investigator's powers under this 26 Act. 27 (3) In this section-- 28 "signed notice" means a notice signed by the commissioner. 29 544 Issue of identity card 30 (1) The commissioner must issue an identity card to each investigator. 31 (2) The identity card must-- 32

s 545 315 s 546 Legal Profession Bill 2004 (a) contain a recent photo of the investigator; and 1 (b) contain a copy of the investigator's signature; and 2 (c) identify the person as an investigator under this Act; and 3 (d) state an expiry date for the card. 4 (3) This section does not prevent the issue of a single identity card to a 5 person for this Act and other purposes. 6 545 Production or display of identity card 7 (1) In exercising a power under this Act in relation to a person, an 8 investigator must-- 9 (a) produce the investigator's identity card for the person's 10 inspection before exercising the power; or 11 (b) have the identity card displayed so it is clearly visible to the 12 person when exercising the power. 13 (2) However, if it is not practicable to comply with subsection (1), the 14 investigator must produce the identity card for the person's inspection at 15 the first reasonable opportunity. 16 (3) For subsection (1), an investigator does not exercise a power in 17 relation to a person only because the investigator has entered a place as 18 mentioned in section 549(1)(b) or (2).129 19 546 When investigator ceases to hold office 20 (1) An investigator ceases to hold office if any of the following 21 happens-- 22 (a) the term of office stated in a condition of office ends; 23 (b) under another condition of office, the investigator ceases to hold 24 office; 25 (c) the investigator's resignation under section 547 takes effect. 26 (2) Subsection (1) does not limit the ways an investigator may stop 27 holding office. 28 (3) In this section-- 29 129 Section 549 (Power to enter places)

s 547 316 s 549 Legal Profession Bill 2004 "condition of office" means a condition on which the investigator holds 1 office. 2 547 Resignation 3 An investigator may resign by signed notice given to the commissioner. 4 548 Return of identity card 5 A person who ceases to be an investigator must return the person's 6 identity card to the commissioner within 21 days after ceasing to be an 7 investigator unless the person has a reasonable excuse. 8 Maximum penalty--10 penalty units. 9 Division 3--Entry to places 10 549 Power to enter places 11 (1) An investigator may enter a place if-- 12 (a) its occupier consents to the entry; or 13 (b) it is a public place and the entry is made when it is open to the 14 public; or 15 (c) the entry is authorised by a warrant; or 16 (d) it is a place of business where an Australian lawyer is generally 17 engaged in legal practice, other than a residence, and the place is 18 open for carrying on business or otherwise open for entry. 19 (2) For the purpose of asking the occupier of a place for consent to enter, 20 an investigator may, without the occupier's consent or a warrant-- 21 (a) enter land around premises at the place to an extent that is 22 reasonable to contact the occupier; or 23 (b) enter part of the place the investigator reasonably considers 24 members of the public ordinarily are allowed to enter when they 25 wish to contact the occupier. 26 (3) In this section-- 27

s 550 317 s 550 Legal Profession Bill 2004 "place of business" includes a place where a government legal officer is 1 generally engaged in government work. 2 "residence" includes a part of a place of business where a person resides. 3 550 Entry with consent 4 (1) This section applies if an investigator intends to ask an occupier of a 5 place to consent to the investigator or another investigator entering the 6 place under section 549(1)(a). 7 (2) Before asking for the consent, the investigator must tell the 8 occupier-- 9 (a) the purpose of the entry; and 10 (b) that the occupier is not required to consent. 11 (3) If the consent is given, the investigator may ask the occupier to sign 12 an acknowledgment of the consent. 13 (4) The acknowledgment must state-- 14 (a) the occupier has been told-- 15 (i) the purpose of the entry; and 16 (ii) that the occupier is not required to consent; and 17 (b) the purpose of the entry; and 18 (c) the occupier gives the investigator consent to enter the place and 19 exercise powers under this part; and 20 (d) the time and date the consent was given. 21 (5) If the occupier signs the acknowledgment, the investigator must 22 immediately give a copy to the occupier. 23 (6) If-- 24 (a) an issue arises in a proceeding about whether the occupier 25 consented to the entry; and 26 (b) an acknowledgment complying with subsection (4) for the entry 27 is not produced in evidence; 28 the onus of proof is on the person relying on the lawfulness of the entry to 29 prove the occupier consented. 30

s 551 318 s 552 Legal Profession Bill 2004 551 Application for warrant 1 (1) An investigator may apply to a magistrate for a warrant for a place. 2 (2) The investigator must prepare a written application that states the 3 grounds on which the warrant is sought. 4 (3) The written application must be sworn. 5 (4) The magistrate may refuse to consider the application until the 6 investigator gives the magistrate all the information the magistrate requires 7 about the application in the way the magistrate requires. 8 9 Example for subsection (4)-- 10 The magistrate may require additional information supporting the written application to 11 be given by statutory declaration. 552 Issue of warrant 12 (1) The magistrate may issue the warrant for the place only if the 13 magistrate is satisfied there are reasonable grounds for suspecting-- 14 (a) there is a particular thing or activity (the "evidence") that may 15 provide evidence about a matter that is the subject of a complaint 16 or investigation matter that the investigator is investigating under 17 this Act; and 18 (b) the evidence is at the place or, within the next 7 days, will be at 19 the place. 20 (2) The warrant must state-- 21 (a) the place to which the warrant applies; and 22 (b) that a stated investigator may, with necessary and reasonable help 23 and force-- 24 (i) enter the place and another place necessary for entry to the 25 place; and 26 (ii) exercise the investigator's powers under this part; and 27 (c) particulars of the matter that is the subject of the complaint or 28 investigation matter that the magistrate considers appropriate in 29 the circumstances; and 30 (d) the name of the person about whom the complaint is made or 31 who is the subject of the investigation matter, unless the name is 32

s 553 319 s 553 Legal Profession Bill 2004 unknown or the magistrate considers it inappropriate to state the 1 name; and 2 (e) the evidence that may be seized under the warrant; and 3 (f) the hours of the day or night when the place may be entered; and 4 (g) the magistrate's name; and 5 (h) the date and time of the warrant's issue; and 6 (i) the date, within 14 days after the warrant's issue, the warrant 7 ends. 8 553 Application by electronic communication and duplicate warrant 9 (1) An application under section 551130 may be made by phone, fax, 10 email, radio, videoconferencing or another form of electronic 11 communication if the investigator considers it necessary because of-- 12 (a) urgent circumstances; or 13 (b) other special circumstances, including, for example, the 14 investigator's remote location. 15 (2) The application-- 16 (a) may not be made before the investigator prepares the written 17 application under section 551(2); but 18 (b) may be made before the written application is sworn. 19 (3) The magistrate may issue the warrant (the "original warrant") only 20 if the magistrate is satisfied-- 21 (a) it was necessary to make the application under subsection (1); 22 and 23 (b) the way the application was made under subsection (1) was 24 appropriate. 25 (4) After the magistrate issues the original warrant-- 26 (a) if there is a reasonably practicable way of immediately giving a 27 copy of the warrant to the investigator, for example, by sending a 28 copy by fax or email, the magistrate must immediately give a 29 copy of the warrant to the investigator; or 30 130 Section 551 (Application for warrant)

s 553 320 s 553 Legal Profession Bill 2004 (b) otherwise-- 1 (i) the magistrate must tell the investigator the date and time 2 the warrant is issued and the other terms of the warrant; and 3 (ii) the investigator must complete a form of warrant, including 4 by writing on it-- 5 (A) the magistrate's name; and 6 (B) the date and time the magistrate issued the warrant; 7 and 8 (C) the other terms of the warrant. 9 (5) The copy of the warrant mentioned in subsection (4)(a), or the form 10 of warrant completed under subsection (4)(b) (in either case the "duplicate 11 warrant") is a duplicate of, and as effectual as, the original warrant. 12 (6) The investigator must, at the first reasonable opportunity, send to the 13 magistrate-- 14 (a) the written application complying with section 551(2) and (3); 15 and 16 (b) if the investigator completed a form of warrant under 17 subsection (4)(b)--the completed form of warrant. 18 (7) The magistrate must keep the original warrant and, on receiving the 19 documents under subsection (6)-- 20 (a) attach the documents to the original warrant; and 21 (b) give the original warrant and documents to the clerk of the court 22 of the relevant magistrates court. 23 (8) Despite subsection (5), if-- 24 (a) an issue arises in a proceeding about whether an exercise of a 25 power was authorised by a warrant issued under this section; and 26 (b) the original warrant is not produced in evidence; 27 the onus of proof is on the person relying on the lawfulness of the exercise 28 of the power to prove a warrant authorised the exercise of the power. 29 (9) This section does limit section 551. 30 (10) In this section-- 31

s 554 321 s 555 Legal Profession Bill 2004 "relevant magistrates court", in relation to a magistrate, means the 1 Magistrates Court that the magistrate constitutes under the 2 Magistrates Act 1991. 3 554 Defect in relation to a warrant 4 (1) A warrant is not invalidated by a defect in the warrant or in 5 compliance with section 551, 552 or 553131 unless the defect affects the 6 substance of the warrant in a material particular. 7 (2) In this section-- 8 "warrant" includes a duplicate warrant mentioned in section 553(5). 9 555 Warrants--procedure before entry 10 (1) This section applies if an investigator named in a warrant issued 11 under this part for a place is intending to enter the place under the warrant. 12 (2) Before entering the place, the investigator must do or make a 13 reasonable attempt to do the following things-- 14 (a) identify himself or herself to a person present at the place who is 15 an occupier of the place by producing a copy of the investigator's 16 identity card, or having the identity card displayed, as mentioned 17 in section 545(1);132 18 (b) give the person a copy of the warrant; 19 (c) tell the person the investigator is permitted by the warrant to 20 enter the place; 21 (d) give the person an opportunity to allow the investigator 22 immediate entry to the place without using force. 23 (3) However, the investigator need not comply with subsection (2) if the 24 investigator believes that immediate entry to the place is required to ensure 25 the effective execution of the warrant is not frustrated. 26 (4) In this section-- 27 "warrant" includes a duplicate warrant mentioned in section 553(5). 28 131 Section 551 (Application for warrant), 552 (Issue of warrant) or 553 (Application by electronic communication and duplicate warrant) 132 Section 545 (Production or display of identity card)

s 556 322 s 557 Legal Profession Bill 2004 Division 4--Powers of investigators after entry 1 556 General powers of investigator after entering places 2 (1) This division applies to an investigator who enters a place. 3 (2) However if an investigator, under section 549(2),133 enters a place to 4 ask the occupier's consent to enter premises, this division applies to the 5 investigator only if the consent is given or the entry is otherwise 6 authorised. 7 (3) For performing an investigator's function under this Act, an 8 investigator may do any of the following-- 9 (a) search any part of the place; 10 (b) inspect, measure, test, photograph or film any part of the place or 11 anything at the place; 12 (c) take a thing, or a sample of or from a thing, at the place for 13 analysis, measurement or testing; 14 (d) copy, or take an extract from, a document at the place; 15 (e) take into or onto the place any person, equipment and materials 16 the investigator reasonably requires for exercising a power under 17 this division. 18 557 Power to require reasonable help or information 19 (1) An investigator may require the occupier of the place, or a person at 20 the place, to give the investigator-- 21 (a) reasonable help to exercise a power under this part; or 22 (b) information to help the investigator in conducting the 23 investigation. 24 (2) When making a requirement under subsection (1), the investigator 25 must warn the person it is an offence to fail to comply with the requirement 26 unless the person has a reasonable excuse. 27 (3) A person required to give reasonable help under subsection (1)(a), or 28 give information under subsection (1)(b), must comply with the 29 requirement, unless the person has a reasonable excuse. 30 133 Section 549 (Power to enter places)

s 558 323 s 558 Legal Profession Bill 2004 Maximum penalty--100 penalty units. 1 (4) If the person is an individual, it is a reasonable excuse for the person 2 not to comply with the requirement if complying with the requirement 3 might tend to incriminate the person. 4 Division 5--Power of investigators to seize evidence 5 558 Seizing evidence at place entered under s 549 6 (1) An investigator, who enters a place with the consent of the occupier 7 as mentioned in section 549(1)(a), may seize a thing at the place if-- 8 (a) the investigator believes the thing is evidence that is relevant to 9 the investigation being conducted by the investigator; and 10 (b) seizure of the thing is consistent with the purpose of entry as told 11 to the occupier when asking for the occupier's consent. 12 (2) An investigator, who enters a public place as mentioned in 13 section 549(1)(b), may seize a thing at the place if the investigator 14 reasonably believes the thing is evidence that is relevant to the investigation 15 being conducted by the investigator. 16 (3) An investigator, who enters a place under a warrant as mentioned in 17 section 549(1)(c), may seize the evidence for which the warrant was issued. 18 (4) An investigator, who enters a place of business as mentioned in 19 section 549(1)(d), may seize a thing at the place if the investigator 20 reasonably believes the thing is evidence that is relevant to the investigation 21 being conducted by the investigator. 22 (5) The investigator may also seize anything else at the place if the 23 investigator believes-- 24 (a) the thing is evidence of unsatisfactory professional conduct or 25 professional misconduct of an Australian lawyer, misconduct of a 26 law practice employee or an offence against a relevant law; and 27 (b) the seizure is necessary to prevent the thing being hidden, lost or 28 destroyed. 29

s 559 324 s 561 Legal Profession Bill 2004 559 Securing seized things 1 Having seized a thing, an investigator may-- 2 (a) move the thing from the place where it was seized (the "place of 3 seizure"); or 4 (b) leave the thing at the place of seizure but take reasonable action 5 to restrict access to it. 6 7 Examples of restricting access to a thing-- 8 � sealing a thing and marking it to show access to it is restricted 9 � sealing the entrance to a room where the seized thing is situated and 10 marking it to show access to it is restricted. 560 Tampering with seized things 11 If an investigator restricts access to a seized thing, a person must not 12 tamper, or attempt to tamper, with the thing, or something restricting access 13 to the thing, without the investigator's approval. 14 Maximum penalty--100 penalty units. 15 561 Powers to support seizure 16 (1) To enable a thing to be seized, an investigator may require the person 17 in control of it-- 18 (a) to take it to a stated reasonable place by a stated reasonable time; 19 and 20 (b) if necessary, to remain in control of it at the stated place for a 21 reasonable time. 22 (2) The requirement-- 23 (a) must be made by written notice; or 24 (b) if for any reason it is not practicable to give the notice, may be 25 made orally and confirmed by written notice as soon as 26 practicable. 27 (3) A further requirement may be made under this section about the 28 thing if it is necessary and reasonable to make the further requirement. 29

s 562 325 s 563 Legal Profession Bill 2004 (4) A person of whom a requirement is made under subsection (1) or (3) 1 must comply with the requirement, unless the person has a reasonable 2 excuse. 3 Maximum penalty for subsection (4)--100 penalty units. 4 562 Receipt for seized things 5 (1) After an investigator seizes a thing, the investigator must give a 6 receipt for it to the person from whom it was seized. 7 (2) However, if for any reason it is not practicable to comply with 8 subsection (1), the investigator must leave the receipt at the place of seizure 9 in a conspicuous position and in a reasonably secure way. 10 (3) The receipt must describe generally the thing seized and its 11 condition. 12 (4) This section does not apply to a thing if it is impracticable or would 13 be unreasonable to give the receipt having regard to the thing's nature, 14 condition and value. 15 563 Forfeiture of seized things 16 (1) A seized thing is forfeited to the State if the investigator who seized 17 the thing-- 18 (a) can not find its owner, after making reasonable inquiries; or 19 (b) can not return it to its owner, after making reasonable efforts. 20 (2) In applying subsection (1)-- 21 (a) subsection (1)(a) does not require the investigator to make 22 inquiries if it would be unreasonable to make inquiries to find the 23 owner; and 24 (b) subsection (1)(b) does not require the investigator to make efforts 25 if it would be unreasonable to make efforts to return the thing to 26 its owner. 27 28 Example for paragraph (b)-- 29 The owner of the thing has migrated to another country. (3) Regard must be had to a thing's nature, condition and value in 30 deciding-- 31 (a) whether it is reasonable to make inquiries or efforts; and 32

s 564 326 s 567 Legal Profession Bill 2004 (b) if making inquiries or efforts--what inquiries or efforts, 1 including the period over which they are made, are reasonable. 2 564 Dealing with forfeited things etc. 3 (1) On the forfeiture of a thing to the State, the thing becomes the State's 4 property and may be dealt with by the commissioner as the commissioner 5 considers appropriate. 6 (2) Without limiting subsection (1), the commissioner may destroy or 7 dispose of the thing. 8 565 Return of seized things 9 (1) If a seized thing has not been forfeited, the investigator must return it 10 to its owner-- 11 (a) at the end of 6 months; or 12 (b) if a proceeding involving the thing are started within 13 6 months--at the end of the proceeding and any appeal from the 14 proceeding. 15 (2) Despite subsection (1), unless the thing has been forfeited, the 16 investigator must immediately return a thing seized as evidence to its 17 owner if the investigator stops being satisfied its continued retention as 18 evidence is necessary. 19 566 Access to seized things 20 (1) Until a seized thing is forfeited or returned, an investigator must 21 allow its owner to inspect it and, if it is a document, to copy it. 22 (2) Subsection (1) does not apply if it is impracticable or would be 23 unreasonable to allow the inspection or copying. 24 Division 6--General enforcement matters 25 567 Notice of damage 26 (1) This section applies if-- 27

s 568 327 s 568 Legal Profession Bill 2004 (a) an investigator damages property when exercising or purporting 1 to exercise a power; or 2 (b) a person (the "other person") acting under the direction of an 3 investigator damages property. 4 (2) The investigator must promptly give written notice of particulars of 5 the damage to the person who appears to the investigator to be the owner of 6 the property. 7 (3) If the investigator believes the damage was caused by a latent defect 8 in the property or circumstances beyond the investigator's or other 9 person's control, the investigator may state the belief in the notice. 10 (4) If, for any reason, it is impracticable to comply with subsection (2), 11 the investigator must leave the notice in a conspicuous position and in a 12 reasonably secure way where the damage happened. 13 (5) This section does not apply to damage the investigator reasonably 14 believes is trivial. 15 (6) In subsection (2)-- 16 "owner", of property, includes the person in possession or control of it. 17 568 Compensation 18 (1) A person may claim compensation from the commissioner if the 19 person incurs loss or expense because of the exercise or purported exercise 20 of a power under division 3, 4 or 5.134 21 (2) Without limiting subsection (1), compensation may be claimed for 22 loss or expense incurred in complying with a requirement made of the 23 person under division 3, 4 or 5. 24 (3) Compensation may be claimed and ordered to be paid in a 25 proceeding brought in a court with jurisdiction for the recovery of the 26 amount of compensation claimed. 27 (4) A court may order compensation to be paid only if it is satisfied it is 28 fair to make the order in the circumstances of the particular case. 29 134 Division 3 (Entry to places), 4 (Powers of investigators after entry) or 5 (Power of investigators to seize evidence)

s 569 328 s 571 Legal Profession Bill 2004 569 False or misleading information 1 A person must not state anything to an investigator that the person knows 2 is false or misleading in a material particular. 3 Maximum penalty--100 penalty units. 4 570 False or misleading documents 5 (1) A person must not give to an investigator a document containing 6 information the person knows is false or misleading in a material 7 particular. 8 Maximum penalty--100 penalty units. 9 (2) Subsection (1) does not apply to a person who, when giving the 10 document-- 11 (a) informs the investigator, to the best of the person's ability, how it 12 is false or misleading; and 13 (b) gives the correct information to the investigator if the person has, 14 or can reasonably obtain, the correct information. 15 571 Obstructing investigators 16 (1) A person must not obstruct an investigator in the exercise of a power, 17 unless the person has a reasonable excuse. 18 Maximum penalty--100 penalty units. 19 (2) If a person has obstructed an investigator and the investigator decides 20 to proceed with the exercise of the power, the investigator must warn the 21 person that-- 22 (a) it is an offence to obstruct the investigator, unless the person has 23 a reasonable excuse; and 24 (b) the investigator considers the person's conduct is an obstruction. 25 (3) In this section-- 26 "obstruct" includes hinder and attempt to obstruct. 27

s 572 329 s 574 Legal Profession Bill 2004 572 Impersonation of investigators 1 A person must not pretend to be an investigator. 2 Maximum penalty--100 penalty units. 3 Division 7--Provisions about investigations relating to incorporated 4 legal practices 5 573 Definition for ch 7, pt 2, div 7 6 In this division-- 7 "ILP investigator" means any of the following persons who conduct an 8 audit or investigation to which this division applies-- 9 (a) the commissioner; 10 (b) the law society; 11 (c) an investigator other than an investigator appointed because of a 12 nomination by the bar association. 13 574 Application of division to audits and investigations 14 (1) This division applies to each of the following-- 15 (a) an audit conducted under section 107;135 16 (b) an investigation under a relevant law relating to the trust accounts 17 of an incorporated legal practice; 18 (c) an investigation relating to a complaint made under this Act 19 involving legal services provided by an incorporated legal 20 practice, however that complaint is expressed. 21 (2) This section does not limit the powers under chapter 3136 in relation to 22 a legal practitioner director, or an associate, of an incorporated legal 23 practice. 24 (3) A person conducting an audit or investigation to which this division 25 applies may exercise the powers set out in this part for the audit or 26 investigation. 27 135 Section 107 (Commissioner or law society may audit incorporated legal practice) 136 Chapter 3 (Complaints, investigation matters and discipline)

