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LEGAL PROFESSION UNIFORM LAW APPLICATION ACT 2014
- Schedule 1 Table of Contents

LEGAL PROFESSION UNIFORM LAW

1 Citation

2 Commencement

3 Objectives

4 Extraterritorial operation of this Law

5 Jurisdictional arrangements

6 Definitions

7 Interpretation generally

8 Meaning of pro bono basis

9 Objectives

10 Prohibition on engaging in legal practice by unqualified entities

11 Prohibition on advertisements or representations by or about unqualified entities

12 Entitlement of certain persons to use certain titles, and presumptions with respect to other persons

13 Protection of lay associates

14 Functions of local regulatory authority with respect to offence

15 Objective

16 Admission

17 Prerequisites for compliance certificates

18 Exemption from certain prerequisites

19 Compliance certificates

20 Conditional admission of foreign lawyers

21 Declaration of early assessment of suitability for a compliance certificate

22 Supreme Court roll

23 Removal from Supreme Court roll

24 Notice to be given of interjurisdictional action

25 Australian lawyer is officer of Supreme Court

26 Right of appeal about compliance certificates

27 Right of appeal about early assessment of suitability for a compliance certificate

28 Provisions relating to appeals

29 Accreditation of law courses and providers of practical legal training

30 Objectives

31 Action in relation to certificates is taken locally

32 Business structures

33 Obligations not affected by nature of business structures

34 Responsibilities of principals

35 Liability of principals

36 Discharge by legal practitioner associate of obligations of law practice

37 Involvement of practitioners

38 Privileges of practitioners

39 Undue influence

40 Approval of relationships regarding principals

41 Uniform Rules

42 Objectives

43 Entitlement to practise

44 Grant or renewal of Australian practising certificates in this jurisdiction

45 Prerequisites for grant or renewal of Australian practising certificates in this jurisdiction

46 Notification of principal place of practice

47 Conditions—categories of practice and trust money

48 Statutory conditions—to comply with admission conditions and to hold only one practising certificate

49 Statutory condition—to engage in supervised legal practice

50 Statutory condition—barrister to undertake reading program

51 Statutory condition—to notify certain events

52 Statutory condition—continuing professional development

53 Discretionary conditions

54 Compliance with conditions

55 Alteration or substitution of varied certificate

56 Government lawyers

57 Uniform Rules for Australian practising certificates and associated matters

58 Objective

59 This Part does not apply to Australian legal practitioners

60 Practice of foreign law without registration but for limited periods

61 Entitlement to practise

62 Grant or renewal of Australian registration certificates

63 Notification of principal place of practice

64 Conditions—trust money

65 Statutory condition—to hold only one Australian registration certificate

66 Statutory condition—to notify certain events

67 Discretionary conditions

68 Compliance with conditions

69 Scope of practice

70 Form of practice

71 Uniform Rules for foreign lawyers

72 Objectives

73 References to certificate

74 Variation, suspension or cancellation for minor matters, or at request or with concurrence

75 Variation, suspension or cancellation at direction of tribunal

76 Variation, suspension or cancellation under Division 3 or 4

77 Immediate variation or suspension before or during consideration of proposed action

78 Lifting of suspension and renewal during suspension

79 Matters involving convictions

80 Notice to be given of interjurisdictional action

81 Notice to be given to certificate holder

82 Grounds for action under this Division

83 Local regulatory authority to give notice before acting under this Division

84 Action taken after giving notice

85 Show cause events

86 Nature of automatic show cause events

87 Automatic show cause events—applicants

88 Automatic show cause events—holders

89 Automatic show cause events—action by local regulatory authority

90 Nature of designated show cause events

91 Designated show cause events—holders

92 Designated show cause events—action by local regulatory authority

93 Events or matters occurring before admission or registration

94 Restriction on making further applications

95 Consideration and investigation of applicants or holders

96 Deferral of action or temporary renewal for limited purposes

97 Relationship of this Part with Chapter 5

98 Uniform Rules

99 Objective

100 Right of appeal or review about Australian practising certificates

101 Right of appeal or review about Australian registration certificates

102 Application of this Division

103 Services that may be provided

104 Notice of intention to engage in or terminate legal practice

105 Principals

106 Law practice without principal

107 Disclosure obligations

108 External administration proceedings under Corporations Act or other legislation

109 Incorporated legal practice that is subject to receivership under this Law and external administration under Corporations Act

110 Incorporated legal practice that is subject to receivership under this Law and external administration under other legislation

111 Extension of vicarious liability relating to failure to account, pay or deliver and dishonesty to incorporated legal practices

