Western Australian Current Regulations

LEGAL PROFESSION UNIFORM GENERAL RULES 2015

TABLE OF PROVISIONS

CHAPTER 1 -- Preliminary

   PART 1.1 -- Introduction  

   1.      Citation  
   2.      Commencement  
   3.      Objective  
   4.      Authorising provision

   PART 1.2 -- Interpretation  

   5.      Definitions  
   6.      Professional associations excluded from being incorporated legal practices  
   7.      Supervised legal practice

CHAPTER 2 -- Threshold requirements for legal practice

   PART 2.1 -- Unqualified legal practice  

   8.      Authorising provision  
   9.      Entitlement to certain titles  
   10.     Exemption from prohibition on engaging in legal practice

CHAPTER 3 -- Legal practice

   PART 3.3 -- Australian legal practitioners  

   11.     Authorising provision  
   12.     Application for grant or renewal of Australian practising certificate  
   13.     Consideration of application for grant or renewal of Australian practising certificate  
   14.     Statutory condition -- to engage in supervised legal practice  
   15.     Statutory condition -- notification of certain offences  
   16.     Discretionary conditions on Australian practising certificate  
   17.     Duration of Australian practising certificate  
   18.     Applicant for grant or renewal of Australian practising certificate intending to practise

   PART 3.4 -- Foreign lawyers  

   19.     Authorising provision  
   20.     Application for Australian registration certificate  
   21.     Grounds for refusing to grant or renew Australian registration certificate  
   22.     Discretionary conditions on Australian registration certificate  
   23.     Duration of Australian registration certificate

   PART 3.5 -- Variation, suspension and cancellation of, or refusal to renew, certificates  

   24.     Authorising provision  
   25.     Notice by holder of certificate of automatic show cause event  
   26.     Notice by holder of certificate of designated show cause event

   PART 3.7 -- Incorporated and unincorporated legal practices  

   27.     Authorising provision  
   28.     Notice of intention to engage in legal practice  
   29.     Notice of cessation of legal practice  
   30.     Provisions relating to notices  
   31.     Disclosure obligations  
   32.     Directors of incorporated legal practice and pro bono services

CHAPTER 4 -- Business practice and professional conduct

   PART 4.2 -- Trust money and trust accounts

           Division 1 -- Preliminary  

   33.     Authorising provision  
   34.     Definitions

           Division 2 -- Trust money and trust accounts  

   35.     Maintenance of general trust account  
   36.     Receipting of trust money  
   37.     Deposit records for trust money  
   38.     Computerised accounting systems -- copies of trust records  
   39.     Computerised accounting systems -- chronological record of information to be made  
   40.     Computerised accounting systems -- requirements regarding systems  
   41.     Computerised accounting systems -- back‑ups  
   42.     Withdrawal of trust money for payment of legal costs  
   43.     Method of payment  
   44.     Trust account receipts cash books  
   45.     Trust account payments cash book  
   46.     Journal transfers  
   47.     Recording transactions in trust ledger accounts  
   48.     Reconciliation of trust records  
   49.     Trust ledger account in name of law practice or legal practitioner associate  
   50.     Notification requirements regarding general trust accounts  
   51.     Law practice closing down, closing office or ceasing to receive or hold trust money  
   52.     Trust account statements  
   53.     Trust account statements for commercial or government clients  
   54.     Statements regarding receipt or holding of trust money  
   55.     Trust money subject to specific powers  
   56.     Authority to receive trust money  
   57.     Disclosure of accounts used to hold money  
   58.     When, how and where money is received  
   59.     Register of investments  
   60.     Register of powers and estates in relation to trust money

           Division 3 -- Controlled money  

   61.     Maintenance of controlled money account  
   62.     Receipt of controlled money  
   63.     Withdrawal of controlled money from controlled money account  
   64.     Register of controlled money

           Division 4 -- External examinations  

   65.     Designation of persons eligible to be appointed as external examiners  
   65A.    Revocation of eligibility for appointment as external examiner  
   66.     Appointment of external examiner by law practice  
   67.     Standard form reports by external examiners  
   68.     Final external examination  
   69.     External examiner’s report

   PART 4.3 -- Legal costs  

   70.     Authorising provision  
   71.     Commercial or government clients  
   72.     Alternative disclosure for legal costs below higher threshold  
   72A.    Non‑compliance with disclosure obligations -- disapplication of section 178(1) and (2) of the Uniform Law  
   73.     Giving bills  
   74.     Itemised bill higher than lump sum bill  
   75.     Interest on unpaid legal costs  
   76.     Costs assessment -- party not participating in assessment

   PART 4.4 -- Professional indemnity insurance  

   77.     Authorising provision  
   78.     Minimum standards for professional indemnity insurance -- law practices except barristers  
   79.     Minimum standards for professional indemnity insurance -- barristers  
   80.     Notice to be given where certain legal services not covered by insurance  
   81.     Regulatory authority may inspect policies  
   82.     Exemptions

   PART 4.5 -- Fidelity cover  

   83.     Authorising provision  
   84.     Time of default  
   85.     Defaults to which Uniform Law does not apply  
   86.     Making a claim  
   87.     Investigation of claims  
   88.     Change in status of law practice or associate does not affect claim  
   89.     Advertisements  
   89A.    Interest rate for payments  
   90.     Notification of delay in making decision  
   91.     Recommendations by the fidelity authority to other fidelity authorities

   PART 4.6 -- Business management and control

           Division 1 -- Prohibited businesses and services  

   91A.    Related entities for purposes of section 258  
           91B. Managed investment schemes -- general  
   91BA.   Managed investment schemes -- litigation funding schemes  
   91C.    Mortgages  
   91D.    Financial institutions

           Division 1A -- Files about matters  

   91E.    Opening and maintaining files

           Division 2 -- Registers  

   92.     Authorising provision  
   93.     Register of files opened  
   94.     Register of safe custody documents  
   95.     Register of financial interests  
   95A.    How registers are to be maintained

CHAPTER 6 -- External intervention

   PART 6.1 -- Introduction  

   96.     Authorising provision

   PART 6.3 -- Supervisors of trust money  

   97.     Appointment of supervisor of trust money  
   98.     Notice of appointment

   PART 6.4 -- Managers  

   99.     Appointment of manager  
   100.    Notice of appointment

   PART 6.5 -- Receivers  

   101.    Appointment of receiver  
   102.    Notice of appointment

   PART 6.6 -- General  

   103.    Fees, legal costs and expenses  
   104.    Reports by external intervener  
   105.    Report to designated local regulatory authority on disciplinary matters

CHAPTER 8 -- Regulatory authorities

   PART 8.2 -- Legal Services Council  

   106.    Authorising provision  
   107.    Delegation of Legal Services Council’s functions

CHAPTER 9 -- Miscellaneous

   PART 9.3 -- Legal Profession Registers  

   108.    Authorising provision  
   109.    Australian Legal Profession Register

   PART 9.9 -- General  

   110.    Authorising provision  
   111.    General provisions about appeal or review -- constructive decision  
   111A.   Indexation of amounts

CHAPTER 10 -- Other provisions

   PART 1 -- Provisions relating to Schedule 3 to the Uniform Law  

   112.    Authorising provision 95  
   113.    Non‑participant legal practitioner expecting to practise solely or principally in a participating jurisdiction -- when exemption ceases  
   114.    Non‑participant registered foreign lawyer expecting to practise solely or principally in a participating jurisdiction -- when exemption ceases
           SCHEDULE 1 -- Forms