s 575 330 s 575 Legal Profession Bill 2004 (4) For subsection (3), in addition to the matters mentioned in 1 section 552(1),137 a magistrate may issue a warrant for a place if the 2 magistrate is satisfied that an ILP investigator has been unreasonably 3 refused entry to the place for an audit as mentioned in subsection (1)(a) and 4 the provisions of this part about warrants apply with necessary changes. 5 (5) A regulation may provide for how the provisions about warrants 6 apply in relation to the issue of a warrant for an audit, and related matters. 7 575 Examination of persons 8 (1) An ILP investigator has and may exercise the same powers as those 9 conferred on the Australian Securities and Investments Commission by the 10 Australian Securities and Investments Commission Act 2001 (Cwlth), 11 part 3, division 2.138 12 (2) The Australian Securities and Investments Commission Act 2001 13 (Cwlth), part 3, division 2, applies to and in relation to the exercise of those 14 powers with the necessary changes, including the following changes-- 15 (a) a reference to the Australian Securities and Investments 16 Commission, however expressed, is taken to be a reference to an 17 ILP investigator; 18 (b) a reference to a matter that is being or is to be investigated under 19 part 3, division 1139 of that Act is taken to be a reference to a 20 matter that is being or is to be investigated by an ILP 21 investigator; 22 (c) a reference in section 19140 of that Act to a person is taken to be a 23 reference to an Australian legal practitioner or an incorporated 24 legal practice; 25 (d) a reference to an inspector is taken to be a reference to an ILP 26 investigator; 27 137 Section 552 (Issue of warrant) 138 Australian Securities and Investments Commission Act 2001 (Cwlth), part 3 (Investigations and information-gathering), division 2 (Examination of persons) 139 Australian Securities and Investments Commission Act 2001 (Cwlth), part 3 (Investigations and information-gathering), division 1 (Investigations) 140 Australian Securities and Investments Commission Act 2001 (Cwlth), section 19 (Notice requiring appearance for examination)

s 576 331 s 576 Legal Profession Bill 2004 (e) a reference to a prescribed form is taken to be a reference to an 1 approved form that is approved by the commissioner. 2 (3) The Australian Securities and Investments Commission Act 2001 3 (Cwlth), sections 22(2) and (3), 25(2) and (2A), 26 and 27141 do not apply 4 in relation to the exercise of the powers conferred on an ILP investigator 5 under this section. 6 576 Inspection of books 7 (1) An ILP investigator has and may exercise the same powers as those 8 conferred on the Australian Securities and Investments Commission by the 9 Australian Securities and Investments Commission Act 2001 (Cwlth), 10 sections 30(1), 34 and 37 to 39.142 11 (2) Those provisions apply in relation to the exercise of those powers, 12 with the necessary changes, including the following changes-- 13 (a) a reference to the Australian Securities and Investments 14 Commission, however expressed, is taken to be a reference to an 15 ILP investigator; 16 (b) a reference to a body corporate, including a body corporate that 17 is not an exempt public authority, is taken to be a reference to an 18 incorporated legal practice; 19 (c) a reference to an eligible person in relation to an incorporated 20 legal practice is taken to be a reference to an officer or employee 21 of the incorporated legal practice; 22 (d) a reference to a member or staff member is taken to be a 23 reference to the ILP investigator or a person authorised by the 24 ILP investigator who is an officer or employee of the ILP 25 investigator; 26 141 Australian Securities and Investments Commission Act 2001 (Cwlth), sections 22 (Examination to take place in private), 25 (Giving to other persons copies of record), 26 (Copies given subject to conditions) and 27 (Record to accompany report) 142 Australian Securities and Investments Commission Act 2001 (Cwlth), sections 30 (Notice to produce books about affairs of body corporate or registered scheme), 34 (ASIC may authorise persons to require production of books), 37 (Powers where books produced or seized), 38 (Powers where books not produced) and 39 (Power to require person to identify property of body corporate)

s 577 332 s 578 Legal Profession Bill 2004 (e) a reference in section 37 of that Act to a proceeding is taken to be 1 a reference to an audit or investigation to which this division 2 applies or an examination under section 575. 3 577 Power to hold hearings 4 (1) An ILP investigator may hold hearings for the purposes of audit or 5 investigation to which this division applies or an examination under 6 section 575. 7 (2) The Australian Securities and Investments Commission Act 2001 8 (Cwlth), sections 52, 56(1), 58, 59(1), (2), (5), (6) and (8) and 60 9 (paragraph (b) excepted)143 apply in relation to a hearing with any 10 necessary changes, including the following changes-- 11 (a) a reference to the Australian Securities and Investments 12 Commission (however expressed) is taken to be a reference to an 13 ILP investigator; 14 (b) a reference to a member or staff member is taken to be a 15 reference to an ILP investigator, or a person authorised by an ILP 16 investigator who is an officer or employee of the ILP 17 investigator; 18 (c) a reference to a prescribed form is taken to be a reference to a 19 form approved by an ILP investigator. 20 578 Failure to comply with investigation 21 The following acts or omissions are capable of constituting 22 unsatisfactory professional conduct or professional misconduct-- 23 (a) a failure by an Australian legal practitioner to comply with any 24 requirement made by an ILP investigator, or a person authorised 25 by the authority, in the exercise of powers conferred by this 26 division; 27 143 Australian Securities and Investments Commission Act 2001 (Cwlth), sections 52 (General discretion to hold hearing in public or private), 56 (Who may be present when hearing takes place in private), 58 (Power to summon witnesses and take evidence), 59 (Proceedings at hearings) and 60 (ASIC to take account of evidence and submissions)

s 579 333 s 580 Legal Profession Bill 2004 (b) a contravention by an Australian legal practitioner of any 1 condition imposed by an ILP investigator in the exercise of 2 powers conferred by this division; 3 (c) a failure by a legal practitioner director of an incorporated legal 4 practice to ensure that the incorporated legal practice, or any 5 officer or employee of the incorporated legal practice, complies 6 with any of the following-- 7 (i) any requirement made by an ILP investigator, or a person 8 authorised by the ILP investigator, in the exercise of powers 9 conferred by this division; 10 (ii) any condition imposed by an ILP investigator in the exercise 11 of powers conferred by this division. 12 CHAPTER 8--MISCELLANEOUS MATTERS 13 PART 1--JURISDICTION OF THE SUPREME COURT 14 579 Inherent jurisdiction of Supreme Court 15 (1) The inherent jurisdiction and power of the Supreme Court in relation 16 to the control and discipline of local lawyers and local legal practitioners is 17 not affected by anything in this Act. 18 (2) The inherent jurisdiction and power-- 19 (a) extends to an interstate legal practitioner under section 78;144 and 20 (b) may be exercised by making any order that a disciplinary body 21 may make under this Act. 22 580 Jurisdiction of Supreme Court 23 (1) The Supreme Court must hear and decide each application and 24 appeal made to it under this Act and may make the order it considers 25 appropriate for the application or appeal. 26 144 Section 78 (Interstate legal practitioner is officer of Supreme Court)

s 581 334 s 581 Legal Profession Bill 2004 (2) Subsection (1) is subject to a provision that states the orders that may 1 be made by the court on an application or appeal. 2 (3) This section does not limit section 579. 3 (4) An Australian lawyer is entitled to appear before and be heard by the 4 Supreme Court at a hearing about an application or appeal as mentioned in 5 subsection (1) that is made in relation to the lawyer under this Act. 6 581 Injunctions 7 (1) This section applies if a person (the "subject person") has engaged, 8 is engaging or is proposing to engage in conduct that constituted, 9 constitutes or would constitute-- 10 (a) an offence against a relevant law; or 11 (b) attempting to contravene a relevant law; or 12 (c) aiding, abetting, counselling or procuring a person to contravene 13 a relevant law; or 14 (d) inducing or attempting to induce, whether by threats, promises or 15 otherwise, a person to contravene a relevant law; or 16 (e) being in any way, directly or indirectly, knowingly concerned in, 17 or party to, an offence against a relevant law by a person; or 18 (f) conspiring with others to contravene a relevant law. 19 (2) On application by the commissioner or the relevant regulatory 20 authority for the subject person, the Supreme Court may grant an 21 injunction, on terms the court considers appropriate-- 22 (a) restraining the subject person from engaging in the conduct; and 23 (b) if the court considers it desirable to do so--requiring the subject 24 person to do any act or thing. 25 (3) If an application under subsection (2) has been made, the Supreme 26 Court may, if the court decides it to be appropriate, grant an injunction by 27 consent of all the parties to the proceeding, whether or not the court is 28 satisfied that subsection applies. 29 (4) If the Supreme Court considers it desirable to do so, the court may 30 grant an interim injunction pending its decision of an application under 31 subsection (2). 32

s 582 335 s 583 Legal Profession Bill 2004 (5) The Supreme Court may discharge or vary an injunction granted 1 under subsection (2) or (4). 2 (6) The Supreme Court's power to grant an injunction restraining the 3 subject person from engaging in conduct may be exercised whether or 4 not-- 5 (a) it appears to the court that the subject person intends to engage 6 again, or to continue to engage, in conduct of that kind; or 7 (b) the subject person has previously refused or failed to do that act 8 or thing; or 9 (c) there is an imminent danger of substantial damage to anyone if 10 the subject person refuses or fails to do that act or thing. 11 (7) The Supreme Court must not require the commissioner or another 12 person, as a condition of granting an interim injunction, to give an 13 undertaking as to damages. 14 582 Hearing and deciding particular action without a jury 15 (1) This section applies if an action in relation to any description of civil 16 liability arising out of the business of practising as an Australian legal 17 practitioner is before a court and any person who may be made liable in 18 that action is indemnified under a contract of insurance under a relevant 19 law. 20 (2) If, apart from this section, the action may be heard and decided by a 21 jury in that court, the action must be heard and decided by a judge without 22 a jury. 23 PART 2--SUSPECTED OFFENCES, PARTICULAR 24 ASSOCIATES AND OTHER MATTERS 25 583 Duty of relevant entities to report suspected offences 26 (1) This section applies if a relevant entity suspects a person has 27 committed an offence, other than an offence against the Trust Accounts 28 Act 1973 that the relevant entity considers is of a minor nature. 29 (2) The relevant entity must-- 30

s 583 336 s 583 Legal Profession Bill 2004 (a) report the suspected offence to an appropriate authority; and 1 (b) make available to the appropriate authority the documents and 2 information relevant to the suspected offence in the relevant 3 entity's possession or under its control or other documents that, 4 after it has made the report, come into the entity's possession or 5 under its control. 6 (3) However, if the relevant entity suspects only because of an allegation 7 by a person and the suspected offence is not in relation to a relevant law, 8 the relevant entity may advise the person as follows-- 9 (a) that the relevant entity is not going to report the suspected 10 offence to an appropriate authority; 11 (b) that if the person wishes to pursue the matter of the suspected 12 offence, the person should raise it with an appropriate authority. 13 (4) For this section but subject to subsections (5) and (6), it is immaterial 14 how the relevant entity gained the information that caused it to suspect that 15 the person has committed an offence, including whether or not the relevant 16 entity obtained information or a document-- 17 (a) after a complaint or an investigation; or 18 (b) before the commencement of this section. 19 (5) The obligation under subsection (2)(a) does not apply to a suspicion 20 formed on the basis of documents or information that may be subject to 21 privilege, or information derived from documents or information subject to 22 privilege, unless the person to whom the privilege attaches gives written 23 consent to the relevant entity to report the suspected offence under that 24 provision. 25 (6) The obligation under subsection (2)(b) does not apply to documents 26 or information that may be subject to privilege, or information derived 27 from documents or information subject to privilege, unless the person to 28 whom the privilege attaches gives written consent to the relevant entity to 29 make available to the appropriate authority the documents or information 30 under that provision. 31 (7) A relevant entity may apply to the Supreme Court for a declaration as 32 to whether documents or information are subject to privilege. 33 (8) The commissioner must develop guidelines relating to obligations 34 under this section for the commission and for relevant entities. 35 (9) To remove any doubt, it is declared that the relevant entity is not 36 under an obligation to make inquiries for subsection (1) in relation to 37

s 584 337 s 584 Legal Profession Bill 2004 information before it in order to have reasonable grounds about a concern 1 so that the concern is a suspicion about something, or to decide whether the 2 suspicion is correct. 3 (10) In this section-- 4 "appropriate authority" includes the following-- 5 (a) the commissioner of police; 6 (b) the Crime and Misconduct Commission; 7 (c) the director of public prosecutions; 8 (d) the chief executive of a department in which a government legal 9 officer is employed; 10 (e) a person in another jurisdiction corresponding to a person 11 mentioned in paragraph (a), (b), (c) or (d). 12 "offence" means an offence against either of the following-- 13 (a) an Act; 14 (b) a law of the Commonwealth or another jurisdiction. 15 "privilege" means legal professional privilege or another privilege. 16 "relevant entity" means-- 17 (a) the commissioner; or 18 (b) a regulatory authority. 19 584 Associate who is proscribed person or has been convicted of 20 serious offence etc. 21 (1) A local legal practitioner must not have a person as an associate if the 22 practitioner knows the person is either of the following unless the associate 23 is approved by the relevant regulatory authority-- 24 (a) a proscribed person; 25 (b) a person who has been convicted of a serious offence and does 26 not hold a current local practising certificate or current interstate 27 practising certificate. 28 (2) A contravention of subsection (1) is capable of constituting 29 unsatisfactory professional conduct or professional misconduct. 30

s 584 338 s 584 Legal Profession Bill 2004 (3) The relevant regulatory authority may, on application, approve an 1 associate for the purposes of this section. 2 (4) An approval under this section may be subject to specified 3 conditions. 4 (5) If the regulatory authority refuses an application mentioned in 5 subsection (3) or imposes a condition on the approval-- 6 (a) the authority must give the applicant an information notice about 7 the decision to refuse the application or to impose the condition; 8 and 9 (b) the applicant may appeal to the Supreme Court against the 10 refusal or imposition of the condition within 28 days after the 11 day the information notice is given to the applicant. 12 (6) A proscribed person, or a person convicted of a serious offence, must 13 not seek to become an associate of a local legal practitioner unless the 14 person first informs the practitioner that the person is a proscribed person 15 or about the conviction. 16 Maximum penalty--200 penalty units. 17 (7) In this section-- 18 "associate", of a local legal practitioner, means-- 19 (a) a person, other than an Australian legal practitioner, who is a 20 partner of the local legal practitioner in a business that includes 21 the local legal practitioner's practice; or 22 (b) a person, other than an Australian legal practitioner, who shares 23 the receipts of the local legal practitioner's practice; or 24 (c) a person who is an employee of the local legal practitioner's 25 practice. 26 "proscribed person" means either of the following-- 27 (a) a person whose name has been removed from an Australian roll, 28 whether before or after the commencement of this definition, 29 other than a roll switcher; 30 (b) a person who is currently suspended from legal practice in 31 Australia. 32 "roll switcher" means-- 33 (a) a person whose name was, before the commencement of this 34 definition, removed from the roll of barristers at the person's 35

s 585 339 s 585 Legal Profession Bill 2004 request in order for the person's name to be added to the roll of 1 solicitors; or 2 (b) a person whose name was, before the commencement of this 3 definition, removed from the roll of solicitors at the person's 4 request in order for the person's name to be added to the roll of 5 barristers. 6 585 Executive officers must ensure corporation complies with Act 7 (1) The executive officers of a corporation must ensure that the 8 corporation complies with this Act. 9 (2) If a corporation commits an offence against a provision of this Act, 10 each of the executive officers of the corporation also commits an offence, 11 namely, the offence of failing to ensure that the corporation complies with 12 the provision. 13 Maximum penalty--the penalty for the contravention of the provision by a 14 person or, if the penalty is expressed to be for this section, the expressed 15 penalty. 16 (3) Evidence that the corporation has been convicted of an offence 17 against a provision of this Act is evidence that each of the executive 18 officers committed the offence of failing to ensure that the corporation 19 complies with the provision. 20 (4) However, it is a defence for an executive officer to prove that-- 21 (a) if the officer was in a position to influence the conduct of the 22 corporation in relation to the offence--the officer took all 23 reasonable steps to ensure the corporation complied with the 24 provision; or 25 (b) the officer was not in a position to influence the conduct of the 26 corporation in relation to the offence. 27 (5) For subsection (4)(a), it is sufficient for the executive officer to prove 28 that the act or omission that was the offence was done or made without the 29 officer's knowledge despite the officer having taken all reasonable steps to 30 ensure the corporation complied with the provision. 31 (6) This section applies to a person who is an executive officer of a 32 corporation that is an incorporated legal practice and a legal practitioner 33 director of the practice in addition to any other provision that applies to the 34 person in the person's capacity as a legal practitioner director of that 35 practice. 36

s 586 340 s 589 Legal Profession Bill 2004 (7) A defence available to a person under this section is available to a 1 person mentioned in subsection (6) in the person's capacity as an executive 2 officer but not in the person's capacity as a legal practitioner director. 3 (8) In this section-- 4 "executive officer", for a corporation, means any person, by whatever 5 name called and whether or not the person is a director of the 6 corporation, who is concerned, or takes part, in the management of the 7 corporation. 8 586 Offences are summary offences 9 An offence against this Act is a summary offence. 10 587 Limitation on time for starting summary proceeding 11 A proceeding for a summary offence against this Act by way of 12 summary proceeding under the Justices Act 1886 must start-- 13 (a) within 1 year after the commission of the offence; or 14 (b) within 6 months after the offence comes to the complainant's 15 knowledge, but within 2 years after the commission of the 16 offence. 17 588 Appointments and authority 18 The following must be presumed unless a party to the proceeding under 19 a relevant law, by reasonable notice, requires proof of it-- 20 (a) the appointment of the Minister, the chief executive, the 21 commissioner, a panel member, a committee member, a member 22 of the board, a registrar, the Brisbane registrar or an investigator; 23 (b) the authority of a person mentioned in paragraph (a) or the law 24 society or bar association to do anything under this Act. 25 589 Signatures 26 A signature purporting to be that of any of the following persons is 27 evidence of the signature that it purports to be-- 28 (a) the Minister; 29

s 590 341 s 591 Legal Profession Bill 2004 (b) the chief executive; 1 (c) the commissioner; 2 (d) a tribunal member; 3 (e) the chairperson or deputy chairperson of the committee; 4 (f) the chairperson of the board; 5 (g) the Brisbane registrar or another registrar; 6 (h) an investigator; 7 (i) the President of the law society or the bar association. 8 590 Evidentiary aids--documents 9 A document purporting to be a copy of a person's admission under this 10 Act as a legal practitioner, a person's practising certificate or another 11 document about a person made or given under this Act, is evidence of the 12 admission, practising certificate or other document and of the matters 13 contained in it. 14 PART 3--OTHER MATTERS 15 591 Information sharing among entities with functions under Act 16 (1) This section applies to each of the following (each of which is an 17 "entity")-- 18 (a) the board; 19 (b) the law society; 20 (c) the bar association; 21 (d) the commissioner. 22 (2) An entity that holds a document or information (the "information 23 holder") about a person may allow another entity (the "information 24 seeker") access to the document or give the information to the information 25 seeker if-- 26

s 592 342 s 592 Legal Profession Bill 2004 (a) the information holder considers allowing the access or giving 1 the information is consistent with the information holder's or 2 information seeker's functions under a relevant law; and 3 (b) allowing the access or giving the information is done under a 4 written arrangement between the information holder and 5 information seeker as mentioned in subsection (3). 6 (3) An entity must have a written arrangement with another entity 7 providing for the way in which the entity, as an information holder, and its 8 officers may, under subsection (2), allow access to a document or give 9 information to the other entity, as an information seeker, and its officers. 10 (4) Despite subsection (2), the information holder may not allow access 11 to a suitability report about a person, or give information about a person in 12 a suitability report, in contravention of section 538(1).145 13 14 Note-- 15 Section 538 states when the board or a regulatory authority may disclose a suitability 16 report or information in a suitability report. (5) This section does not limit a provision of this Act that expressly 17 allows an entity to give stated information to another entity, including, for 18 example, a report of an audit as mentioned in section 107.146 19 592 Offence of improper disclosure of information 20 (1) A person who discloses information obtained in the administration of 21 this Act commits an offence, unless the disclosure is-- 22 (a) authorised or required by this Act or another Act; or 23 (b) made in connection with the administration of this Act; or 24 (c) made with the consent of the person to whom the information 25 relates; or 26 (d) made in connection with a legal proceeding under a relevant law 27 or any report of a proceeding, including a proceeding before a 28 disciplinary body relating to a discipline application; or 29 (e) made with other lawful excuse. 30 Maximum penalty--200 penalty units. 31 145 Section 538 (Confidentiality of suitability report) 146 Section 107 (Commissioner or law society may audit incorporated legal practice)