112 Relationship of Law to constitution of, or legislation establishing, incorporated legal practice

113 Relationship of Law to Corporations legislation

114 Approval of business structures

115 Uniform Rules for incorporated and unincorporated legal practices

116 Status of community legal services

117 Supervising legal practitioner

118 Uniform Rules for community legal services

119 Disqualification of individuals (other than practitioners)

120 Disqualification of entities from providing legal services

121 Contravention by law practice—disqualified or convicted person as lay associate

122 Contravention by disqualified person

123 Contravention by Australian legal practitioner

124 Disqualified entity ceases to be incorporated or unincorporated legal practice

125 Spent convictions

126 Objectives

127 Objective

128 Definitions

129 Meaning of trust money

130 Application of this Part to law practices and trust money

131 Australian-registered foreign lawyers

132 Former practices, principals and associates

133 Receiving or holding money by or on behalf of barristers on account of legal costs for legal services

134 Provisions relating to certain money

135 Dealing with trust money

136 General trust account for each jurisdiction

137 Certain trust money to be deposited in general trust account

138 Holding, disbursing and accounting for trust money in general trust account

139 Controlled money

140 Transit money

141 Trust money subject to specific powers

142 Trust money subject to a written direction

143 Trust money received in the form of cash

144 Withdrawal of trust money

145 Protection of trust money

146 Intermixing money

147 Keeping trust records

148 Deficiency in trust account

149 Authorised deposit-taking institutions

150 Authority to receive trust money

151 Disclosure of accounts used to hold money

152 Determinations about status of money

153 When, how and where money is received

154 Reporting irregularities and suspected irregularities

155 Appointment of external examiner to conduct external examination of trust records

156 Qualifications of external examiners

157 External examinations

158 Carrying out external examination

159 External examiner's report

160 Costs of external examination

161 Principal purposes of external investigation

162 Appointment of external investigators

163 External investigations

164 Carrying out external investigation

165 Investigator's report

166 Costs of external investigation

167 Unclaimed money

168 Uniform Rules for trust money and trust accounts

169 Objectives

170 Commercial or government clients

171 Third party payers

172 Legal costs must be fair and reasonable

173 Avoidance of increased legal costs

174 Disclosure obligations of law practice regarding clients

175 Disclosure obligations if another law practice is to be retained

176 Disclosure obligations of law practice regarding associated third party payers

177 Disclosure obligations regarding settlement of litigious matters

178 Non-compliance with disclosure obligations

179 Client's right to costs agreement

180 Making costs agreements

181 Conditional costs agreements

182 Conditional costs agreements involving uplift fees

183 Contingency fees are prohibited

184 Effect of costs agreement

185 Certain costs agreements are void

186 Form of bills

187 Request for itemised bills

188 Responsible principal for bill

189 Giving bills

190 Progress reports

191 Charging for bills prohibited

192 Notification of client's rights

193 Interim bills

194 Restriction on commencing proceedings to recover legal costs

195 Interest on unpaid legal costs

196 Application of this Division generally

197 Application of this Division where complaint made

198 Applications for costs assessment

199 Costs assessment

200 Factors in a costs assessment

201 Reasons to be given

202 Referral for disciplinary action

203 Admissibility determinations in disciplinary proceedings

204 Costs of costs assessment

205 Right of appeal or review

206 Security for legal costs

207 Unreasonable legal costs—disciplinary action

208 Uniform Rules for legal costs

209 Objectives

210 Approved insurance policy

211 Australian legal practitioners

212 Incorporated legal practices

213 Community legal services

214 Australian-registered foreign lawyers

215 Exemptions

216 Notification of proposed change of jurisdiction in which professional indemnity insurance is obtained

217 Uniform Rules for professional indemnity insurance

218 Objective

219 Definitions

220 Meaning of relevant jurisdiction

221 Defaults to which this Part applies

222 Fidelity fund for this jurisdiction

223 How this Part applies to this jurisdiction

224 Funding

225 Annual contributions

226 Levies

227 Failure to pay annual contribution or levy

228 Insurance

229 Borrowing

230 Caps on payments for claims

231 Sufficiency

232 Audit

233 Entitlement to make a claim

234 Making a claim

235 Advertisements

236 Time limit for making claims

237 Processing and investigation of claims

238 Advance payments

239 Claims by law practices or associates about notional defaults

240 Determination of claims

241 Maximum amount allowable

242 Costs

243 Interest

244 Reduction of claim because of other benefits

245 Repayment of certain amounts

246 Subrogation

247 Right of appeal against decision on claim