s 593 343 s 593 Legal Profession Bill 2004 (2) For the purposes of and without limiting subsection (1), a person who 1 receives information directly or indirectly from a corresponding authority 2 is taken to have obtained the information in the administration of this Act. 3 (3) This section does not apply to the following disclosures of 4 information-- 5 (a) a disclosure that does not identify or help in identifying-- 6 (i) a complainant; or 7 (ii) an Australian legal practitioner or law practice employee, 8 who is the subject of a complaint or an investigation matter, 9 or a law practice that employs the legal practitioner or 10 employee; or 11 (iii) a person associated with the complainant, Australian legal 12 practitioner, law practice employee or law practice; 13 (b) a disclosure by an investigator to the commissioner and, if the 14 investigator was nominated by a regulatory authority, to the 15 regulatory authority. 16 (4) This section is not limited by another provision of this Act-- 17 (a) allowing an entity to disclose information; or 18 (b) requiring an entity to protect information. 19 (5) In this section-- 20 "Australian legal practitioner" means a person to whom chapter 3 21 applies as mentioned in section 248.147 22 593 Protection from liability 23 (1) An Act official is not civilly liable to someone for an act done, or 24 omission made, honestly and without negligence under this Act. 25 (2) If subsection (1) prevents a civil liability attaching to an Act official, 26 the liability attaches instead to the State. 27 147 Section 248 (Application of chapter to lawyers, former lawyers and former practitioners)

s 594 344 s 594 Legal Profession Bill 2004 (3) This section does not apply to an act done, or omission made, for 1 which liability is excluded under section 300, 448 or 472.148 2 (4) In this section-- 3 "Act official" means-- 4 (a) the commissioner or the staff of the commission; or 5 (b) an investigator involved in the conduct of an audit or 6 investigation under chapter 3;149 or 7 (c) a disciplinary body, any member of the disciplinary body or a 8 panel member; or 9 (d) the Brisbane registrar and other registrars; or 10 (e) a mediator to whom a matter is referred under chapter 3; or 11 (f) a regulatory authority; or 12 (g) an external intervener; or 13 (h) a member of the staff of an entity mentioned in paragraphs (b) 14 to (g). 15 "civil liability" includes a liability for the payment of costs ordered to be 16 paid in a proceeding for an offence against this Act. 17 594 Approved forms 18 (1) A form may be approved under this Act. 19 (2) The form may be approved by-- 20 (a) if the form is to be used for an application to or another purpose 21 relating to the Supreme Court--the rules committee within the 22 meaning of the Supreme Court of Queensland Act 1991, 23 section 118C;150 or 24 (b) if the form is to be used for an application to or another purpose 25 relating to a disciplinary body--the body; or 26 148 Section 300 (Liability for publicising disciplinary action), 448 (Protection of members etc.) or 472 (Protection of members etc.) 149 Chapter 3 (Complaints, investigation matters and discipline) 150 Supreme Court of Queensland Act 1991, section 118C (Rules Committee)

s 595 345 s 595 Legal Profession Bill 2004 (c) if the form is to be used for an application to or another purpose 1 relating to a regulatory authority, however described--the 2 regulatory authority; or 3 (d) if the form is to be used for a purpose relating to the 4 commissioner--the commissioner; or 5 (e) if the form is to be used for an application to or another purpose 6 relating to the board--the board; or 7 (f) if the form is to be used in relation to a matter dealt with under 8 chapter 2, part 8151--the chief executive. 9 (3) If a provision provides that an approved form may provide for a 10 matter, however expressed, the provision does not limit other matters that 11 may be included in the form. 12 (4) Subsection (2) is subject to a provision that expressly provides who 13 may approve a form. 14 595 Regulation-making power 15 (1) The Governor in Council may make regulations under this Act. 16 (2) Without limiting subsection (1), a regulation may be made-- 17 (a) authorising the Brisbane registrar to give to a regulatory 18 authority of this jurisdiction or another jurisdiction the date of a 19 person's admission under this Act as a legal practitioner and 20 other relevant information about the person's admission; and 21 (b) imposing a penalty, not exceeding 20 penalty units, for a 22 contravention of a regulation; and 23 (c) providing for fees; and 24 (d) allowing a law practice that is a sole practitioner to continue to 25 engage in legal practice after the death of the sole practitioner 26 and applying the provisions of this Act to the law practice and the 27 employees of that practice. 28 (3) A regulation mentioned in subsection (2)(c) may be made-- 29 151 Chapter 2 (Engaging in legal practice other than by Australian-registered foreign lawyers), part 8 (Financial arrangements for those who may engage in legal practice in this jurisdiction)

s 596 346 s 597 Legal Profession Bill 2004 (a) prescribing fees and costs payable as mentioned in the 1 regulation, including, for example, fees and costs payable for 2 matters dealt with by the Supreme Court or an entity established 3 under this Act; and 4 (b) providing for the refund or remission of fees and costs. 5 (4) A regulation may provide that a contravention of the regulation is 6 capable of constituting unsatisfactory professional conduct or professional 7 misconduct of the person who has contravened. 8 (5) Also, a regulation may be made about a matter for which a regulatory 9 authority may make a rule and, if a regulation provides for a matter the 10 regulation, to the extent of any inconsistency, prevails. 11 PART 4--AMENDMENT OF ACTS 12 596 Acts amended in sch 1 13 Schedule 1 amends the Acts mentioned in it. 14 PART 5--TRANSITIONAL, SAVINGS AND REPEAL 15 PROVISIONS 16 Division 1--Definitions for ch 8, pt 5 17 597 Definitions for ch 8, pt 5 18 In this part-- 19 "Legal Practitioners Act" means the Legal Practitioners Act 1995. 20 "Queensland Law Society Act" means the Queensland Law Society 21 Act 1952. 22

s 598 347 s 599 Legal Profession Bill 2004 Division 2--Transitional provisions relating to ch 2, pt 2 (Reservation of 1 legal work and related matters) 2 598 Act or omission that happened before the commencement may be 3 relevant to an offence under ch 2, pt 2 4 (1) Without limiting the Acts Interpretation Act 1954, section 20C,152 an 5 act or omission that happened before the commencement of this section 6 may be relevant to a proceeding relating to a contravention of section 24 7 or 25.153 8 (2) Also, an act or omission that happened before that commencement 9 may be relevant to whether conduct after that commencement is 10 unsatisfactory professional conduct or professional misconduct. 11 (3) In this section-- 12 "contravention" includes an alleged contravention. 13 599 Offences committed before the commencement 14 (1) The law society may continue or complete a proceeding that the 15 council of the society started before the commencement of this section 16 under the Queensland Law Society Act, section 5D154 but the law society 17 must not start a proceeding under that section after the commencement. 18 (2) If the law society had investigated a matter but had not started a 19 proceeding in relation to the matter before the commencement of this 20 section, and the law society considers the matter should be dealt with by 21 the commissioner under subsection (3), the law society must give to the 22 commissioner all reports of its investigations for the matter and relevant 23 evidence. 24 152 Acts Interpretation Act 1954, section 20C (Creation of offences and changes in penalties) 153 Section 24 (Prohibition on engaging in legal practice when not entitled) or 25 (Prohibition on representing or advertising entitlement to engage in legal practice when not entitled) 154 Queensland Law Society Act 1952, section 5D (Institution of proceedings by council)

s 600 348 s 600 Legal Profession Bill 2004 (3) The commissioner may start a proceeding under the Legal 1 Practitioners Act, section 19155 in relation to a contravention of that section 2 that happened before the repeal of that section. 3 (4) This section does not limit the Acts Interpretation Act 1954, 4 section 42.156 5 Division 3--Transitional provisions relating to ch 2, pt 3 (Admission of 6 legal practitioners) 7 600 Application for admission made before commencement but not 8 heard by Supreme Court before commencement 9 (1) This section applies to each of the following (each of which is an 10 "existing application")-- 11 (a) an application for admission as a barrister or as a solicitor made 12 by a person before the commencement of this section that has not 13 been heard by the Supreme Court before the commencement; 14 (b) a motion before the commencement by a person under the Legal 15 Practitioners Act, section 41 or 42,157 as in force at the time of the 16 motion, that has not been dealt with by the court before the 17 commencement. 18 (2) The existing application is to be dealt with by the court and the board 19 as an application for admission under section 32,158 including, for example, 20 accepting any advertising done in relation to an existing application as 21 advertising under this Act. 22 (3) However, if the fees for an application for admission under section 32 23 are more than the fees for the existing application and the applicant has 24 paid the fees for the existing application, no more fees are payable for the 25 existing application. 26 (4) Suitability matters in relation to a person may be considered in 27 relation to an existing application. 28 155 Legal Practitioners Act, section 19 (Conveyancing how prohibited) 156 Acts Interpretation Act 1954, section 42 (Any person may prosecute etc.) 157 Legal Practitioners Act, section 41 (Admission of certain solicitors as barristers) or 42 (Admission of certain barristers as solicitors) 158 Section 32 (Application for admission under this Act as a legal practitioner)

s 601 349 s 603 Legal Profession Bill 2004 601 References in other Acts to applicant for admission as a barrister 1 or as a solicitor 2 In an Act, a reference to an applicant or application for admission as a 3 barrister or for admission as a solicitor, whether or not by reference to the 4 admission rules, is a reference to an applicant or application for admission 5 as a legal practitioner. 6 Division 4--Transitional provisions relating to ch 2, pt 4 (Legal Practice 7 by Australian legal practitioners) 8 602 Purpose of div 4 9 (1) The main purpose of this division is to ensure the transition from the 10 system operating in Queensland immediately before the commencement of 11 this section to the system after the commencement, namely-- 12 (a) solicitors were required to hold practising certificates under the 13 Queensland Law Society Act, as in force immediately before the 14 commencement, that were issued, generally speaking, for a 15 financial year; and 16 (b) barristers were not required to hold practising certificates. 17 (2) The main purpose is to be achieved by making different 18 arrangements for solicitors and barristers, including a provision that 19 requires a practising certificate, issued under the Queensland Law Society 20 Act as in force before the commencement, for the financial year starting on 21 1 July 2004 to be taken to be a local practising certificate under this Act. 22 603 Actions before commencement that continue to have effect 23 (1) This section applies to an action taken, however described, by-- 24 (a) the law society, or its council or secretary, in relation to a person 25 or the person's practising certificate before the commencement 26 of this section, other than an action dealt with in another section 27 of this division; or 28 29 Examples of actions for paragraph (a)-- 30 � the grant of a practising certificate or the renewal of a person's 31 practising certificate 32 � the imposition of a condition on a person's practising certificate as 33 granted or issued

s 603 350 s 603 Legal Profession Bill 2004 1 � the cancellation or suspension of a person's practising certificate. (b) the solicitor's complaints tribunal or the clerk of the tribunal in 2 relation to a person whether the tribunal's or clerk's action is 3 taken before or after that commencement. 4 5 Example of actions for paragraph (b)-- 6 The tribunal orders that the practitioner be suspended from practice or pays 7 an amount of money. (2) The action, and any rights or entitlements the person has in relation 8 to that action, continue to have effect under this Act subject to-- 9 (a) any conditions stated in a document by which the action was 10 taken in relation to the person, or in a notice given to the person 11 about the action; and 12 (b) this Act. 13 14 Examples for subsection (2)-- 15 1. A practising certificate issued under the Queensland Law Society Act for the 16 financial year starting on 1 July 2004 is taken to be a local practising certificate 17 under this Act. 18 2. If a person's practising certificate is cancelled before the commencement and the 19 person had a right of appeal against that decision before the commencement, the 20 person may appeal under this Act. (3) To the extent of any inconsistency among provisions applying to the 21 action, this Act prevails. 22 (4) For subsections (2) and (3)-- 23 (a) if the action, right or entitlement involves an appeal to the 24 Supreme Court or a proceeding before the court was started 25 before the commencement--without limiting the power of the 26 Supreme Court, the court may direct how that action, right, 27 entitlement or proceeding should be continued; or 28 (b) otherwise--a regulation made under section 643159 may provide 29 for the way the action, right or entitlement is to continue under 30 this Act. 31 (5) In this section-- 32 "action" includes appointment of a costs assessor, cancellation or 33 suspension of a practising certificate, decision and order. 34 159 Section 643 (Transitional regulation-making power)

s 604 351 s 605 Legal Profession Bill 2004 604 Applications to law society outstanding at the commencement 1 (1) This section applies if a person has applied for a grant or renewal of a 2 practising certificate under the Queensland Law Society Act, as in force 3 immediately before the commencement of this section, but the law society 4 did not, before the commencement-- 5 (a) grant or renew the practising certificate; or 6 (b) give the person notice that the person's application is refused. 7 (2) The law society must continue to deal with the application under the 8 Queensland Law Society Act as in force immediately before the 9 commencement. 10 (3) For subsection (2), a provision of the Queensland Law Society Act as 11 in force immediately before the commencement that is repealed, and rules 12 made under that Act, continue to have effect. 13 (4) To remove any doubt, it is declared that any appeal about a decision 14 in relation to an application, or refusal of an application, that is not started 15 before the commencement is to be dealt with under this Act as mentioned 16 in section 603(2). 17 (5) For an application under section 48160 by a person who was a solicitor 18 immediately before the commencement, if the person applies to the law 19 society for the grant of a practising certificate, the person is an Australian 20 legal practitioner at the time the person makes the application as mentioned 21 in section 48(2)(b). 22 605 Barristers 23 (1) Sections 603 and 604 do not affect the bar association and applicants 24 to the bar association in relation to practising certificates to be granted by 25 the bar association. 26 (2) Sections 24 and 25161 do not apply to a person who, immediately 27 before the commencement of this section, lawfully engaged in legal 28 practice in this jurisdiction as a barrister, if the person-- 29 160 Section 48 (Application for grant or renewal of local practising certificate) 161 Sections 24 (Prohibition on engaging in legal practice when not entitled) and 25 (Prohibition on representing or advertising entitlement to engage in legal practice when not entitled)

s 606 352 s 606 Legal Profession Bill 2004 (a) has applied to the bar association for a practising certificate 1 within 14 days after the commencement of this section; and 2 (b) the person engages in legal practice only to the extent that a 3 person who is a barrister under this Act could engage in legal 4 practice in this jurisdiction under this Act. 5 (3) Until subsection (2) expires under subsection (4), the person is taken 6 to be the holder of a current practising certificate from the bar association. 7 (4) Subsections (2) and (3) expire 6 months after this section 8 commences. 9 (5) For an application under section 48162 by a person who was a 10 barrister immediately before the commencement, if the person applies to 11 the bar association for the grant of a practising certificate, the person is an 12 Australian legal practitioner at the time the person makes the application as 13 mentioned in section 48(2)(b). 14 606 Professional indemnity insurance as mentioned in s 50(3) 15 (1) This section applies until a regulation commences that states the 16 requirements for professional indemnity insurance complying with this 17 Act, as mentioned in section 50(3).163 18 (2) For a practising certificate granted or renewed by the law society, 19 indemnity insurance under the indemnity rule as in force immediately 20 before the commencement of this section is the professional indemnity 21 insurance that complies with this Act as required by section 50(3).164 22 (3) For a practising certificate granted or renewed by the bar association, 23 insurance of a kind approved or arranged by the bar association before the 24 commencement is the professional indemnity insurance that complies with 25 this Act as required by section 50(3). 26 (4) To remove any doubt, it is declared that a barrister must be covered 27 by professional indemnity insurance that complies with this Act as required 28 by section 50(3) on and after the commencement. 29 162 Section 48 (Application for grant or renewal of local practising certificate) 163 Section 50 (Professional indemnity insurance) 164 Section 50 (Professional indemnity insurance)

s 607 353 s 609 Legal Profession Bill 2004 Division 5--Transitional provisions relating to ch 2, pt 7 (Fidelity cover) 1 607 Amounts payable to and from the fidelity fund before 2 commencement 3 (1) This section applies to an amount that was payable into, or was 4 payable from, the fidelity fund as it existed immediately before the 5 commencement of this section. 6 (2) If the amount is payable into the fidelity fund and is received by the 7 law society after the commencement, the amount must be paid into the 8 fidelity fund. 9 (3) If the amount was payable from the fidelity fund before the 10 commencement but was not paid before the commencement, it may be paid 11 from the fidelity fund after the commencement. 12 (4) Also, if an amount becomes payable in relation to a default 13 happening before the commencement, the amount may be paid from the 14 fidelity fund after the commencement. 15 (5) For subsection (4), "default" has the meaning applicable at the time 16 that the act or omission constituting the default happened. 17 608 Delegation to committee of management before commencement 18 (1) This section applies to a delegation as mentioned in the Queensland 19 Law Society Act, section 18, as in force immediately before the repeal of 20 that section. 21 (2) Despite section 154,165 the delegation continues to have effect as if it 22 were a valid delegation under this Act by the law society to the persons 23 who constituted the committee of management immediately before the 24 commencement and may be amended by the law society. 25 (3) Also, the delegation may be revoked by the law society. 26 609 Claims for acts or omissions happening before commencement 27 (1) If a person made a claim against the fidelity fund as it existed before 28 the commencement of this section in relation to an act or omission also 29 165 Section 154 (Law society may delegate its powers in relation to the fidelity fund to a committee of management)

s 610 354 s 610 Legal Profession Bill 2004 before the commencement, the claim is to be dealt with under the repealed 1 part and the law governing the liability of the fidelity fund, and the amount 2 of the reimbursement, is the law as in force immediately before the 3 commencement. 4 (2) If the person did not made a claim against the fidelity fund as it 5 existed before the commencement in relation to an act or omission also 6 before the commencement, the claim may be made under this Act but the 7 law governing the liability of the fidelity fund, and the amount of the 8 reimbursement, is the law as in force immediately before the 9 commencement. 10 (3) To remove any doubt, it is declared that the liability of the fidelity 11 fund and the amount of the reimbursement is not affected by provisions of 12 chapter 2, part 7 that provide that part 7 does not apply to defaults 13 mentioned in that provision. 14 (4) However if section 183166 applies, the amount of a reimbursement 15 may be dealt with in the same way as a payment from the fidelity fund after 16 the commencement. 17 (5) In this section-- 18 "repealed part" means the Queensland Law Society Act, part 3,167 as in 19 force immediately before the commencement. 20 Division 6--Transitional provisions relating to ch 2, pt 9 (Rules about 21 those who may engage in legal practice in this jurisdiction) 22 610 Continuation of rules of the law society 23 (1) This section applies to the rules of the law society as in force 24 immediately before the commencement of this section, including rules 25 made under the Queensland Law Society Act, section 5A or 46,168 as in 26 force immediately before the commencement, including the indemnity 27 rules. 28 166 Section 183 (Sufficiency of fidelity fund) 167 Queensland Law Society Act, part 3 (Legal Practitioners' Fidelity Guarantee Fund) 168 Queensland Law Society Act, section 5A (Rules) or 46 (Governor in Council may make rules for purposes of this Act)

s 611 355 s 611 Legal Profession Bill 2004 (2) The rules continue to have effect as subordinate legislation made 1 under this Act even if the rules would have otherwise expired under the 2 Statutory Instruments Act 1992. 3 (3) Despite the Queensland Law Society Rules 1987, rule 100(4) as it 4 continues to have effect under subsection (1)(a), there is no need for a 5 certificate issued after the commencement, and signed by autographical or 6 mechanical means, as mentioned in that rule, to be initialled by the 7 secretary or deputy secretary in order for that certificate to have full force 8 and be valid. 9 (4) A regulation made under section 643169 may provide for the way a 10 particular provision of the rules operates under this Act. 11 (5) Also, a regulation made under section 643 may repeal all or part of 12 the rules that continue to have effect under this section. 13 14 Note-- 15 When a legal profession rule, administration rule or law society rule is made about a 16 matter, a regulation may be made repealing a provision of the rules that is continued 17 and deals with that matter. (6) The rules made under the Queensland Law Society Act, section 18 5A(1)(ha), as in force immediately before the commencement of this 19 subsection and known as the indemnity rules do not stop having effect on 20 30 June 2004 but continue to have effect, despite section 5A(9) of that Act. 21 611 Bar association rules 22 (1) This section applies to the bar association in relation to it making a 23 recommendation as mentioned in section 220(2).170 24 (2) The bar association need not comply with section 222171 in relation to 25 a recommendation to make a rule that is a remaking of the bar association's 26 rules as in force immediately before the commencement of this section, 27 with only necessary changes, if the President of the bar association advises 28 the Minister in writing to that effect. 29 (3) This section expires 3 months after its commencement. 30 169 Section 643 (Transitional regulation-making power) 170 Section 220 (Recommendations to the Minister about legal profession rules) 171 Section 222 (Public notice of proposed legal profession rule)