248 Right of appeal against failure to determine claim

249 Court proceedings

250 Concerted interjurisdictional defaults

251 Default involving interjurisdictional elements if committed by one associate only

252 Interjurisdictional agency

253 Cooperation

254 Protection from liability

255 Uniform Rules for fidelity cover

256 Compliance audits

257 Management system directions

258 Prohibited services and business

259 Uniform Rules for legal services

260 Objectives

261 References to lawyers

262 Application of this Chapter to conduct of lawyer or law practice

263 Application of this Chapter to lawyers and law practices

264 Jurisdiction of Supreme Courts

265 What is a complaint?

266 Who may make a complaint?

267 How is a complaint made?

268 Matters in a complaint

269 Consumer matters (including costs disputes)

270 Disciplinary matters

271 Mixed complaints

272 Time limits on making complaints

273 Withdrawing complaints

274 Where complaint is dealt with

275 Other rights not affected

276 Preliminary assessment of complaint

277 Closure of whole or part of complaint after preliminary assessment

278 Immediate suspension of practising or registration certificate

279 Notification to respondent about complaint

280 Submissions by respondent

281 Exceptions to requirement for notification of complaint

282 Power to investigate complaints

283 Extending scope of investigation

284 Referral of matters for costs assessment

285 Application of this Part

286 Prerequisite to resolution action by local regulatory authority

287 Informal resolution of consumer matters

288 Mediation

289 Settlement agreements

290 Determination of consumer matters by local regulatory authority

291 General role of local regulatory authority in costs disputes

292 Binding determinations in costs disputes

293 Cases where binding determinations are not made in costs disputes

294 GST excluded in calculations

295 Application of this Part

296 Unsatisfactory professional conduct

297 Professional misconduct

298 Conduct capable of constituting unsatisfactory professional conduct or professional misconduct

299 Determination by local regulatory authority—unsatisfactory professional conduct

300 Initiation and prosecution of proceedings in designated tribunal

301 Procedure of designated tribunal

302 Determination by designated tribunal—disciplinary matters

303 Costs

304 Compliance with orders of designated tribunal

305 Power to disregard procedural lapses

306 Making of compensation orders

307 Request by complainant for compensation order

308 Nature of compensation orders

309 Prerequisites for making of compensation orders

310 Enforcement of compensation orders

311 Other remedies not affected

312 Finality of determinations of local regulatory authority

313 Internal review of decisions of local regulatory authority

314 Right of appeal or review of decisions of local regulatory authority

315 Duty to deal with complaints

316 Duty to exercise discretions fairly

317 Duty to deal with complaints efficiently and expeditiously

318 Notice of decisions and determinations

319 Rules of procedural fairness

320 Power to make orders includes power to make recommendations

321 Waiver of privilege or duty of confidentiality—complaints

322 Uniform Rules

323 Objectives

324 Further application of this Chapter

325 Operation of appointment of external intervener in another participating jurisdiction

326 Circumstances warranting external intervention

327 Determination to initiate external intervention

328 Appointment of external intervener may be general or limited

329 Appointment of supervisor of trust money

330 Effect of service of notice of appointment

331 Role of supervisor of trust money

332 Records of and dealing with trust money of law practice under supervision

333 Termination of supervisor's appointment

334 Appointment of manager

335 Effect of service of notice of appointment

336 Role of managers

337 Records and accounts of law practice under management and dealings with trust money

338 Deceased estates

339 Lien for costs on regulated property

340 Termination of manager's appointment

341 Appointment of receiver

342 Effect of service of notice of appointment

343 Role of receivers

344 Records and accounts of law practice under receivership and dealings with trust money

345 Power of receiver to take possession of regulated property

346 Power of receiver to take delivery of regulated property

347 Power of receiver to deal with regulated property

348 Power of receiver to require documents or information

349 Examinations about regulated property

350 Lien for costs on regulated property

351 Regulated property not to be attached

352 Recovery of regulated property where there has been a breach of trust etc.

353 Improperly destroying property etc.

354 Deceased estates

355 Termination of receiver's appointment

356 Conditions on appointment of external intervener

357 Status of acts of external intervener

358 Right of appeal or review about appointment of external intervener

359 Directions of designated tribunal

360 Manager and receiver appointed for law practice

361 ADI disclosure requirements

362 Confidentiality

363 Provisions relating to requirements under this Chapter

364 Obstruction of external intervener

365 Fees, costs and expenses