s 612 356 s 612 Legal Profession Bill 2004 Division 7--Transitional provisions relating to ch 3 (Complaints, 1 investigation matters and discipline) 2 612 Complaints made to the council before commencement but not 3 finally dealt with before that time 4 (1) This section applies to a complaint that-- 5 (a) was made by a person to the council under the Queensland Law 6 Society Act, section 5E as in force before the commencement of 7 this section; and 8 (b) has not been withdrawn or finally dealt with in a way mentioned 9 in section 5J of that Act before the commencement. 10 (2) The complaint is a complaint under this Act and the commissioner 11 may deal with it in a way that the commissioner considers appropriate. 12 (3) For subsection (2), the council must give to the commissioner-- 13 (a) written notice about each complaint; and 14 (b) if the commissioner, by written notice to the council, asks for a 15 copy of a particular complaint or other documents that the 16 council possesses relating to a complaint--a copy of the 17 complaint or documents. 18 (4) The law society must give the commissioner access to any complaint, 19 and documents relating to a complaint. 20 (5) The commissioner may refer a complaint to the law society under 21 section 265172 unless the complaint relates to a government legal officer 22 engaged in government work. 23 (6) This section is subject to the Queensland Law Society Act, 24 sections 5EA and 5P.173 25 172 Section 265 (Referral by commissioner to law society or bar association) 173 Queensland Law Society Act, sections 5EA (Complaints after commencement) and 5P (Application of part)

s 613 357 s 614 Legal Profession Bill 2004 613 Complaints made to the legal ombudsman before commencement 1 but not finally dealt with before that time 2 (1) This section applies to a complaint made by a person to the legal 3 ombudsman within the meaning of the Queensland Law Society Act, as 4 mentioned in section 6AF(1)(b) of that Act. 5 (2) If the complaint has not been finally dealt with before the 6 commencement of this section, on that commencement the complaint is a 7 complaint under this Act and the commissioner may deal with it in a way 8 that the commissioner considers appropriate. 9 614 Basis of complaint mentioned in ss 256 or 613(2) 10 (1) This section applies to the following-- 11 (a) a complaint made after the commencement of this section in 12 relation to conduct of an Australian lawyer or a law practice 13 employee that happened before that commencement; 14 (b) a complaint mentioned in section 613(2). 15 (2) The complaint is to be dealt with under this Act. 16 (3) For subsection (2), in relation to the conduct of an Australian lawyer 17 who was a solicitor at the time the conduct happened, references in this Act 18 to unsatisfactory professional conduct and professional misconduct are to 19 be read as if they were defined as follows-- 20 "professional misconduct" means professional misconduct or malpractice 21 within the meaning of the Queensland Law Society Act. 22 "unsatisfactory professional conduct" means unprofessional conduct or 23 practice within the meaning of the Queensland Law Society Act. 24 (4) For subsection (2), in relation to the conduct of an Australian lawyer 25 who was a barrister at the time the conduct happened, references in this Act 26 to unsatisfactory professional conduct and professional misconduct are to 27 be read as if they were defined as follows-- 28 "professional misconduct" means professional misconduct according to 29 the law applied by the Supreme Court when exercising its inherent 30 jurisdiction to deal with the conduct of a barrister before the 31 commencement of this section. 32 "unsatisfactory professional conduct" means unsatisfactory professional 33 conduct according to the law applied by the Supreme Court when 34

s 615 358 s 615 Legal Profession Bill 2004 exercising its inherent jurisdiction to deal with the conduct of a 1 barrister before the commencement of this section. 2 Division 8--Transitional provisions relating to matters that are to 3 continue as external interventions under ch 4 (External intervention) 4 615 Continuation of appointment under the Queensland Law Society 5 Act, repealed pt 2C to continue as appointment under ch 4 6 (1) The purpose of this section is to provide for the continuation of the 7 appointment of a person appointed under repealed part 2C involving the 8 law practice of a legal practitioner (however the appointment is expressed) 9 if the appointment had not ended before the commencement. 10 (2) If the person was appointed under repealed section 10, the person is 11 taken to be appointed as a supervisor of trust money received by the law 12 practice in relation to which the appointment was made. 13 (3) If the person is appointed under repealed section 11, the law society 14 must give the person a written direction stating whether the person is taken 15 to be appointed as a supervisor of trust money received by the law practice, 16 or is taken to be appointed as the manager for the law practice, in relation 17 to which the appointment was made. 18 (4) If the law society gives the person a written notice stating the person 19 is taken to be appointed as a supervisor of trust money received by the law 20 practice, the person is taken to be appointed as a supervisor of trust money 21 received by the law practice in relation to which the appointment was 22 made. 23 (5) If the law society gives the person a written notice stating the person 24 is taken to be appointed as the manager for the law practice, the person is 25 taken to be appointed as the manager for the law practice in relation to 26 which the appointment was made. 27 (6) If the person is appointed under repealed section 11A, the person is 28 taken to be appointed as a receiver for the law practice in relation to which 29 the appointment was made. 30 (7) For subsections (2) to (6), the law society may give written 31 directions, or further written directions, to a person about how the person 32 may proceed under this Act as a supervisor, manager or receiver for the 33 relevant law practice. 34

s 616 359 s 616 Legal Profession Bill 2004 (8) A direction may be given under subsection (7) even if the Supreme 1 Court appointed the person under repealed part 2C, but subsection (5) does 2 not prevent a person making an application under section 353174 for a 3 direction of the Supreme Court, including in relation to a direction given 4 under subsection (7). 5 (9) If a document, or a copy of a document, relating to the appointment 6 of a person under repealed part 2C was required under that part to be given 7 to an entity before the commencement and the appointment has not ended 8 before the commencement, the law society must give the entity notice that 9 the appointment is to proceed as an external intervention under this Act and 10 other information the law society considers relevant. 11 (10) In this section-- 12 "repealed part 2C" means the Queensland Law Society Act, part 2C, as in 13 force immediately before the commencement of this section. 14 "repealed section 10" means the Queensland Law Society Act, section 10, 15 as in force immediately before the commencement of this section. 16 "repealed section 11" means the Queensland Law Society Act, section 11, 17 as in force immediately before the commencement of this section. 18 "repealed section 11A" means the Queensland Law Society Act, 19 section 11A, as in force immediately before the commencement of 20 this section. 21 Division 9--Transitional provisions relating to ch 6 generally 22 (Establishment of entities for this Act, and related matters) 23 616 Records of Solicitors' Board and Barristers' Board 24 (1) The board, and the previous Solicitors' Board and Barristers' Board, 25 must enter into arrangements in relation to the records of the previous 26 Solicitors' Board and Barristers' Board. 27 (2) For subsection (1), the records may be given to the law society in its 28 role of providing administrative support to the board. 29 174 Section 353 (Directions of Supreme Court)

s 617 360 s 619 Legal Profession Bill 2004 617 Provisions that require person to be barrister at commencement 1 for particular reasons 2 (1) This section applies despite a provision requiring a person to hold a 3 practising certificate granted or renewed by the bar association in order for 4 the person to be appointed to an entity mentioned in chapter 6 in the 5 capacity of a barrister. 6 (2) A person whose name appears on the roll of barristers, as kept by the 7 Supreme Court and as in existence immediately before the commencement, 8 may be appointed to the entity in the capacity of a barrister. 9 Division 10--Transitional provisions relating to ch 6 (Establishment of 10 entities for this Act, and related matters), pt 6 (Queensland Law Society 11 Incorporated) 12 618 Definitions for ch 8, pt 5, div 10 13 In this division-- 14 "re-enacted provision" means a repealed provision that has been 15 re-enacted, including with changes, as a provision in chapter 6, 16 part 6.175 17 "repealed provision" means a provision of the Queensland Law Society 18 Act as in force immediately before the commencement of this section 19 that is not in force as a provision of that Act after the commencement. 20 "start of the new council" means the constitution under this Act of the 21 council for the financial year that starts on 1 July 2005 by the 22 declaration of the persons elected for the council for that year. 23 619 Things done under remade provisions continue to have effect 24 A thing continues to have effect as if the thing had been done under this 25 Act if the thing-- 26 (a) expressly or impliedly was authorised or required to be done 27 under a repealed provision; and 28 175 Chapter 6 (Establishment of entities for this Act, and related matters), part 6 (Queensland Law Society Incorporated)

s 620 361 s 621 Legal Profession Bill 2004 (b) was in force immediately before the repeal; and 1 (c) can be done under a re-enacted provision. 2 620 Re-enacting does not affect legal personality etc. 3 (1) The re-enacting of a repealed provision as a re-enacted provision 4 does not-- 5 (a) affect the legal personality or identity of the Queensland Law 6 Society Incorporated or the council; or 7 (b) affect a right, entitlement or liability of the law society, the 8 council or anyone else; or 9 (c) make any legal proceeding by or against the law society or the 10 council defective. 11 (2) Without limiting subsection (1), the re-enacting of a repealed 12 provision as a re-enacted provision does not affect any right, entitlement, 13 liability or benefit the law society or the council would have had or 14 enjoyed. 15 (3) In addition, but without limiting subsection (1), if a legal proceeding 16 might have been continued or started by or against the law society or the 17 council immediately before the commencement of this section, it may be 18 continued or started by or against the law society under this Act. 19 (4) This section is subject to section 599.176 20 621 Re-enacting does not affect existing legal relationships 21 Without limiting section 620(1), the re-enacting of a repealed provision 22 as a re-enacted provision-- 23 (a) does not place the law society or the council in breach of contract 24 or otherwise make it guilty of a civil wrong; and 25 (b) does not make the law society or the council in breach of any 26 instrument, including, for example, an instrument prohibiting, 27 restricting or regulating the assignment or transfer of any right or 28 liability; and 29 (c) is not taken to fulfil a condition-- 30 176 Section 599 (Offences committed before the commencement)

s 622 362 s 624 Legal Profession Bill 2004 (i) allowing a person to terminate an instrument or liability or 1 modify the operation or effect of an instrument or liability; 2 or 3 (ii) requiring an amount to be paid before its stated maturity; 4 and 5 (d) does not release a surety or other obligee, entirely or partly, from 6 an obligation. 7 622 Powers exercised by law society or council before commencement 8 (1) If, under a power under a repealed provision, the law society or the 9 council started to deal with a matter and had not finalised it before the 10 commencement of this section, the matter may continue to be dealt with 11 and finalised by the law society under this Act. 12 (2) This section is subject to another provision of this Act that 13 specifically provides for how a matter may be dealt with. 14 623 Membership of the council if no more than 12 members, etc. 15 (1) This section applies if, immediately before the commencement of 16 this section, there are no more than 12 persons who are council members, 17 not including the person who is a council member because the person is the 18 immediate past president. 19 (2) Each of those members continues to be a council member on the 20 same conditions applying to the member before the commencement of this 21 section except that the members hold office until the start of the new 22 council. 23 (3) If the person who is the immediate past president is a council 24 member immediately before the commencement of this section, the 25 immediate past president continues to be a council member on the same 26 conditions applying to the immediate past president before the 27 commencement except that the member holds office until the start of the 28 new council. 29 624 Membership of the council if more than 12 members, etc. 30 (1) This section applies if, immediately before the commencement of 31 this section, there are more than 12 persons who are council members, not 32

s 625 363 s 626 Legal Profession Bill 2004 including the person who is a council member because the person is the 1 immediate past president. 2 (2) Despite section 514,177 the persons continue to be council members 3 (the "continuing council members") and they continue on the same 4 conditions applying to them before the commencement except that they 5 hold office until the start of the new council. 6 (3) If the person who is the immediate past president is a council 7 member immediately before the commencement, the immediate past 8 president continues to be a council member on the same conditions 9 applying to the immediate past president immediately before the 10 commencement except that the member holds office until the start of the 11 new council. 12 (4) If a continuing council member stops holding office for any reason 13 and at that time there are still more than 12 continuing council members, 14 despite any society rule the contrary, another person is not to appointed to 15 the council in place of the continuing council member who stops holding 16 office. 17 625 Presidential members 18 A person who, immediately before the commencement of this section, 19 was the president, deputy president or vice-president and continues to be a 20 member of the council under section 623 or 624, continues to be the 21 president, deputy president or vice-president of the law society on the same 22 conditions applying to the person immediately before the commencement 23 except that the member holds office until the start of the new council. 24 626 Society rule continues to apply to vacation of office 25 A person's council membership that continues under this division may 26 be vacated under a society rule providing for the way membership of the 27 council is vacated, including a rule that continues to have effect as 28 mentioned in section 610.178 29 177 Section 514 (Council of the law society) 178 Section 610 (Continuation of rules of the law society)

s 627 364 s 630 Legal Profession Bill 2004 627 Delegation by the law society 1 (1) A delegation by the law society to any person, made under a repealed 2 provision before the commencement of this section and in force 3 immediately before that commencement, continues to have effect as if the 4 delegation had been made under section 512. 5 (2) However, if the delegation is to a person as a member of the council 6 and that person is no longer a council member after the commencement of 7 this section, the delegation ends. 8 Division 11--Transitional provisions relating to the Legal 9 Practitioners Act 10 628 Main purposes of ch 8, pt 5, div 11 11 The main purposes of this division are to provide for the repeal of 12 provisions of the Legal Practitioners Act and for transitional provisions 13 relating to provisions of the Legal Practitioners Act that are repealed. 14 629 Amendment and relocation of the Legal Practitioners Act, s 58 15 Schedule 2 amends the Legal Practitioners Act, section 58179 and 16 relocates that provision to schedule 3 of this Act. 17 630 Effect of relocation 18 (1) The Legal Practitioners Act, section 58, as amended and relocated to 19 schedule 3, has effect as a provision of this Act. 20 (2) Admission rules of the type mentioned in the Supreme Court of 21 Queensland Act 1991, section 118(2A) may provide for the way in which 22 schedule 3 has effect as a provision of this Act. 23 (3) This section, and schedule 3, expire 1 year after the commencement 24 of this section. 25 179 Legal Practitioners Act, section 58 (Qualifications for admission)

s 631 365 s 633 Legal Profession Bill 2004 631 Accounts kept by society under the Legal Practitioners Act, s 51 1 (1) This section applies to the accounts kept by the law society as 2 required under the Legal Practitioners Act, section 51(11)180 ("section 51 3 accounts"). 4 (2) On 1 July 2004, the section 51 accounts and any investment of 5 moneys from those accounts vest in the chief executive for the purposes of 6 chapter 2, part 8.181 7 (3) A financial institution at which a section 51 account is kept must 8 amend its documents to reflect the fact that the account has vested in the 9 chief executive. 10 (4) The law society must ensure that a financial institution at which a 11 section 51 account is kept does all that is necessary to give effect to 12 subsections (2) and (3). 13 (5) When a section 51 account vests in the chief executive, for this Act, it 14 is a prescribed account for the person to whom the account relates. 15 (6) For the Financial Administration and Audit Act 1977, section 51 16 accounts vested in the chief executive are not held for the State. 17 (7) On the commencement of this section, the Legal Practitioners Act, 18 part 7182 expires. 19 632 Repeal of remaining provisions of Legal Practitioners Act 20 The Legal Practitioners Act 1995183 is repealed. 21 633 References to Legal Practitioners Act and related matters 22 (1) In an Act or document, a reference to the Legal Practitioners 23 Act 1995 may, if the context permits, be taken to be a reference to this Act. 24 180 Legal Practitioners Act, section 51 (Solicitors trust accounts etc.) 181 Chapter 2 (Engaging in legal practice other than by Australian-registered foreign lawyers), part 8 (Financial arrangements for those who may engage in legal practice in this jurisdiction) 182 Legal Practitioners Act, part 7 (Provisions from Legal Assistance Act 1965) 183 The Legal Practitioners Act 1995 was previously the Legal Practitioners Act Amendment Act 1968, No. 45.

s 634 366 s 635 Legal Profession Bill 2004 (2) A reference in an Act, other than an Act amended by this Act, to any 1 of the following may, if the context permits, be read as a reference to an 2 Australian lawyer-- 3 (a) legal practitioner; 4 (b) solicitor; 5 (c) solicitor and barrister; 6 (d) barrister; 7 (e) counsel; 8 (f) lawyer. 9 (3) However if, under that reference, a person is entitled to engage in 10 legal practice in this jurisdiction, the reference is to be read subject to 11 sections 24 and 25184 of this Act and the person must be an Australian legal 12 practitioner who may engage in legal practice in this jurisdiction or a 13 government legal officer engaged in government work. 14 (4) Subsection (3) does not affect the appointment of a person before the 15 commencement of this subsection if the appointment was valid when 16 made. 17 634 References to other Acts etc. 18 (1) This section applies to an Act or document that refers to an Act 19 mentioned in the Legal Practitioners Act, section 62(1) or (2)185 as in force 20 immediately before the commencement of this section (a "previous Act"). 21 (2) To the extent that section 62(1) or (2) had effect in relation to an Act 22 or document and a previous Act was taken to refer to a corresponding 23 provision of the Legal Practitioners Act, the Act or document is taken to 24 refer to a corresponding provision of this Act. 25 635 Appeals under Legal Practitioners Act 26 (1) This section applies if a person may appeal in relation to a matter 27 under the Legal Practitioners Act. 28 184 Sections 24 (Prohibition on engaging in legal practice when not entitled) and 25 (Prohibition on representing or advertising entitlement to engage in legal practice when not entitled) 185 Legal Practitioners Act, section 62 (References to certain Acts and provisions)

s 636 367 s 637 Legal Profession Bill 2004 (2) An appeal started, but not decided, before the commencement of this 1 section, may be dealt with or continue to be dealt with under the Legal 2 Practitioners Act as if that Act had not been repealed. 3 (3) A decision that could have been appealed except for the repeal of the 4 Legal Practitioners Act may be the subject of an appeal under this Act to 5 the Supreme Court. 6 (4) For an appeal under this section, the Supreme Court may give 7 directions about the way in which the appeal is to proceed. 8 Division 12--Transitional provisions relating to the Queensland Law 9 Society Act 10 636 Main purposes of ch 8, pt 5, div 12 11 The main purposes of this division are to provide for-- 12 (a) the expiry or repeal of provisions of the Queensland Law Society 13 Act at different times in a way that integrates with the 14 commencement of provisions of this Act; and 15 (b) transitional provisions relating to provisions of the Queensland 16 Law Society Act that are repealed. 17 637 Repeals relating to solicitors complaints tribunal under 18 Queensland Law Society Act 19 (1) This section applies on the repeal of the Queensland Law Society 20 Act, part 2A, divisions 1, 2, 3, 4, 5 and 6, and sections 6AC, 6AD and 21 6ADA. 22 (2) The members of the solicitors complaints tribunal under the 23 Queensland Law Society Act stop holding office as members of the tribunal 24 despite section 6AC186 of that Act. 25 (3) The members of the solicitors complaints tribunal are not entitled to 26 any payments, remuneration or allowances for a period after the members 27 stop holding office. 28 (4) The person who is the clerk of the solicitors complaints tribunal 29 immediately before the repeal must, immediately after that repeal, give all 30 186 Queensland Law Society Act, section 6AC (Duration of appointment)

s 638 368 s 640 Legal Profession Bill 2004 documents held at that time by the clerk or tribunal to the commissioner, 1 other than documents under the Queensland Law Society Act, 2 section 6ZAB. 3 (5) A regulation may provide for how the commissioner must deal with 4 the documents given to the commissioner under subsection (4) to protect 5 confidentiality, including creating an offence for unauthorised disclosures. 6 (6) Also, a regulation may provide for a person to apply to the Supreme 7 Court for an order that allows the commissioner to disclose information, 8 including by giving the person access to or a copy of a document. 9 638 Repeals relating to legal ombudsman under the Queensland Law 10 Society Act 11 (1) On the repeal of the Queensland Law Society Act, part 2B, the legal 12 ombudsman goes out of office despite section 6AJ187 of that Act. 13 (2) The legal ombudsman is not entitled to any payments, remuneration 14 or allowances for a period after the ombudsman goes out of office. 15 (3) However, the person who, immediately before that repeal, was the 16 legal ombudsman must give to the commissioner or make available to the 17 commissioner all documents held by the ombudsman at the repeal. 18 (4) A regulation may provide for how the commissioner must deal with 19 the documents given to the commissioner under subsection (3) to protect 20 confidentiality, including creating an offence for unauthorised disclosures. 21 639 Report by the commissioner for 2003-2004 financial year 22 The commissioner must report to the Minister about the discharge of the 23 legal ombudsman's functions during the financial year ending on 24 30 June 2004. 25 640 Further amendment of Queensland Law Society Act 26 Schedule 4 further amends the Queensland Law Society Act. 27 187 Queensland Law Society Act, section 6AJ (Duration of appointment)

s 641 369 s 643 Legal Profession Bill 2004 Division 13--Transitional provisions for, and repeal of, the Legal 1 Profession Act 2003 2 641 Transitional provisions relating to appointment of Legal Services 3 Commissioner under the Legal Profession Act 2003 4 If, at the commencement of this section, a person is appointed as the 5 Legal Service Commissioner under the repealed Legal Profession 6 Act 2003, the person is taken to be appointed under this Act on the same 7 conditions applying to the person before the commencement. 8 642 Repeal of Legal Profession Act 2003 9 The Legal Profession Act 2003 No. 97 is repealed. 10 Division 14--Regulation-making power for transitional purposes 11 643 Transitional regulation-making power 12 (1) A regulation (a "transitional regulation") may make provision of a 13 saving or transitional nature-- 14 (a) for which it is necessary to make provision to allow or facilitate 15 the doing of anything to achieve the transition from the operation 16 of the Legal Practitioners Act, and the Queensland Law Society 17 Act, before the commencement of this section to the operation of 18 this Act and those Acts as in force from time to time after that 19 commencement; and 20 (b) for which this Act does not make provision or sufficient 21 provision. 22 (2) A transitional regulation may have retrospective operation to a day 23 not earlier than the commencement of this section. 24 (3) A transitional regulation must declare it is a transitional regulation. 25 (4) This section and any transitional regulation expire 1 year after the 26 commencement of this section. 27

370 Legal Profession Bill 2004 SCHEDULE 1 1 ACTS AMENDED 2 section 596 3 ACTS INTERPRETATION ACT 1954 4 1 Section 36, definition "lawyer", `State.'-- 5 omit, insert-- 6 `State.188'. 7 BAIL ACT 1980 8 1 Section 7(5), `subsection (3)'-- 9 omit, insert-- 10 `subsection (4)'. 11 CRIMINAL LAW (REHABILITATION OF OFFENDERS) 12 ACT 1986 13 1 Section 9A, table, column 1, item 20, from `barrister'-- 14 omit, insert-- 15 `legal practitioner under the admission rules made under the Supreme 16 Court of Queensland Act 1991, section 118.'. 17 188 See the Legal Profession Act 2004, section 633 (References to Legal Practitioners Act and related matters).

371 Legal Profession Bill 2004 SCHEDULE 1 (continued) 2 Section 9A, table, item 22-- 1 omit. 2 3 Section 9A, table-- 3 insert-- 4 `24. An applicant for the grant of 24. Contraventions of any law a practising certificate under whether committed in the Legal Profession Queensland or elsewhere. Act 2004. 25. An applicant for the renewal 25. Contraventions of any law of a practising certificate whether committed in under the Legal Profession Queensland or elsewhere.'. Act 2004, that is the first application for the renewal of the certificate under that Act. DIRECTOR OF PUBLIC PROSECUTIONS ACT 1984 5 1 Section 4-- 6 insert-- 7 ` "Australian lawyer" see the Legal Profession Act 2004, schedule 5. 8 "lawyer" means an Australian lawyer who, under the Legal Profession 9 Act 2004, may engage in legal practice in this State.'. 10 2 Section 5(1A), `a lawyer'-- 11 omit, insert-- 12 `an Australian lawyer'. 13

372 Legal Profession Bill 2004 SCHEDULE 1 (continued) 3 Section 8-- 1 omit. 2 4 Section 10(4), `by counsel or solicitor'-- 3 omit, insert-- 4 `by a lawyer'. 5 5 Section 17, `a lawyer'-- 6 omit, insert-- 7 `an Australian lawyer'. 8 6 Section 23(1)(a), from `barristers' to `Court'-- 9 omit, insert-- 10 `Australian lawyers'. 11 DISTRICT COURT OF QUEENSLAND ACT 1967 12 1 Section 3-- 13 insert-- 14 ` "Australian lawyer" see the Legal Profession Act 2004, schedule 5. 15 "incorporated legal practice" see the Legal Profession Act 2004, 16 schedule 5. 17 "lawyer" means an Australian lawyer who, under the Legal Profession 18 Act 2004, may engage in legal practice in this State.'. 19 2 Section 13-- 20 omit, insert-- 21 `13 Judge not to practice as lawyer, etc. 22 `A judge must not-- 23

373 Legal Profession Bill 2004 SCHEDULE 1 (continued) (a) practise as a lawyer or notary; or 1 (b) directly or indirectly be concerned or interested in the practice of 2 a person mentioned in paragraph (a) or an incorporated legal 3 practice.'. 4 3 Section 35A(2), `a lawyer'-- 5 omit, insert-- 6 `an Australian lawyer189'. 7 4 Section 48(1), `solicitor'-- 8 omit, insert-- 9 `a lawyer'. 10 5 Part 2, division 7, heading-- 11 omit, insert-- 12 `Division 7--Lawyers and agents'. 13 6 Section 52, heading, `barrister, or solicitor'-- 14 omit, insert-- 15 `lawyer'. 16 7 Section 52(1), `or by a barrister or solicitor'-- 17 omit, insert-- 18 `, by a lawyer,'. 19 189 Legal Profession Act 2004, chapter 2 (Engaging in legal practice other than by Australian-registered foreign lawyers), part 3 (Admission of legal practitioners)

374 Legal Profession Bill 2004 SCHEDULE 1 (continued) 8 Section 52(2), `barrister or solicitor of the Supreme Court, shall 1 not be'-- 2 omit, insert-- 3 `lawyer, is not'. 4 9 Sections 72(1) and 120, `solicitors'-- 5 omit, insert-- 6 `lawyers'. 7 JUSTICES ACT 1886 8 1 Section 4-- 9 insert-- 10 ` "incorporated legal practice" see the Legal Profession Act 2004, 11 schedule 5. 12 "lawyer" means an Australian lawyer who, under the Legal Profession 13 Act 2004, may engage in legal practice in this State.'. 14 2 Section 23D(2) and (5), `counsel, solicitor'-- 15 omit, insert-- 16 `lawyer'. 17 3 Section 23D(4), `counsel, solicitors,'-- 18 omit, insert-- 19 `lawyers'. 20 4 Section 23E(1)(a) and (1A), `counsel, solicitors'-- 21 omit, insert-- 22 `lawyers'. 23

375 Legal Profession Bill 2004 SCHEDULE 1 (continued) 5 Section 42(1), `counsel or solicitor'-- 1 omit, insert-- 2 `lawyer'. 3 6 Section 53(2)(b)-- 4 omit, insert-- 5 `(b) the justice who issued the summons was at the date of its issue, 6 the complainant's lawyer, that lawyer's partner, or an employee 7 of either of them, or a lawyer, director or employee of an 8 incorporated legal practice that represented the complainant.'. 9 7 Section 70(3), from `counsel'-- 10 omit, insert-- 11 `defendant's lawyer.'. 12 8 Part 4, division 8, heading, `counsel or solicitor'-- 13 omit, insert-- 14 `lawyer'. 15 9 Section 72, heading-- 16 omit, insert-- 17 `72 Lawyer'. 18 10 Section 72, `counsel or solicitor'-- 19 omit, insert-- 20 `lawyer'. 21

376 Legal Profession Bill 2004 SCHEDULE 1 (continued) 11 Section 84(2), `counsel or a solicitor'-- 1 omit, insert-- 2 `a lawyer'. 3 12 Section 88(1)(a), `counsel, solicitors'-- 4 omit, insert-- 5 `lawyers'. 6 13 Sections 103A(1)(b) and (2A)(a), 104A(1), `counsel or solicitor'-- 7 omit, insert-- 8 `lawyer'. 9 14 Section 104(1)(b), `counsel and solicitor'-- 10 omit, insert-- 11 `lawyer'. 12 15 Section 110A(4), `counsel or a solicitor'-- 13 omit, insert-- 14 `a lawyer'. 15 16 Section 110A(6)(b), `counsel or the solicitor'-- 16 omit, insert-- 17 `the lawyer'. 18 17 Section 110A(9) and (10), `counsel or the solicitor for the 19 defendant'-- 20 omit, insert-- 21 `the defendant's lawyer'. 22

377 Legal Profession Bill 2004 SCHEDULE 1 (continued) 18 Section 111(3)(b), `counsel or solicitor'-- 1 omit, insert-- 2 `lawyer'. 3 19 Section 140(2), `solicitor'-- 4 omit, insert-- 5 `lawyer'. 6 20 Section 141, `counsel, or solicitor'-- 7 omit, insert-- 8 `lawyer'. 9 21 Sections 142(6) and 142A(12), `on the defendant's behalf by 10 counsel or solicitor'-- 11 omit, insert-- 12 `the defendant's lawyer'. 13 22 Section 144, `counsel or solicitor'-- 14 omit, insert-- 15 `their lawyers'. 16 23 Section 146A(2), `solicitor'-- 17 omit, insert-- 18 `lawyer'. 19 24 Section 147, `counsel or solicitor'-- 20 omit, insert-- 21 `a lawyer'. 22

378 Legal Profession Bill 2004 SCHEDULE 1 (continued) JUSTICES OF THE PEACE AND COMMISSIONERS 1 FOR DECLARATIONS ACT 1991 2 1 Section 3, definition "legal practitioner"-- 3 omit. 4 2 Section 3-- 5 insert-- 6 ` "Australian lawyer" see the Legal Profession Act 2004, schedule 5.'. 7 3 Section 16(2), `a lawyer'-- 8 omit, insert-- 9 `an Australian lawyer'. 10 4 Section 19(2)(c) and (d), `a legal practitioner'-- 11 omit, insert-- 12 `an Australian lawyer'. 13 JUVENILE JUSTICE ACT 1992 14 1 Sections 34(1)(c)(i) and (f)(i), 73(a) and (b), 79, 82(b), 85(b), 98(1), 15 98(5)(a) and (b), 104(2), 105(a) and (b), 153(1)(b) and (2), 16 185(4)(a), 275, 276, 295(2)(e) and 308(3), `legal practitioner'-- 17 omit, insert-- 18 `lawyer'. 19 2 Schedule 4, definition "legal practitioner"-- 20 omit, insert-- 21 ` "lawyer" means-- 22

379 Legal Profession Bill 2004 SCHEDULE 1 (continued) (a) an Australian lawyer who, under the Legal Profession Act 2004, 1 may engage in legal practice in this State; or 2 (b) a person mentioned in section 308(2) acting for a party.190'. 3 3 Schedule 4, definition "legal representation", `legal 4 practitioner'-- 5 omit, insert-- 6 `lawyer'. 7 LAND SALES ACT 1984 8 1 Section 11(1)(a) and (aa)-- 9 omit, insert-- 10 `(a) a law practice; or'. 11 2 Section 11(4), `solicitor or firm of solicitors'-- 12 omit, insert-- 13 `law practice'. 14 3 Section 11-- 15 insert-- 16 `(5) In this section-- 17 "law practice" means a law practice within the meaning of the Legal 18 Profession Act 2004, schedule 5 if the law practice is constituted by, or 19 has a partner or a legal practitioner director who is, a solicitor. 20 "solicitor" see the Trust Accounts Act 1973, section 4.'. 21 190 Section 308 (Proceeding for offence)

380 Legal Profession Bill 2004 SCHEDULE 1 (continued) 4 Section 23(1)(a) and (aa)-- 1 omit, insert-- 2 `(a) a law practice; or'. 3 5 Section 23(5), `a solicitor or firm of solicitors'-- 4 omit, insert-- 5 `a law practice'. 6 6 Section 23-- 7 insert-- 8 `(6) In this section-- 9 "law practice" means a law practice within the meaning of the Legal 10 Profession Act 2004, schedule 5 if the law practice is constituted by, or 11 has a partner or a legal practitioner director who is, a solicitor. 12 "solicitor" see the Trust Accounts Act 1973, section 4.'. 13 LAND TITLE ACT 1994 14 1 Sections 11(1)(b) and 161(3A), `solicitor'-- 15 omit, insert-- 16 `lawyer'. 17 2 Section 22(1)(e), `legal practitioner enrolled in Queensland or 18 elsewhere'-- 19 omit, insert-- 20 `lawyer'. 21

381 Legal Profession Bill 2004 SCHEDULE 1 (continued) 3 Section 189(1) and (1A), `as solicitor'-- 1 omit, insert-- 2 `as lawyer'. 3 4 Section 189(1) and (1A), `indemnified solicitor'-- 4 omit, insert-- 5 `indemnified lawyer'. 6 5 Section 189(2), definition "indemnified solicitor"-- 7 omit, insert-- 8 ` "indemnified lawyer" means a person covered by indemnity insurance 9 (however described) under-- 10 (a) the Queensland Law Society Act 1952; or 11 (b) the Legal Profession Act 2004; or 12 (c) a law of another jurisdiction that corresponds to the provisions 13 about indemnity insurance of either of the Acts mentioned in 14 paragraphs (a) or (b).'. 15 6 Part 12-- 16 insert-- 17 `Division 4--Transitional provision for the Legal Profession Act 2004 18 `210 Continuation of particular exclusion of entitlement under s 189 19 `(1) This section applies to conduct that, apart from the repeal of the 20 Queensland Law Society Act 1952, section 24A191 (the "repealed 21 section"), would constitute unlawful conduct in relation to an excluded 22 mortgage, as mentioned in the repealed section. 23 191 Queensland Law Society Act 1952, section 24A (Fund offers no protection for certain mortgages)

382 Legal Profession Bill 2004 SCHEDULE 1 (continued) `(2) Despite the repeal, the repealed section and section 189(1)(c) 1 continue to have effect to exclude conduct happening on or after 2 16 May 1996 or after the commencement of this section, that would have 3 constituted unlawful conduct in relation to an excluded mortgage under the 4 repealed section had that section not been repealed.'. 5 7 Schedule 1, after the third dot point-- 6 insert-- 7 `� a lawyer'. 8 8 Schedule 2-- 9 insert-- 10 ` "lawyer" means an Australian lawyer who, under the Legal Profession 11 Act 2004, may engage in legal practice in this State.'. 12 LEGAL AID QUEENSLAND ACT 1997 13 1 Section 45(4), `Legal Practitioners Act 1955, section 51'-- 14 omit, insert-- 15 `Legal Profession Act 2004, chapter 2, part 8, division 2192'. 16 2 Section 45(4), `in section 51'-- 17 omit, insert-- 18 `in that division'. 19 192 Legal Profession Act 2004, chapter 2 (Engaging in legal practice other than by Australian-registered foreign lawyers), part 8 (Financial arrangements for those who may engage in legal practice in this jurisdiction), division 2 (Prescribed accounts)

383 Legal Profession Bill 2004 SCHEDULE 1 (continued) 3 Section 45(6), from `with'-- 1 omit, insert-- 2 `under the Legal Profession Act 2004, chapter 2, part 8, division 3. '. 193 3 4 Section 72, heading, `Queensland Law Society Act 1952'-- 4 omit, insert-- 5 `Legal Profession Act 2004'. 6 5 Section 72, from `Queensland Law Society Act 1952' to `part 3'-- 7 omit, insert-- 8 `Legal Profession Act 2004, chapter 2, part 7 and chapter 4194'. 9 6 Section 72, `Act.' and footnote-- 10 omit, insert-- 11 `Act.'. 12 7 Section 73, heading, `solicitors firm'-- 13 omit, insert-- 14 `law firm'. 15 8 Section 73(a), `firm of solicitors'-- 16 omit, insert-- 17 `law firm'. 18 193 Legal Profession Act 2004, chapter 2 (Engaging in legal practice other than by Australian-registered foreign lawyers), part 8 (Financial arrangements for those who may engage in legal practice in this jurisdiction), division 3 (Interest of trust accounts paid to department) 194 Legal Profession Act 2004, chapter 2 (Engaging in legal practice other than by Australian-registered foreign lawyers), part 7 (Fidelity cover) and chapter 4 (External intervention)

384 Legal Profession Bill 2004 SCHEDULE 1 (continued) 9 Section 76(3), from `only if'-- 1 omit, insert-- 2 `only if he or she is an Australian legal practitioner.'. 3 10 Section 77-- 4 omit, insert-- 5 `77 Application of Queensland Law Society Act 1952 and Legal 6 Profession Act 2004 to Legal Aid lawyers 7 `(1) The provisions of the Queensland Law Society Act 1952 regulating 8 the way in which complaints against solicitors for malpractice, professional 9 misconduct or unprofessional conduct or practice may be investigated and 10 dealt with, apply to a Legal Aid lawyer if the complaint is, after the 11 commencement of the Legal Profession Act 2004, chapter 3, to be dealt 12 with by the Solicitors Complaints Tribunal under the Queensland Law 13 Society Act 1952.195 14 `(2) The provisions of the Legal Profession Act 2004 regulating the way 15 in which complaints against Australian legal practitioners for 16 unsatisfactory professional conduct or professional misconduct may be 17 investigated and dealt with, apply to a Legal Aid lawyer in the same way as 18 that Act applies to Australian legal practitioners within the meaning of the 19 Act.'. 20 11 Section 82(5)(a), (b), (c), (d) and (e)-- 21 omit, insert-- 22 `(a) an entity that has functions under a relevant law, within the 23 meaning of the Legal Profession Act 2004, to hear and decide 24 charges or complaints of professional misconduct or 25 unsatisfactory professional conduct (however expressed) made 26 against a person under the relevant law; 27 (b) an entity, other than an entity mentioned in paragraph (a), that 28 has functions under the Legal Profession Act 2004 for the 29 195 See the Queensland Law Society Act 1952, section 5EA (Complaints after commencement).

385 Legal Profession Bill 2004 SCHEDULE 1 (continued) purpose of that entity performing a function or exercising a 1 power under that Act, including, for example, the Queensland 2 Law Society Incorporated, the Bar Association of Queensland, 3 the Legal Services Commissioner or the Legal Practitioners 4 Admissions Board;'. 5 12 Section 82(5)(f), (g) and (h)-- 6 renumber as section 82(5)(c), (d) and (e). 7 13 Schedule, definition "private lawyer"-- 8 omit. 9 14 Schedule-- 10 insert-- 11 ` "Australian legal practitioner" see the Legal Profession Act 2004, 12 schedule 5. 13 "barrister" see the Legal Profession Act 2004, section 8.196 14 "government legal officer" see the Legal Profession Act 2004, 15 section 10.197 16 "law firm" see the Legal Profession Act 2004, schedule 5. 17 "lawyer" means an Australian legal practitioner who, under the Legal 18 Profession Act 2004, may engage in legal practice in this State. 19 "Legal Aid lawyer" means a Legal Aid employee who is an Australian 20 legal practitioner. 21 196 Legal Profession Act 2004, section 8 (Meaning of "barrister") 197 Legal Profession Act 2004, section 10 (Meaning of "government legal officer" and related matters)

386 Legal Profession Bill 2004 SCHEDULE 1 (continued) "private lawyer" means an Australian legal practitioner who may engage 1 in legal practice in this jurisdiction, other than a Legal Aid lawyer or a 2 government legal officer. 3 "solicitor" see the Legal Profession Act 2004, section 9.198'. 4 MAGISTRATES COURTS ACT 1921 5 1 Section 2-- 6 insert-- 7 ` "lawyer" means an Australian lawyer who, under the Legal Profession 8 Act 2004, may engage in legal practice in this State.'. 9 2 Sections 4A(2)(b) and 45(2)(b), `solicitors'-- 10 omit, insert-- 11 `lawyers'. 12 3 Section 18, heading, `barrister, or solicitor'-- 13 omit, insert-- 14 `lawyer'. 15 4 Section 18(1), `barrister or solicitor'-- 16 omit, insert-- 17 `lawyer'. 18 198 Legal Profession Act 2004, section 9 (Meaning of "solicitor")

387 Legal Profession Bill 2004 SCHEDULE 1 (continued) 5 Section 18(2), `barrister or solicitor of the Supreme Court shall 1 not be'-- 2 omit, insert-- 3 `lawyer is not'. 4 6 Section 45(3), `solicitor'-- 5 omit, insert-- 6 `lawyer'. 7 PROPERTY AGENTS AND MOTOR DEALERS 8 ACT 2000 9 1 Section 372(1)(b)-- 10 omit, insert-- 11 `(b) a solicitor within the meaning of the Trust Accounts Act 1973, 12 section 4; or'. 13 2 Section 578(2), from `Legal Practitioners Act 1995'-- 14 omit, insert-- 15 `Legal Profession Act 2004, sections 24 or 25.199'. 16 3 Schedule 2-- 17 insert-- 18 ` "lawyer" means an Australian lawyer who, under the Legal Profession 19 Act 2004, may engage in legal practice in this State.'. 20 199 Legal Profession Act 2004, sections 24 (Prohibition on engaging in legal practice when not entitled) or 25 (Prohibition on representing or advertising entitlement to engage in legal practice when not entitled)

388 Legal Profession Bill 2004 SCHEDULE 1 (continued) RETAIL SHOP LEASES ACT 1994 1 1 Section 5-- 2 insert-- 3 ` "Australian lawyer" see the Legal Profession Act 2004, schedule 5. 4 "lawyer" means an Australian lawyer who, under the Legal Profession 5 Act 2004, may engage in legal practice in this State.'. 6 2 Section 22D(4)(b), `barrister or solicitor who is admitted to 7 practise in Queensland'-- 8 omit, insert-- 9 `lawyer'. 10 3 Section 22D(4)(c), `barrister or solicitor'-- 11 omit, insert-- 12 `lawyer'. 13 4 Section 102(a)(ii), `lawyers'-- 14 omit, insert-- 15 `Australian lawyers'. 16 SUPREME COURT ACT 1995 17 1 Sections 134 and 139(2), `solicitor'-- 18 omit, insert-- 19 `lawyer'. 20

389 Legal Profession Bill 2004 SCHEDULE 1 (continued) 2 Section 134-- 1 insert-- 2 `(2) In this section-- 3 "lawyer" means an Australian lawyer who, under the Legal Profession 4 Act 2004, may engage in legal practice in this State.'. 5 3 Section 139-- 6 insert-- 7 `(3) In this section-- 8 "lawyer" means an Australian lawyer who, under the Legal Profession 9 Act 2004, may engage in legal practice in this State.'. 10 4 Section 208, `barrister or barristers'-- 11 omit, insert-- 12 `lawyers'. 13 5 Section 208-- 14 insert-- 15 `(2) In this section-- 16 "lawyer" means an Australian lawyer who, under the Legal Profession 17 Act 2004, may engage in legal practice in this State.'. 18 6 Section 209, heading, `barrister or solicitor'-- 19 omit, insert-- 20 `lawyer'. 21 7 Section 209(1), `barrister or solicitor'-- 22 omit, insert-- 23 `lawyer,'. 24