366 Protection from liability

367 Uniform Rules for external intervention

368 Objective

369 References to lawyers

370 Requirements—trust records examinations, trust records investigations and compliance audits

371 Requirements—complaint investigations

372 Inspection and copying of documents

373 Retention and return of documents

374 Investigator's power to enter premises—trust records investigations, compliance audits and complaint investigations

375 Powers of investigator while on premises

376 Provisions relating to entry and search with consent

377 Search warrants

378 Search warrants—announcement before entry

379 Search warrants—details of warrant to be given to occupier

380 Retention and return of things seized during search

381 Copies of seized things to be provided

382 Application and operation of this Part

383 Examination of persons

384 Inspection of books

385 Power to hold hearings

386 Report to local regulatory authority of disciplinary matters

387 Obstruction of investigator

388 Obligation of lawyers

389 Protection from liability

390 Uniform Rules

391 Role of Standing Committee

392 Decisions of Standing Committee

393 Reports for Standing Committee

394 Establishment and objectives of Council

395 Provisions relating to Council

Sch. 1
note to s. 395(4) repealed by No. 8/2015 s. 22.

396 Functions of Council in relation to Commissioner

397 Delegation of Council's functions

398 Establishment and objectives of office of Commissioner

399 Provisions relating to Commissioner

400 Delegation of Commissioner's functions

401 Independence of Commissioner

402 Establishment and functions of Admissions Committee

403 Provisions relating to Admissions Committee

404 Independence of local regulatory authorities

405 Local regulatory authority for Chapter 5 functions to be independent entity

406 Delegation of functions of local regulatory authorities

407 Guidelines and directions by Council or Commissioner for local regulatory authorities

408 Guidelines and directions by local regulatory authorities for their delegates

409 Functions of Council in relation to local regulatory authorities

410 Functions of Commissioner in relation to Chapter 5 functions of local regulatory authorities

411 Power of local regulatory authority to take over exercise of delegated function

412 Exercise of functions generally

413 Registers of delegations

414 Documents lodged with Council or Commissioner instead of local regulatory authority

415 Limitation as to individual matters

416 Application of certain Acts of New South Wales

417 Legal Profession Uniform Regulations

418 Publication of Uniform Regulations

419 Power to make Uniform Rules

420 Categories of Uniform Rules

421 Contents of Admission Rules

422 Contents of Legal Practice Rules

423 Contents of Legal Profession Conduct Rules

424 Contents of Continuing Professional Development Rules

425 Development of general Uniform Rules

426 Development of Admission Rules

427 Development of Legal Practice Rules, Legal Profession Conduct Rules and Continuing Professional Development Rules

428 Making of Uniform Rules

429 Cases where public consultation not required

430 Urgent matters

431 Publication of Uniform Rules

432 Australian Legal Profession Register

433 Public availability of Australian Legal Profession Register

434 Local legal profession register

435 Content of registers

436 Arrangements with authorities

437 Ad hoc communication with authorities

438 Disclosure of information to ASIC

439 Disclosure of information between relevant persons

440 Information, assistance and cooperation

441 Cooperation with Commonwealth, States and Territories

442 Service of notices on lawyers and law practices

443 Service of notices on Council, Commissioner, Admissions Committee, local regulatory authority or delegate

444 Service of notices on other persons

445 Time of service

446 Evidentiary matters

447 Injunctions to restrain contraventions of Law or Uniform Rules

448 Amendment or discharge of injunctions

449 Interim injunctions—undertakings about costs or damages

450 Supreme Court's other powers not limited

451 Criminal penalties

452 Civil penalties

453 Designated tribunal may order payment of pecuniary penalty

454 Contravening a civil penalty provision is not an offence

455 Persons involved in contravening civil penalty provision

456 Recovery of a pecuniary penalty

457 Civil proceedings after criminal proceedings

458 Criminal proceedings during civil proceedings

459 Criminal proceedings after civil proceedings

460 Evidence given in proceedings for penalty order not admissible in criminal proceedings

461 Compliance with recommendations or orders made under corresponding laws

462 Prohibition on disclosure of information

463 Effect of decision on appeal or review

464 General provisions about appeal or review

465 Duty to report suspected offences

466 Provisions relating to certain requirements under this Law

467 Protection from liability

468 Non-compellability of certain witnesses

469 Investigation of offences

470 Contraventions by partnerships or other unincorporated bodies

471 Indexation of amounts

472 Supreme Court may order delivery up of documents etc.

473 Forms

474 Fees

475 Provisions applying in relation to non-participating jurisdictions

SCHEDULE 1

SCHEDULE 2

SCHEDULE 3

SCHEDULE 4