390 Legal Profession Bill 2004 SCHEDULE 1 (continued) 8 Section 209(2), `barrister or solicitor of the Supreme Court shall 1 not be'-- 2 omit, insert-- 3 `lawyer is not'. 4 9 Section 209(3)-- 5 insert-- 6 ` "lawyer" means an Australian lawyer who, under the Legal Profession 7 Act 2004, may engage in legal practice in this State.'. 8 10 Section 211(11), `barrister, solicitor', first mention-- 9 omit, insert-- 10 `lawyer'. 11 11 Section 211(11), `barrister, solicitor or notary'-- 12 omit, insert-- 13 `lawyer or notary or the legal practice of an incorporated legal practice'. 14 12 Section 211-- 15 insert-- 16 `(18) In this section-- 17 "incorporated legal practice" see the Legal Profession Act 2004, 18 schedule 5. 19 "lawyer" means an Australian lawyer who, under the Legal Profession 20 Act 2004, may engage in legal practice in this State.'. 21 13 Section 219, `such attorneys solicitors and practitioners'-- 22 omit, insert-- 23 `lawyers'. 24

391 Legal Profession Bill 2004 SCHEDULE 1 (continued) 14 Section 219-- 1 insert-- 2 `(2) In this section-- 3 "lawyer" means an Australian lawyer who, under the Legal Profession 4 Act 2004, may engage in legal practice in this State.'. 5 15 Section 261(1), `counsel or solicitor'-- 6 omit, insert-- 7 `lawyer'. 8 16 Section 261-- 9 insert-- 10 `(4) In this section-- 11 "lawyer" means an Australian lawyer who, under the Legal Profession 12 Act 2004, may engage in legal practice in this State.'. 13 17 Section 291(2), `solicitors'-- 14 omit, insert-- 15 `lawyers'. 16 18 Section 291-- 17 insert-- 18 `(4) In this section-- 19 "lawyer" means an Australian lawyer who, under the Legal Profession 20 Act 2004, may engage in legal practice in this State.'. 21

392 Legal Profession Bill 2004 SCHEDULE 1 (continued) SUPREME COURT LIBRARY ACT 1968 1 1 Section 2, definitions "Barristers' Board" and "Solicitors' 2 Board"-- 3 omit. 4 2 Section 4(4)(c)-- 5 omit, insert-- 6 `(c) does not hold a local practising certificate, or has a practising 7 certificate that is suspended, under the Legal Profession 8 Act 2004.'. 9 3 Section 11, heading, from `from'-- 10 omit, insert-- 11 `relating to admission and examinations'. 12 4 Section 11(1), from `received' to `shall'-- 13 omit, insert-- 14 `must'. 15 5 Section 11(2)-- 16 omit. 17

393 Legal Profession Bill 2004 SCHEDULE 1 (continued) SUPREME COURT OF QUEENSLAND ACT 1991 1 1 Section 118(1)(b), `barristers or solicitors; or'-- 2 omit, insert-- 3 `legal practitioners,200 including fees in relation to admission; or'. 4 2 Section 118-- 5 insert-- 6 `(2A) The rules of court for the admission of legal practitioners may 7 make provision of a saving or transitional nature for which it is necessary 8 to make provision to allow or facilitate the doing of anything to achieve the 9 transition from the operation of-- 10 (a) the rules applying immediately before the commencement of the 11 Legal Profession Act 2004, section 27201 to the operation of that 12 Act after the commencement; and 13 (b) other matters about admission dealt with under the Legal 14 Practitioners Act 1995 before the commencement of the Legal 15 Profession Act 2004, section 27202 to the operation of Legal 16 Profession Act 2004 after the commencement.'. 17 3 Schedule 1, section 23(d), `solicitors'-- 18 omit, insert-- 19 `lawyers'. 20 4 Schedule 1, section 24(c), `practitioners' '-- 21 omit, insert-- 22 `lawyers' '. 23 200 See the Legal Profession Act 2004, section 27 (Main purpose of ch 2, pt 3). 201 Legal Profession Act 2004, section 27 (Main purpose of ch 2, pt 3) 202 Legal Profession Act 2004, section 27 (Main purpose of ch 2, pt 3)

394 Legal Profession Bill 2004 SCHEDULE 1 (continued) 5 Schedule 2-- 1 insert-- 2 ` "lawyer" means an Australian lawyer who, under the Legal Profession 3 Act 2004, may engage in legal practice in this State.'. 4 TRUST ACCOUNTS ACT 1973 5 1 Section 4-- 6 insert-- 7 ` "Australian legal practitioner" has the meaning given by the Legal 8 Profession Act 2004, section 6.203'. 9 2 Section 4, definition "solicitor"-- 10 omit, insert-- 11 ` "solicitor" means an Australian legal practitioner to whom section 4F 12 applies.204'. 13 3 Section 4D-- 14 omit, insert-- 15 `4D Act applies to external intervener under the Legal Profession 16 Act 2004 17 `(1) This section applies if a person is appointed, or is taken, to be an 18 external intervener. 19 `(2) The duties and obligations imposed by this Act on a trustee in 20 relation to a trust account, or property that is property of a law practice, 21 devolve on a person appointed as an external intervener during the period 22 of the person's appointment to the following extent-- 23 203 Legal Profession Act 2004, section 6 (Meaning of terms involving legal practitioner) 204 Section 4F (Application of Act to legal practitioners and trust moneys)

395 Legal Profession Bill 2004 SCHEDULE 1 (continued) (a) if the person is a supervisor or manager--as if the person were a 1 trustee of the trust account; 2 (b) if the person is a receiver--as if the person were a trustee of the 3 property. 4 `(3) In this section-- 5 "external intervener" see the Legal Profession Act 2004. schedule 5. 6 "manager" see the Legal Profession Act 2004, schedule 5. 7 "receiver" see the Legal Profession Act 2004, schedule 5. 8 "supervisor" see the Legal Profession Act 2004, schedule 5.'. 9 4 After section 4E-- 10 insert-- 11 `4F Application of Act to legal practitioners and trust moneys 12 `(1) This Act applies to the following trustees in relation to trust moneys 13 received by them in this State-- 14 (a) an Australian legal practitioner who has an office in this State, 15 whether or not the legal practitioner has an office in another 16 State; 17 (b) an Australian legal practitioner who does not have an office in 18 any State at all. 19 `(2) This Act applies to the following trustees in relation to trust moneys 20 received by them in another State-- 21 (a) an Australian legal practitioner who has an office in this State and 22 in no other State; 23 (b) an Australian legal practitioner who has an office in this State and 24 in 1 or more other States but not in the State in which the trust 25 moneys were received, unless the moneys are dealt with under 26 the corresponding law of another State. 27 `(3) However, subsections (1) and (2) do not apply to-- 28 (a) persons or classes of persons prescribed under a regulation; or 29 (b) persons or classes of persons in circumstances prescribed under a 30 regulation; or 31

396 Legal Profession Bill 2004 SCHEDULE 1 (continued) (c) kinds of trust moneys prescribed under a regulation; or 1 (d) kinds of trust moneys in circumstances prescribed under a 2 regulation. 3 `(4) A reference in this section to having an office in a State is a 4 reference to-- 5 (a) having, or practising law from, an office or business address in 6 the State; or 7 (b) being a partner or employee of a firm that has an office or 8 business address in the State. 9 `(5) For this Act, an Australian legal practitioner receives money when 10 the practitioner-- 11 (a) obtains possession or control of it directly; or 12 (b) obtains possession or control of it indirectly as a result of its 13 delivery to an associate of the practitioner; or 14 (c) is given a power enabling the practitioner to deal with it whether 15 alone or with an associate; or 16 (d) an associate is given power enabling the associate to deal with it, 17 on behalf of the practitioner, whether alone or with another 18 associate. 19 `(6) In this section-- 20 "associate" of an Australian legal practitioner means-- 21 (a) a partner of the practitioner; or 22 (b) an employee or agent of the practitioner. 23 "corresponding law" means a law of another State that corresponds to the 24 relevant provisions of this Act or, if a regulation is made declaring a 25 law of the other State that corresponds to this Act, the corresponding 26 law as declared for that other State.'. 27

397 Legal Profession Bill 2004 SCHEDULE 1 (continued) 5 Section 8(1)(b), from `Practitioners Act'-- 1 omit, insert-- 2 `Profession Act 2004, chapter 2, part 8, division 2; '. 205 3 6 Section 8(1)(c)(iii), `Legal Practitioners Act 1995, part 2' and 4 footnote-- 5 omit, insert-- 6 `Queensland Law Society Act 1952, part 4B '. 206 7 7 Section 16(4)(c), from `Practitioners Act'-- 8 omit, insert-- 9 `Profession Act 2004, section 206.207'. 10 8 Section 24(2), `a an employee'-- 11 omit, insert-- 12 `an employee'. 13 9 Section 27(2), from `provisions of'-- 14 omit, insert-- 15 `Legal Profession Act 2004, chapter 2, part 8, division 2.208'. 16 205 Legal Profession Act 2004, chapter 2 (Engaging in legal practice other than by Australian-registered foreign lawyers), part 8 (Financial arrangements for those who may engage in legal practice in this jurisdiction), division 2 (Prescribed accounts) 206 Queensland Law Society Act 1952, part 4B (Payment for work) 207 Legal Profession Act 2004, section 206 (Deposits to prescribed account) 208 Legal Profession Act 2004, chapter 2 (Engaging in legal practice other than by Australian-registered foreign lawyers), part 8 (Financial arrangements for those who may engage in legal practice in this jurisdiction), division 2 (Prescribed accounts)

398 Legal Profession Bill 2004 SCHEDULE 1 (continued) 10 Section 28B(2), `Queensland Law Society Act 1952, section 50A' 1 and footnote-- 2 omit, insert-- 3 `Legal Profession Act 2004, section 583209'. 4 11 Section 28B(4), `Queensland Law Society Act 1952, section 50A'-- 5 omit, insert-- 6 `Legal Profession Act 2004, section 583 '. 210 7 12 Section 31(8)(a)-- 8 omit, insert-- 9 `(a) a solicitor; or'. 10 13 Section 31(8)(b), from `as a'-- 11 omit, insert-- 12 `as an external intervener under the Legal Profession Act 2004.'. 13 14 Section 34(1), from `trustee who is' to `Society Act 1952'-- 14 omit, insert-- 15 `solicitor'. 16 15 Section 35(1), from `trustee who is' to `Society Act 1952'-- 17 omit, insert-- 18 `solicitor'. 19 209 Legal Profession Act 2004, section 583 (Duty of relevant entities to report suspected offences) 210 Legal Profession Act 2004, section 583 (Duty of relevant entities to report suspected offences)

399 Legal Profession Bill 2004 SCHEDULE 2 1 AMENDMENTS OF LEGAL PRACTITIONERS 2 ACT 1995, SECTION 58 3 section 629 4 1 Section 58(1)(c)(ii), after `examinations'-- 5 insert-- 6 `before the commencement of section 636211'. 7 2 Section 58(1)(e)(i), `this part'-- 8 omit, insert-- 9 `this section'. 10 3 Section 58(1), `as a solicitor'-- 11 omit, insert-- 12 `as a legal practitioner'. 13 4 Section 58(2)(a)(iv) and (v)-- 14 omit, insert-- 15 `(iv) the department;'. 16 5 Section 58(3), `as a solicitor pursuant to'-- 17 omit, insert-- 18 `as a legal practitioner under'. 19 211 Section 636 (Main purposes of ch 8, pt 5, div 12)

400 Legal Profession Bill 2004 SCHEDULE 2 (continued) 6 Section 58(4)-- 1 omit, insert-- 2 `(4) The admission rules are subject to this section.'. 3 7 Section 58(5), `Legal Aid Act 1978' and footnote-- 4 omit, insert-- 5 `Legal Aid Queensland Act 1997'. 6 8 Section 58(5), from `is evidence'-- 7 omit, insert-- 8 `is evidence.'. 9 9 Section 58, as amended-- 10 relocate to schedule 3 of this Act. 11

401 Legal Profession Bill 2004 SCHEDULE 3 1 LEGAL PRACTITIONERS ACT 1995, SECTION 58 AS 2 AMENDED AND RELOCATED 3 sections 629 and 630(1) 4

402 Legal Profession Bill 2004 SCHEDULE 4 1 AMENDMENT OF QUEENSLAND LAW SOCIETY 2 ACT 1952 3 section 640 4 1 Section 3, definition "legal ombudsman"-- 5 omit. 6 2 Section 3-- 7 insert-- 8 ` "Australian lawyer" see the Legal Profession Act, schedule 5. 9 "Australian legal practitioner" see the Legal Profession Act, schedule 5. 10 "Brisbane registrar" see the Legal Profession Act, schedule 5. 11 "clerk of the tribunal", for part 2A, division 6A, see section 6ZAA. 12 "commissioner" see the Legal Profession Act, schedule 5. 13 "costs assessor" see section 6ZAA. 14 "disciplinary body" see the Legal Profession Act, schedule 5. 15 "discipline application" see the Legal Profession Act, schedule 5. 16 "government legal officer" see the Legal Profession Act, schedule 5. 17 "incorporated legal practice" see the Legal Profession Act, schedule 5. 18 "interstate legal practitioner" see the Legal Profession Act, schedule 5. 19 "legal practitioner director" see the Legal Profession Act, schedule 5. 20 "Legal Profession Act" means the Legal Profession Act 2004. 21

403 Legal Profession Bill 2004 SCHEDULE 4 (continued) "Legal Profession Fund" means the Legal Practitioner Interest on Trust 1 Accounts Fund established under the Legal Profession Act, chapter 2, 2 part 8.212 3 "legal profession rule" see the Legal Profession Act, schedule 5. 4 "local lawyer" see the Legal Profession Act, schedule 5. 5 "local legal practitioner" means a local legal practitioner under the Legal 6 Profession Act who holds a current local practising certificate granted 7 or renewed by the law society under that Act, but does not include a 8 government legal officer engaged in government work. 9 "local roll" see the Legal Profession Act, schedule 5.'. 10 3 Part 1, after section 3B-- 11 insert-- 12 `3C Application of Act to local legal practitioners 13 `(1) A reference in this Act to any of the following may include a local 14 legal practitioner-- 15 (a) a practising practitioner; 16 (b) a practitioner; 17 (c) a solicitor. 18 `(2) Subsection (1) is subject to section 30 and a provision that, after the 19 commencement of this section, states that a term mentioned in that 20 subsection is defined in a particular way for the provision or another 21 provision.'. 22 4 Sections 4 to 5B-- 23 omit. 24 212 Legal Profession Act, chapter 2 (Engaging in legal practice other than by Australian-registered foreign lawyers), part 8 (Financial arrangements for those who may engage in legal practice in this jurisdiction)

404 Legal Profession Bill 2004 SCHEDULE 4 (continued) 5 Section 5C-- 1 insert-- 2 `(2) In this section-- 3 "the tribunal" includes a disciplinary body.'. 4 6 Section 5D-- 5 omit. 6 7 After section 5E-- 7 insert-- 8 `5EA Complaints after commencement 9 `(1) Despite section 5E, after the commencement of this section, 10 complaints about Australian lawyers, or employees of Australian lawyers, 11 must be made under the Legal Profession Act. 12 `(2) However, subsection (1) does not prevent a complaint made under 13 section 5E(1) that has started to be heard by the tribunal under its rules 14 before the commencement of this section from being dealt with under this 15 Act.'. 16 8 Sections 5K to 5N-- 17 omit. 18 9 Part 2A, before division 1-- 19 insert-- 20 `Division 1A--Application of part after commencement 21 `5O Purpose of this division 22 `The purpose of this division is to provide for matters relating to the 23 tribunal on and after the commencement of this section. 24

405 Legal Profession Bill 2004 SCHEDULE 4 (continued) `5P Application of part 1 `(1) If a hearing has, under the tribunal's rules, started in the tribunal on 2 or before the commencement of this section, it must continue to be dealt 3 with under this part. 4 `(2) However, for the application of this part to a hearing, a reference to 5 the legal ombudsman is to be taken as a reference to the commissioner. 6 `(3) If a hearing has not, under the tribunal's rules, started on or before 7 the commencement of this section, the commissioner may make a 8 discipline application under the Legal Profession Act to a disciplinary body 9 in relation to the matter the subject of the complaint under this Act.'. 10 10 Section 6R(1)(a) and (2), after `roll of solicitors'-- 11 insert-- 12 `or, if that roll is included in the local roll, the local roll'. 13 11 Section 6T-- 14 insert-- 15 `(4) This section is repealed on the commencement of the Legal 16 Profession Act, section 238.213'. 17 12 Part 2A, division 6A, before section 6ZA-- 18 insert-- 19 `6ZAA Definitions for div 6A 20 `In this division-- 21 "clerk of the tribunal" means the Brisbane registrar. 22 "cost assessor" means a person whose name, immediately before the 23 commencement of this definition, appeared on the tribunal's register 24 of costs assessors. 25 213 Legal Profession Act, section 238 (Peremptory removal of local lawyer's name from local roll following removal in another jurisdiction)

406 Legal Profession Bill 2004 SCHEDULE 4 (continued) `6ZAB Clerk of tribunal to hand over register of assessors and related 1 document 2 `The person who is the clerk of the solicitors complaints tribunal 3 immediately before the commencement of this section must, after that 4 commencement, give to the clerk of the tribunal the tribunal's register of 5 costs assessors and all related documents.'. 6 13 Section 6AA(3), `to the council or the legal ombudsman'-- 7 omit. 8 14 Part 2A, divisions 1, 2, 3, 4, 5 and 6 and sections 6AC, 6AD and 9 6ADA-- 10 omit. 11 15 Parts 2B and 2C-- 12 omit. 13 16 Part 3 heading-- 14 omit, insert-- 15 `PART 3--SUPPLEMENTARY PROVISIONS RELATING 16 TO TRUST ACCOUNTS'. 17 17 Sections 12 to 30 and the heading before section 31-- 18 omit, insert-- 19 `30 References to practitioner etc. in this part 20 `(1) Subject to subsection (2), a reference in this part to any of the 21 following means a solicitor within the meaning of the Trust Accounts 22 Act 1973-- 23 (a) practising practitioner; 24 (b) practitioner; 25

407 Legal Profession Bill 2004 SCHEDULE 4 (continued) (c) solicitor. 1 `(2) A reference in this part to a firm of practitioners means a firm that 2 comprises or includes a solicitor within the meaning of the Trust Accounts 3 Act 1973.'. 4 18 Part 3A, before section 36A-- 5 insert-- 6 `Division 1--Preliminary 7 `36AA Relationship between divs 2 and 3 8 `(1) Division 2 is subject to division 3. 9 `(2) The purpose of division 3 is to close the funds established under 10 division 2 on the commencement of this section and to provide for matters 11 relating to the closures.'. 12 19 After section 36A-- 13 insert-- 14 `Division 2--Contribution fund and grants fund'. 15 20 Sections 36H, 36I, 36J, 36K, 36L, 36M, 36N, 36O, 36P and 36Q-- 16 omit. 17 21 Part 3A, after section 36R-- 18 insert-- 19 `Division 3--Closure of contribution fund and grants fund and related 20 matters 21 `36S Closure of contribution fund and grants fund 22 `(1) On the commencement of this section-- 23 (a) the contribution fund and grants fund close; and 24

408 Legal Profession Bill 2004 SCHEDULE 4 (continued) (b) all moneys that were part of the contribution fund and grants 1 fund become moneys of the Legal Practitioner Interest on Trust 2 Accounts Fund. 3 `(2) Despite the closures, entries may be made in the accounts for the 4 contribution fund and grant fund for transactions completed before the 5 commencement. 6 `36T Obligation of society to pay moneys to Legal Practitioner Interest 7 on Trust Accounts Fund 8 `(1) Under an arrangement with the chief executive, a total amount is 9 payable as an amount for the Legal Practitioner Interest on Trust Accounts 10 Fund, consisting of the amount of each of the closing balances immediately 11 before the commencement of this section for the following-- 12 (a) the contribution fund; 13 (b) the grants fund; 14 (c) the law society's account called the Contributions Distribution 15 Account kept by the law society for amounts distributed to it 16 under section 36E(b)(iii).214 17 `(2) For subsection (1), by the date stated in the arrangement or a later 18 date that the chief executive allows, the law society must arrange for 19 transfer of the total amount to the account kept for the fund as mentioned in 20 the Legal Profession Act, section 208(3).215 21 `(3) The arrangement may include a provision about any audit for the 22 purposes of section 36R. 23 `36U Provisions about the grants committee 24 `(1) On the repeal of section 36H, the members of the grants committee 25 go out of office. 26 `(2) The members of the grants committee are not entitled to any 27 payments, remuneration or allowances for a period after the repeal of 28 section 36H. 29 214 Section 36E (Distributions from contribution fund) 215 Legal Profession Act, section 208 (Establishment of fund)

409 Legal Profession Bill 2004 SCHEDULE 4 (continued) `Division 4--Expiry of part 1 `36V Expiry 2 `This part expires 1 month after the commencement of this section.'. 3 22 Sections 37, 38, 39, 39A, 40, 40A, 41, 41A, 41B and 42-- 4 omit. 5 23 Section 44-- 6 insert-- 7 `(2) Subsection (1) does not apply to conduct happening after the 8 commencement of this subsection.'. 9 24 Section 45-- 10 insert-- 11 `(2) Subsection (1) does not apply to conduct happening after the 12 commencement of this subsection.'. 13 25 Sections 46 and 47-- 14 omit. 15 26 Part 4A-- 16 insert-- 17 `47A Definitions for pt 4A 18 `In this section-- 19 ` "firm" includes a partnership that includes an interstate legal practitioner 20 engaged in legal practice in this jurisdiction. 21 "practitioner" includes an interstate legal practitioner engaged in legal 22 practice in this jurisdiction.'. 23

410 Legal Profession Bill 2004 SCHEDULE 4 (continued) 27 Section 48-- 1 insert-- 2 `(4A) If the practitioner or firm must complete a notice mentioned in 3 subsection (4) and that practitioner or firm is or includes an interstate legal 4 practitioner engaged in legal practice in this jurisdiction, the notice must be 5 changed to reflect that fact.'. 6 28 Section 48H-- 7 insert-- 8 ` "firm" includes partnership that includes an interstate legal practitioner 9 engaged in legal practice in this jurisdiction. 10 "practitioner" includes an interstate legal practitioner engaged in legal 11 practice in this jurisdiction.'. 12 29 Section 50(2), definition "official"-- 13 insert-- 14 `(f) the commissioner or the staff of the commission; and 15 (g) an accountant, auditor or other professional consulted by the 16 commissioner.'. 17 30 Section 50-- 18 insert-- 19 `(5) If a provision of this Act that commences on or after the 20 commencement of this subsection provides that a person is to give 21 documents to the commissioner or the Brisbane registrar, the person must 22 comply with the provision despite anything to the contrary in this section. 23 `(6) In this section-- 24 "practitioner" includes the following-- 25 (a) an Australian legal practitioner or an employee of the 26 practitioner; 27

411 Legal Profession Bill 2004 SCHEDULE 4 (continued) (b) an incorporated legal practice or a legal practitioner director or 1 employee of the practice.'. 2 31 Sections 50A and 51-- 3 omit. 4

412 Legal Profession Bill 2004 SCHEDULE 5 1 DICTIONARY 2 section 4 3 "administration rule" see section 226(3). 4 "admission rules" see section 28. 5 "admitted to the legal profession" means-- 6 (a) in relation to another jurisdiction--admission by the Supreme 7 Court of another jurisdiction under a corresponding law as any of 8 the following but does not include the grant or issue of a 9 practising certificate under a corresponding law-- 10 (i) a lawyer; 11 (ii) a legal practitioner; 12 (iii) a barrister; 13 (iv) a solicitor; 14 (v) a barrister and solicitor; 15 (vi) a solicitor and barrister; or 16 (b) otherwise--means a person admitted under this Act as a legal 17 practitioner or a person admitted to the legal profession of 18 another jurisdiction. 19 "admitted under this Act as a legal practitioner", in relation to a person, 20 means each of the following persons but does not include the grant or 21 issue of a practising certificate under this Act or another Act to the 22 person-- 23 (a) a person in relation to whom the Supreme Court has made an 24 order admitting the person as a legal practitioner, and who has 25 signed the local roll, as mentioned in section 38; 26 (b) a person whose name, immediately before the commencement of 27 section 38, appeared on the roll of barristers as kept by the 28 Supreme Court and as in existence immediately before the 29 commencement; 30

413 Legal Profession Bill 2004 SCHEDULE 5 (continued) (c) a person whose name, immediately before the commencement of 1 section 38, appeared on the roll of solicitors as kept by the 2 Supreme Court and as in existence immediately before the 3 commencement. 4 "amend", in relation to a practising certificate or registration as a foreign 5 lawyer, includes-- 6 (a) impose a condition on the certificate or registration; and 7 (b) amend or revoke a condition already imposed on the certificate or 8 registration. 9 "applicant for admission" see section 28. 10 "application for admission" see section 32. 11 "appointed member", for the council, see section 507. 12 "approved form" see section 594. 13 "associate", of a law practice, see section 11(1). 14 "Australia", for chapter 5, see section 359. 15 "Australian law", for chapter 5, see section 359. 16 "Australian lawyer" see section 5(1). 17 "Australian legal practitioner" see section 6(1). 18 "Australian practising certificate" means a local practising certificate or 19 interstate practising certificate. 20 "Australian-registered foreign lawyer" means a locally-registered 21 foreign lawyer or an interstate-registered foreign lawyer. 22 "Australian roll" means the local roll or an interstate roll. 23 "bar association" means the Bar Association of Queensland 24 (ACN 009 717 739). 25 "barrister"-- 26 (a) for chapter 6, part 3--see section 450; and 27 (b) for chapter 6, part 5--see section 488; and 28 (c) otherwise--see section 8. 29 "barristers rule" see section 215(1)(b). 30

414 Legal Profession Bill 2004 SCHEDULE 5 (continued) "board" means the Legal Practitioners Admissions Board established 1 under section 489. 2 "Brisbane registrar" means the registrar under the Supreme Court of 3 Queensland Act 1991 for the Brisbane Supreme Court district. 4 "capping and sufficiency provisions", for chapter 2, part 7, see 5 section 144. 6 "certificate holder" means-- 7 (a) for a current local practising certificate or current interstate 8 practising certificate--the person who is named in the certificate 9 as the person to whom the certificate has been granted or in 10 relation to whom the certificate has been renewed; or 11 (b) for a practising certificate that is cancelled--the person who was 12 the holder of the certificate when it was current. 13 "change" includes change by way of an addition, alteration, omission or 14 substitution. 15 "claim", for chapter 2, part 7, see section 144. 16 "claimant", for chapter 2, part 7, see section 144. 17 "commercial legal presence", for chapter 5, see section 359. 18 "commission" see section 421. 19 "commissioner" means a person holding the appointment of the Legal 20 Services Commissioner. 21 "commissioner of police", for chapter 7, part 1, see section 531. 22 "committee" means the Legal Practice Committee established under 23 section 451. 24 "committee member" means a person holding an appointment to the 25 committee under section 452. 26 "compensation order" see section 288. 27 "complaint" means a complaint made under section 256. 28 "concerted interstate default", for chapter 2, part 7, see section 144. 29 "conditions" means conditions, limitations or restrictions. 30 "conduct" means conduct whether consisting of an act or omission. 31

415 Legal Profession Bill 2004 SCHEDULE 5 (continued) "consumer dispute" for chapter 3, part 3, see section 262. 1 "conviction" see section 15(1). 2 "corporation" see section 86. 3 "corresponding authority" means-- 4 (a) an entity with functions or powers under a corresponding law; or 5 (b) when used in the context of an entity with functions or powers 6 under this Act--an entity with corresponding functions or 7 powers under a corresponding law. 8 "corresponding disciplinary body" means-- 9 (a) a court or tribunal having functions or powers under a 10 corresponding law that correspond to any of the functions or 11 powers of a disciplinary body; or 12 (b) the Supreme Court of another jurisdiction exercising-- 13 (i) its inherent jurisdiction or powers for controlling or 14 disciplining any Australian lawyers; or 15 (ii) its jurisdiction or powers to make orders under a 16 corresponding law of the other jurisdiction about Australian 17 lawyers. 18 "corresponding foreign law" means the following-- 19 (a) a law of a foreign country that corresponds to the relevant 20 provisions of this Act or, if a regulation is made declaring a law 21 of the foreign country to be a law that corresponds to this Act, the 22 law declared under that regulation for the foreign country; 23 (b) if the term is used in relation to a matter that happened before the 24 commencement of the law of a foreign country that, under 25 paragraph (a), is the corresponding law for the foreign country, a 26 previous law applying to legal practice in the foreign country. 27 "corresponding law" means the following-- 28 (a) a law of another jurisdiction that corresponds to the relevant 29 provisions of this Act or, if a regulation is made declaring a law 30 of the other jurisdiction that corresponds to this Act, the law 31 declared under that regulation for that other jurisdiction; 32

416 Legal Profession Bill 2004 SCHEDULE 5 (continued) (b) if the term is used in relation to a matter that happened before the 1 commencement of the law of another jurisdiction that, under 2 paragraph (a), is the corresponding law for the jurisdiction, a 3 previous law applying to legal practice in the other jurisdiction. 4 "corresponding tribunal" means-- 5 (a) a court or tribunal having functions and powers under a 6 corresponding law, that correspond to a disciplinary body's 7 functions and powers under this Act; or 8 (b) the Supreme Court of another jurisdiction exercising-- 9 (i) its inherent jurisdiction or powers for controlling or 10 disciplining Australian lawyers; or 11 (ii) its jurisdiction or powers to make orders under a 12 corresponding law of the other jurisdiction about Australian 13 lawyers. 14 "costs" includes disbursements. 15 "costs assessor" see the Queensland Law Society Act 1952, section 3.216 16 "council" means the council of the law society as mentioned in 17 section 514. 18 "council meeting" see section 507. 19 "council member" see section 507. 20 "default", in relation to a law practice, see section 144. 21 "director" see section 86. 22 "disciplinary action" see section 295. 23 "disciplinary body" means either of the following entities to which the 24 commissioner makes a discipline application-- 25 (a) the tribunal; 26 (b) the committee, other than the committee exercising advisory 27 functions as mentioned in chapter 6, part 3, division 4. 28 "discipline application" see section 276. 29 216 Queensland Law Society Act 1952, section 3 (Definitions)

417 Legal Profession Bill 2004 SCHEDULE 5 (continued) "discipline register" see section 296. 1 "dishonesty" includes fraud. 2 "disqualified person" means any of the following persons whether the 3 thing that has happened to the person happened before or after the 4 commencement of section 85-- 5 (a) a person whose name has, whether or not at his or her own 6 request, been removed from an Australian roll and whose name 7 has not been restored or entered on that roll or who has not 8 subsequently been admitted to the legal profession under a 9 relevant law or corresponding law; 10 (b) a person whose practising certificate has been cancelled or 11 suspended under a relevant law or a corresponding law and who, 12 because of the cancellation, is not an Australian legal practitioner 13 or in relation to whom that suspension has not finished; 14 (c) a person who has been refused a renewal of a practising 15 certificate under a relevant law or corresponding law, and to 16 whom a practising certificate has not been granted at a later time; 17 (d) a person who is the subject of an order under a relevant law or 18 corresponding law prohibiting a law practice from employing or 19 paying the person in connection with the relevant practice; 20 (e) a person who is the subject of an order under this Act or a 21 corresponding law prohibiting an Australian legal practitioner 22 from being a partner of the person in a business that includes the 23 provision of legal services; 24 (f) a person who is the subject of an order under section 109 25 or 139,217 or under a provision of a corresponding law that 26 corresponds to section 109 or 139. 27 "employee", of an entity, means a person who is employed or engaged 28 under a contract of service or contract for services in or by the entity 29 whether or not-- 30 217 Section 109 (Disqualification from managing incorporated legal practice) or 139 (Prohibition on partnership with particular partner who is not an Australian legal practitioner)

418 Legal Profession Bill 2004 SCHEDULE 5 (continued) (a) the person works full time, part time, or on a temporary or casual 1 basis; or 2 (b) the person is a law clerk or article clerk. 3 "engaged in government work", in relation to a government legal officer, 4 see section 10(2). 5 "engage in legal practice" includes practise law. 6 "external examiner" means a person-- 7 (a) appointed, or taken to be appointed, under the Trust Accounts 8 Act 1973, section 14, 15, 21 or 22; or 9 (b) appointed under the Queensland Law Society Act 1952, 10 section 31. 11 "external intervener for a law practice" see section 315. 12 "external intervention" see section 315. 13 "fidelity fund" means the Legal Practitioners' Fidelity Guarantee Fund 14 established under the Queensland Law Society Act 1952, part 3,218 as 15 continued in existence under section 147. 16 "foreign country" means-- 17 (a) a country other than Australia; or 18 (b) a state, province or other part of a country other than Australia. 19 "foreign law" means the following-- 20 (a) for chapter 5--the law of a foreign country; 21 (b) otherwise--a law of a foreign country that corresponds to the 22 relevant provisions of this Act, and includes a law of a foreign 23 country that is declared under a regulation to correspond to this 24 Act. 25 "foreign law practice", for chapter 5, see section 359. 26 "foreign registration authority", for chapter 5, see section 359. 27 218 Queensland Law Society Act 1952, part 3 (Legal Practitioners' Fidelity Guarantee Fund)

419 Legal Profession Bill 2004 SCHEDULE 5 (continued) "foreign roll" means an official roll of lawyers (whether admitted, 1 practising or otherwise) kept in a foreign country, but does not include 2 a roll prescribed under a regulation for this definition. 3 "fund", for chapter 2, part 8, see section 203. 4 "government legal officer" see section 10. 5 "health assessment report" see section 535. 6 "health assessor" see section 534. 7 "home jurisdiction" see section 12. 8 "ILP authority" means-- 9 (a) the commissioner; or 10 (b) the law society; or 11 (c) the commissioner and the law society acting jointly under an 12 arrangement made between the commissioner and law society. 13 "ILP investigator" see section 573. 14 "in-house legal services" mean legal services provided to a corporation by 15 a person employed by the corporation concerning a proceeding or 16 transaction to which the corporation, or a related body corporate, is a 17 party. 18 "incorporated legal practice" see section 85. 19 "incorporated legal practice rule" see section 215(1)(c). 20 "indemnity rule" see section 226(4). 21 "information notice" see section 16. 22 "insolvent under administration" means-- 23 (a) a person who is an undischarged bankrupt under the Bankruptcy 24 Act 1966 (Cwlth) or the provisions of a foreign law that 25 correspond to that Act; or 26 (b) a person who has executed a deed of arrangement under the 27 Bankruptcy Act 1966 (Cwlth), part X or the provisions of a 28 foreign law that correspond to that Act, if the terms of the deed 29 have not been fully complied with; or 30

420 Legal Profession Bill 2004 SCHEDULE 5 (continued) (c) a person whose creditors have accepted a composition under the 1 Bankruptcy Act 1966 (Cwlth), part X or the provisions of a 2 foreign law that correspond to that Act, if a final payment has not 3 been made under that composition; or 4 (d) a person for whom a debt agreement has been made under the 5 Bankruptcy Act 1966 (Cwlth), part IX or the provisions of a 6 foreign law that correspond to that Act, if the debt agreement has 7 not ended or has not been terminated. 8 "interstate lawyer" see section 5(3). 9 "interstate legal practitioner" see section 6(3). 10 "interstate practising certificate" means a practising certificate granted 11 under a corresponding law. 12 "interstate-registered foreign lawyer" means a person who is registered 13 as a foreign lawyer under a corresponding law. 14 "interstate registration", for chapter 7, part 1, see section 531. 15 "interstate roll" means a roll of lawyers kept under a corresponding law. 16 "investigation" see section 541. 17 "investigation matter" see section 265. 18 "investigator" see section 541. 19 "jurisdiction" means a State or Territory of the Commonwealth. 20 "law firm" means a partnership consisting only of-- 21 (a) Australian legal practitioners; or 22 (b) 1 or more Australian legal practitioners and 1 or more 23 Australian-registered foreign lawyers. 24 "law practice" means-- 25 (a) an Australian legal practitioner who is a sole practitioner; or 26 (b) a law firm; or 27 (c) an incorporated legal practice; or 28 (d) a multi-disciplinary partnership. 29

421 Legal Profession Bill 2004 SCHEDULE 5 (continued) "law practice employee" means an employee of a law practice engaged in 1 the activities associated with the practice, other than an Australian 2 legal practitioner who is an employee of the practice. 3 "law society" means the Queensland Law Society Incorporated established 4 under the Queensland Law Society Act 1952, section 4, as continued 5 in existence under section 508. 6 "law society approved form" means a form approved under section 594 7 by the law society. 8 "lay associate", of a law practice, see section 11(3). 9 "lay panel" means the panel established under section 437(1)(a). 10 "legal practice", for chapter 7, part 1, see section 531. 11 "Legal Practitioners Act", for chapter 8, part 5, see section 597. 12 "legal practitioner associate", of a law practice, see section 11(2). 13 "legal practitioner director" means-- 14 (a) a director of an incorporated legal practice who is an Australian 15 legal practitioner and who holds an unrestricted practising 16 certificate; or 17 (b) a person who purports to be a person mentioned in paragraph (a) 18 but whose appointment as a director was invalid or is declared 19 invalid. 20 "legal practitioner partner", in relation to a multi-disciplinary 21 partnership, means a partner of the multi-disciplinary partnership who 22 is an Australian legal practitioner holding an unrestricted practising 23 certificate. 24 "legal profession rule" see section 214. 25 "legal services" means work done, or business transacted, in the ordinary 26 course of legal practice. 27 "levy" see section 157. 28 "local lawyer" see section 5(2). 29 "local legal practitioner" see section 6(2). 30 "locally-registered foreign lawyer" means a person who is registered as a 31 foreign lawyer under this Act. 32

422 Legal Profession Bill 2004 SCHEDULE 5 (continued) "local practising certificate" means a practising certificate, or another 1 document that is evidence of the renewal of a practising certificate, 2 granted by the law society under a relevant law or by the bar 3 association under this Act. 4 "local registration", for chapter 7, part 1, see section 531. 5 "local registration certificate", for chapter 5, see section 359. 6 "local roll" see section 38(1). 7 "local trust account" means a trust account kept under a relevant law. 8 "managed investment scheme" has the same meaning as in the 9 Corporations Act, chapter 5C. 10 "manager", for a law practice, means a person appointed under 11 section 326 as the manager for the law practice. 12 "misconduct", of a law practice employee, means misconduct, whether 13 consisting of an act or omission, by the law practice employee. 14 "mortgage" means an instrument under which an interest in real property 15 is charged, encumbered or transferred as security for the payment or 16 repayment of money, and includes-- 17 (a) any instrument of a kind that is prescribed under a regulation as a 18 mortgage; and 19 (b) a proposed mortgage. 20 "mortgage financing" means facilitating a loan secured or intended to be 21 secured by mortgage by-- 22 (a) acting as an intermediary to match a prospective lender and 23 borrower; or 24 (b) arranging a loan; or 25 (c) receiving or dealing with payments under the loan; 26 but does not include providing legal advice, or preparing an 27 instrument, for the loan. 28 "multi-disciplinary partnership" see section 123. 29 "officer" means-- 30 (a) in relation to a company within the meaning of the Corporations 31 Act--an officer as defined in section 9 of that Act; or 32

423 Legal Profession Bill 2004 SCHEDULE 5 (continued) (b) in relation to another body corporate prescribed under a 1 regulation--a person prescribed under a regulation to be an 2 officer. 3 "overseas-registered foreign lawyer", for chapter 5, see section 359. 4 "panel member" means a person holding an appointment to the lay panel 5 or the practitioner panel under chapter 6, part 2, division 3. 6 "pecuniary loss", in relation to a default of a law practice, see section 144. 7 "practical legal training" means either, or a combination of both, of the 8 following-- 9 (a) legal training by participation in course work; 10 (b) legal training under the supervision of an Australian lawyer, 11 whether involving articles of clerkship or otherwise. 12 "practise foreign law" see section 359. 13 "practising certificate" means a practising certificate granted under this 14 Act or a corresponding law. 15 "practitioner panel" means the panel established under section 437(1)(b). 16 "prescribed account" see section 203. 17 "presidential member" see section 507. 18 "principal", of a law practice, see section 11(4). 19 "professional misconduct"-- 20 (a) for dealing with a complaint about conduct that happened before 21 the commencement of section 614--see that section and 22 section 245; or 23 (b) otherwise--see section 245. 24 "professional obligations", of an Australian lawyer, include-- 25 (a) duties to the Supreme Court; and 26 (b) obligations in connection with conflicts of interest; and 27 (c) duties to clients, including disclosure; and 28 (d) ethical rules the lawyer must observe. 29 "quashing a conviction" see section 15(2). 30

424 Legal Profession Bill 2004 SCHEDULE 5 (continued) "Queensland Law Society Act", for chapter 8, part 5, see section 597. 1 "receiver", for a law practice means a person appointed under section 333 2 as the receiver for the law practice. 3 "re-enacted provision", for chapter 8, part 5, division 10, see section 618. 4 "registered", for chapter 5, see section 359. 5 "registrar" see the Supreme Court of Queensland Act 1991, schedule 2. 6 "registration", for chapter 7, part 1, see section 531. 7 "regulated property", of a law practice, see section 315. 8 "regulatory authority" means-- 9 (a) in relation to another jurisdiction-- 10 (i) if there is only 1 regulatory authority for the other 11 jurisdiction--that regulatory authority; or 12 (ii) if there are separate regulatory authorities for the other 13 jurisdiction for different branches of the legal profession or 14 for persons who practise in a particular style of legal 15 practice--the regulatory authority relevant to the branch or 16 style concerned; or 17 (b) otherwise--the law society or the bar association. 18 "related body corporate" see section 86. 19 "relevant authority", for chapter 7, part 1, see section 531. 20 "relevant jurisdiction" see section 159. 21 "relevant law" means-- 22 (a) this Act; or 23 (b) the Legal Practitioners Act 1995 as in force at any time before or 24 after the commencement of this definition; or 25 (c) the Queensland Law Society Act 1952 as in force at any time 26 before or after the commencement of this definition; or 27 (d) the Trust Accounts Act 1973 as in force at any time before or after 28 the commencement of this definition. 29 "relevant practice" means legal services provided by a law practice. 30 "relevant regulatory authority" see section 45. 31

425 Legal Profession Bill 2004 SCHEDULE 5 (continued) "repealed provision", for chapter 8, part 5, division 10, see section 618. 1 "respondent", for chapter 3, see section 247. 2 "serious offence" see section 14. 3 "show cause event", in relation to a person, means-- 4 (a) a conviction for a serious offence or tax offence, whether or 5 not-- 6 (i) the offence was committed in or outside this jurisdiction; or 7 (ii) the offence was committed while the person was engaging 8 in legal practice as an Australian lawyer or was practising 9 foreign law as an Australian-registered foreign lawyer; or 10 (iii) other persons are prohibited from disclosing the identity of 11 the offender; or 12 (b) becoming an insolvent under administration. 13 "society rule" see section 507. 14 "sole practitioner" means an Australian lawyer who engages in legal 15 practice on his or her own account. 16 "solicitor"-- 17 (a) for chapter 2, part 8--see section 203; and 18 (b) for chapter 6, part 3--see section 450; and 19 (c) for chapter 6, part 5--see section 488; and 20 (d) otherwise--see section 9. 21 "solicitors complaints tribunal" see the Queensland Law Society 22 Act 1952, section 3. 23 "solicitors rule" see section 215(1)(a). 24 "staff", in relation to the office of the commissioner or the commission, 25 see section 422. 26 "start of the new council", for chapter 8, part 5, division 10, see 27 section 618. 28 "subject person", for chapter 7, part 1, see section 531. 29 "suitability matter", in relation to a person, see section 13. 30

426 Legal Profession Bill 2004 SCHEDULE 5 (continued) "suitability report", for chapter 7, part 1, see section 531. 1 "supervised legal practice" means legal practice by a person-- 2 (a) as an employee of a law practice if-- 3 (i) a least 1 partner, legal practitioner director or other 4 employee of the law practice is an Australian legal 5 practitioner who holds an unrestricted practising certificate; 6 and 7 (ii) the person engages in legal practice under the supervision of 8 an Australian legal practitioner mentioned in 9 subparagraph (i); or 10 (b) as a partner in a law firm if-- 11 (i) at least 1 other partner is an Australian legal practitioner 12 who holds an unrestricted practising certificate; and 13 (ii) the person engages in legal practice under the supervision of 14 an Australian legal practitioner mentioned in 15 subparagraph (i); or 16 (c) in a capacity approved under an administration rule. 17 "supervisor", of trust money received by a law practice, means a person 18 appointed under section 320 as the supervisor of trust money received 19 by the law practice. 20 "Supreme Court", for chapter 2, part 3, see section 28. 21 "tax offence" means an offence under the Taxation Administration 22 Act 1953 (Cwlth), whether committed in or outside this jurisdiction. 23 "this jurisdiction" means this State. 24 "tribunal" means the Legal Practice Tribunal established under 25 section 429. 26 "tribunal member" means a member of the tribunal constituting the 27 tribunal to hear and decide a discipline application. 28 "tribunal rules" see section 433. 29 "trust account" see section 203. 30 "unrestricted practising certificate" means-- 31

427 Legal Profession Bill 2004 SCHEDULE 5 (continued) (a) a local practising certificate that, as mentioned in 1 section 59(1)(b), states the certificate holder may engage in 2 unsupervised legal practice; or 3 (b) an interstate practising certificate that-- 4 (i) is not subject to a condition similar to a condition that may 5 be stated in a local practising certificate as mentioned in 6 section 59(1)(a); and 7 (ii) does not limit, or is not subject to a condition that limits, the 8 certificate holder to practise as, in or the manner of, a 9 barrister. 10 "unsatisfactory professional conduct"-- 11 (a) for dealing with a complaint about conduct that happened before 12 the commencement of section 614--see that section and 13 section 244; or 14 (b) otherwise--see section 244. 15 "unsupervised legal practice" means legal practice engaged in by an 16 Australian legal practitioner who is entitled to engage in legal practice 17 as a solicitor and whose practising certificate is not subject to a 18 condition that allows the practitioner only to engage in supervised 19 legal practice as a solicitor. 20 21 � State of Queensland 2004

AMENDMENTS TO BILL

1 Legal Profession Bill 2004 LEGAL PROFESSION BILL 2004 AMENDMENTS AGREED TO IN COMMITTEE 1 Clause 2-- At page 32, line 7-- omit, insert-- `(1) If the date of assent for this Act is on or before 25 May 2004, the following provisions commence on 25 May 2004 but, if the date of assent for this Act is not on or before 25 May 2004, the following provisions commence on the date of assent-- � chapter 1, other than the provisions that are in force � sections 83 and 213 � chapter 2, part 9, division 3 � chapter 6, part 1, part 2, divisions 1 to 3, part 3, divisions 1 to 3 and part 5, divisions 1 to 4 � sections 586 and 587 � chapter 8, part 3 and part 5, division 1 � sections 602, 605, 610(3) and (6), 613, 617 and 638 � chapter 8, part 5, divisions 13 and 14 � schedule 5.'. 2 Clause 10-- At page 35, lines 30 to 32-- omit, insert-- `(2) A government legal officer is "engaged in government work" when the government legal officer is engaged in legal practice in the course of the officer's duties for the entity in relation to which the person is an employee or appointee.

2 Legal Profession Bill 2004 Example of "engaged in government work"-- A public service employee employed by the Department of Justice and Attorney-General who is engaged in legal practice at the Department of Education and whose duties for the Department of Justice and Attorney-General while working at the Department of Education include providing advice to that department as a client of the Department of Justice and Attorney-General.'. 3 Clause 10-- At page 36, after line 21-- insert-- `(8A) A government legal officer who is an Australian lawyer but does not hold a current local practising certificate may-- (a) if the officer was admitted as a barrister before the commencement of section 251 or engages in government work in the manner of a barrister--call himself or herself a barrister or another term that describes the way the officer engages in government work; or (b) if the officer was admitted as a solicitor before the commencement of section 25 or engages in government work in the manner of a solicitor--call himself or herself a solicitor or another term that describes the way the officer engages in government work.'. 4 Clause 38-- At page 52, after line 25-- insert-- `(5) Subject to the admission rules, the Brisbane registrar may give written directions to any other registrar about keeping the local roll.'. 1 Section 25 (Prohibition on representing or advertising entitlement to engage in legal practice when not entitled)

3 Legal Profession Bill 2004 5 Clause 48-- At page 58, after line 10-- insert-- `(8A) If an applicant was, immediately before the commencement of this section, lawfully engaged in legal practice in the manner of a barrister or solicitor, for subsection (2)(b) the applicant is taken to be an Australian legal practitioner at the time the person makes the application.'. 6 Clause 53-- At page 62, after line 13-- insert-- `(4) A regulatory authority's power to impose a condition mentioned in subsection (3) is not limited by, and does not limit, the regulatory authority's power to impose a condition under an administration rule of the type mentioned in section 226(2)(b), (c) or (d).2'. 7 Clause 79-- At page 77, lines 9 and 10-- omit, insert-- `(c) the regulatory authority believes there is any ground mentioned in section 673 for which the local practising certificate is likely to be cancelled or suspended under section 68.4'. 2 Section 226 (Rules other than legal profession rule) 3 Section 67 (Grounds for amending, cancelling or suspending a local practising certificate) 4 Section 68 (Amending, cancelling or suspending local practising certificate)

4 Legal Profession Bill 2004 8 Clause 82-- At page 79, lines 31 to 33-- omit, insert-- `(3) A regulatory authority must ensure that an up-to-date version of its register is available, without charge, for public inspection-- (a) at the authority's principal place of business during normal working hours; or'. 9 Clause 83-- At page 80, lines 4 to 10-- omit, insert-- `(1) A regulatory authority may charge fees for services that it provides, including, for example, the services provided by the authority as part of performing its functions under this Act. Example of a service that a regulatory authority provides as part of performing its functions under this Act-- Granting or renewing a practising certificate. `(2) The fee for a service must be reasonable having regard to the cost to the regulatory authority of performing all of its functions under a relevant law and the funding that the authority has received under this Act, and a fee for a service is not unreasonable only because the particular fee is more than the cost of providing the specific service. `(3) The fees set by a regulatory authority must be included in an administration rule.'. 10 Clause 209-- At page 147, line 4, after `association'-- insert-- `, including costs associated with implementing this Act whether incurred before or after the commencement of this section'.

5 Legal Profession Bill 2004 11 Clause 217-- At page 151, after line 3-- insert-- `(c) being a legal practitioner partner in a multi-disciplinary partnership.'. 12 Clause 226-- At page 155, lines 8 to 10-- omit, insert-- `(g) setting fees, contributions and levies, other than levies imposed by the law society as mentioned in section 157,5 the payment of the fees, contributions and levies including the levies imposed by the law society under that section, and other matters relating to payments, including the timing and way of making payments;'. 13 Clause 226-- At page 155, after line 34-- insert-- `(6) To remove any doubt, it is declared that each administration rule is a statutory instrument under the Statutory Instruments Act 1992. Note-- Under the Statutory Instruments Act 1992, sections 24 and 25,6 an administration rule may provide for a fee in relation to specified exceptions and factors or different persons or matters.'. 5 Section 157 (Levy for benefit of fidelity fund) 6 Statutory Instruments Act 1992, sections 24 (Statutory instrument may be of general or limited application) and 25 (Statutory instrument may make different provision for different categories)

6 Legal Profession Bill 2004 14 Clause 229-- At page 157, lines 24 to 26-- omit, insert-- `A regulatory authority must ensure that an up-to-date version of each administration rule is available, without charge, for public inspection-- (a) at the authority's principal place of business during normal working hours; or'. 14A Clause 286-- At page 190, lines 22 to 25-- omit, insert-- `(3) Without limiting subsection (2), a disciplinary body that makes an order under section 284 may make a further order requiring an Australian legal practitioner, in relation to whom the order under section 284 relates, to pay costs in relation to the order.'. 16 Clause 336-- At page 221, line 11, `authorise'-- omit. 17 Clause 527-- At page 305, line 17, `; and'-- omit, insert-- `during normal working hours; or'.

7 Legal Profession Bill 2004 18 Clause 602-- At page 349, lines 10 to 22-- omit, insert-- `(1) The main purpose of this division is to provide for the transition from the system operating in Queensland before the commencement of this section to the system that is to operate after the commencement of chapter 2, part 4, namely before the commencement of this section-- (a) persons who practised in the manner of a solicitor ("solicitors") were required to hold practising certificates under the Queensland Law Society Act, as in force immediately before the commencement of this section, that were issued, generally speaking, for a financial year; and (b) persons who practised in the manner of a barrister ("barristers") were not required to hold any practising certificates. `(2) The main purpose is to be achieved by making different arrangements for solicitors and barristers, including, for example-- (a) provisions that require a solicitor's practising certificate, issued under the Queensland Law Society Act as in force before the commencement of section 603, relating to the financial year starting on 1 July 2004 to be taken to be a local practising certificate under this Act; and (b) provisions that commence on the commencement of this section that will allow persons who wish to obtain a practising certificate from the bar association relating to the financial year starting on 1 July 2004, to apply before the commencement of chapter 2, part 4 and for the application to be dealt with under that part despite the fact the part has not commenced. `(3) To achieve this purpose, until the commencement of section 508,7 a reference in a provision of this Act to the law society, or to a regulatory authority that includes the law society, includes the law society as established at the time of the commencement of this section, if the context permits.'. 7 Section 508 (Establishment of Queensland Law Society)

8 Legal Profession Bill 2004 19 Clause 604-- At page 351, line 4, after `section,'-- insert-- `relating to the financial year beginning on 1 July 2004'. 20 Clause 604-- At page 351, lines 18 to 22-- omit, insert-- `(5) Within 28 days after the commencement, a person mentioned in subsection (1) must give the law society a written statement-- (a) about any show cause event in relation to the person that happened after the person was first admitted as a barrister, barrister and solicitor, legal practitioner, solicitor or solicitor and barrister, under an Act of this or another jurisdiction; and (b) explaining why, despite the event, the applicant is a suitable person to hold, or continue to hold, a local practising certificate. `(6) Subsection (5) applies whether or not the person has been granted a practising certificate, the person's practising certificate has been renewed, or the law society must continue to deal with the person's application. `(7) The law society must give a copy of a statement under subsection (5) to the commissioner. `(8) A contravention of subsection (5) is capable of constituting unsatisfactory professional conduct or professional misconduct.'. 21 Clause 605-- At page 351, lines 24 to 29 and page 352, lines 1 to 14-- omit, insert-- `(1) The purpose of this section is to make arrangements in relation to the grant of practising certificates by the bar association that are different from the arrangements for the law society under sections 603 and 604 by, for example--

9 Legal Profession Bill 2004 (a) allowing persons who wish to obtain a practising certificate from the bar association relating to the financial year starting on 1 July 2004 to apply for the grant of a practising certificate before the commencement of section 44;8 and (b) persons who apply before that commencement, and other persons who apply before 28 days after that commencement for the grant of a practising certificate from the bar association relating to the financial year beginning on 1 July 2004, to practise as a barrister until this section provides otherwise or expires. `(2) Without limiting the Acts Interpretation Act 1954, section 179-- (a) a person who wishes to apply, before the commencement of section 44, for the grant of a practising certificate from the bar association relating to the financial year starting on 1 July 2004 may do so under chapter 2, part 410 even though that part, other than section 83,11 has not commenced; and (b) the bar association may deal with the application under chapter 2, part 4 and do other things for the purposes of dealing with the application even though that part, other than section 83,12 has not commenced. `(3) Despite the commencement of sections 24 and 25,13 on and after the day of commencement of those sections (the "commencement day"), those sections do not apply to a person who, immediately before the commencement day, lawfully engaged in legal practice in this jurisdiction as a barrister, if the person-- (a) has applied to the bar association for a practising certificate at any time before 28 days after the commencement day, whether the application was made before or after the commencement day; and 8 Section 44 (Main purposes of ch 2, pt 4) 9 Acts Interpretation Act 1954, section 17 (Exercise of powers between enactment and commencement) 10 Chapter 2 (Engaging in legal practice other than by Australian-registered foreign lawyers), part 4 (Legal Practice by Australian Legal Practitioners) 11 Section 83 (Regulatory authority may charge reasonable fees) 12 Section 83 (Regulatory authority may charge reasonable fees) 13 Sections 24 (Prohibition on engaging in legal practice when not entitled) and 25 (Prohibition on representing or advertising entitlement to engage in legal practice when not entitled)

10 Legal Profession Bill 2004 (b) the person engages in legal practice only to the extent that a person who is, after the commencement day, a barrister under this Act could engage in legal practice in this jurisdiction under this Act. `(4) A person who has applied for the grant of a practising certificate as mentioned in subsection (3)(a) is, on and after the commencement of section 44, taken to be the holder of a current practising certificate from the bar association until the earliest of the following happens-- (a) the bar association grants a practising certificate to the person; (b) the bar association refuses to grant a practising certificate to the person; (c) a regulation, made under section 643,14 provides subsection (3) no longer has effect. `(5) This section expires 6 months after section 44 commences.'. 22 Clause 610-- At page 354, lines 24 to 28 and page 355, lines 1 to 21-- omit, insert-- `(1) This section applies to the rules of the law society as in force immediately before the commencement of this subsection, including rules made under the Queensland Law Society Act, section 5A or 46,15 as in force immediately before the commencement, including the indemnity rules. `(2) Subject to subsection (5), the rules continue to have effect as subordinate legislation made under this Act and the Queensland Law Society Act even if the rules would have otherwise expired under the Queensland Law Society Act or the Statutory Instruments Act 1992, but the rules as continued may only be amended or repealed as mentioned in subsection (4). `(3) After the commencement of this subsection and despite the Queensland Law Society Rule 1987, rule 100(4), there is no need for a certificate issued and signed by autographical or mechanical means, as 14 Section 643 (Transitional regulation-making power) 15 Queensland Law Society Act, section 5A (Rules) or 46 (Governor in Council may make rules for purposes of this Act)

11 Legal Profession Bill 2004 mentioned in the rule, to be initialled by the secretary or deputy secretary in order for that certificate to have full force and be valid. `(4) A regulation made under section 64316 may-- (a) provide for the way a particular provision of the rules operates under this Act; or (b) amend a provision of the rules; or (c) repeal the rules, or part of the rules that continues to have effect under this section. Note for subsection (4)-- When a legal profession rule, administration rule or law society rule is made about a matter, a regulation may need to be made to amend or repeal a provision of the rules that is continued and deals with that matter. `(5) Without limiting subsection (4)-- (a) the Queensland Law Society Rule 1987, sections 82, 83, 114 and 121 are repealed; and (b) a reference in the Queensland Law Society Rule 1987 to a practising certificate includes a practising certificate that, as mentioned in section 603,17 is taken to be a local practising certificate. `(6) The following rules made under the Queensland Law Society Act, as in force immediately before the commencement of this subsection, do not stop having effect on 30 June 2004 but continue to have effect, despite section 5A(9) of that Act and the Statutory Instruments Act 1992-- (a) the Queensland Law Society (Indemnity) Rule 1987; (b) the Queensland Law Society Rule 1987. `(7) This section expires 1 year after subsection (1) commences.'. 16 Section 643 (Transitional regulation-making power) 17 Section 603 (Actions before commencement that continue to have effect)

12 Legal Profession Bill 2004 23 Clause 613-- At page 357, lines 3 to 9-- omit, insert-- `(1) The purpose of this section is to provide for the commencement of chapter 6, part 118 before the commencement of section 256.19 `(2) This section applies to the following-- (a) a complaint made by a person under the Queensland Law Society Act before the commencement of this section, including a complaint mentioned in section 6AF of that Act, that has not been finally dealt with before the commencement of this section; (b) a complaint made after the commencement of this section and before section 256 commences about a person who engages in legal practice in the manner of a barrister or solicitor. `(3) Before the commencement of section 256, as the commissioner considers appropriate, the commissioner may-- (a) do any preparatory work in relation to a complaint mentioned in subsection (2); and (b) for a complaint mentioned in subsection (2)(a)--perform functions and exercise powers under the Queensland Law Society Act, part 2B as if that part had not been repealed and a reference in that part to the legal ombudsman were a reference to the commissioner.'. 24 Clause 614-- At page 357, line 16, after `Act'-- insert-- `but, subject to a regulation under section 643,20 the commissioner may change the way the commissioner deals with the complaint if-- 18 Chapter 6 (Establishment of entities for this Act, and related matters), part 1 (Legal Services Commissioner) 19 Section 256 (Making a complaint) 20 Section 643 (Transitional regulation-making power)

13 Legal Profession Bill 2004 (a) the commissioner considers the change appropriate because the complaint was made before section 256 commenced or applied to conduct that happened before that commencement; and (b) the change is to prevent duplication or unreasonable delay.'. 25 Clause 617-- At page 360, line 8, after `commencement'-- insert-- `of this section'. 26 Clause 638-- At page 368, lines 12 and 13-- omit, insert-- `(1) The Queensland Law Society Act, part 2B, is repealed and, on the repeal, the legal ombudsman goes out of office despite section 6AJ21 of that Act.'. 27 Clause 643-- At page 369, lines 15 to 22-- omit, insert-- `(a) for which it is necessary to make provision to allow or facilitate the doing of anything to achieve the change-- (i) from the operation of a relevant law, or another Act in relation to the legal profession, as in force before the commencement of this section to the operation of a relevant law, or another Act in relation to the legal profession, as in force from time to time after that commencement; or (ii) from the operation of a relevant law, or another Act in relation to the legal profession, as in force from time to time after the commencement of this section to the operation of a relevant law, or another Act in relation to the legal 21 Queensland Law Society Act, section 6AJ (Duration of appointment)

14 Legal Profession Bill 2004 profession, as in force from time to time after that commencement; and (b) for which this Act does not make provision or sufficient provision. `(1A) Without limiting subsection (1), the power to make a transitional regulation includes the power to provide for changes under this Act to the law at different times.'. 28 Schedule 2-- At page 399, line 7-- omit, insert-- ` `before the commencement of section 62822'.'. 29 Schedule 4-- At page 403, line 14, `in this Act'-- omit, insert-- `under this Act, including in rules continued in force under the Legal Profession Act, section 610,23'. 30 Schedule 4-- At page 406, line 12-- omit, insert-- `15 Part 2C--'. � State of Queensland 2004 22 Section 628 (Main purposes of ch 8, pt 5, div 11)

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