Australian Capital Territory Current Acts

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LEGAL PROFESSION ACT 2006


TABLE OF PROVISIONS

           Long Title

CHAPTER 1--INTRODUCTION

   PART 1.1--PRELIMINARY--CH 1

   1.      Name of Act  
   3.      Dictionary  
   4.      Notes  
   5.      Offences against Act—application of Criminal Code etc  
   6.      Purposes of Act  

   PART 1.2--IMPORTANT TERMS

   7.      Terms relating to lawyers  
   8.      Terms relating to legal practitioners  
   9.      Terms relating to associates and principals of law practices  
   10.     What is the home jurisdiction?  
   11.     Suitability matters  
   12.     Information notices  
   13.     References to conviction and quashing of conviction  

CHAPTER 2--GENERAL REQUIREMENTS FOR ENGAGING IN LEGAL PRACTICE

   PART 2.1--PRELIMINARY--CH 2

   14.     Simplified outline—ch 2  

   PART 2.2--RESERVATION OF LEGAL WORK AND LEGAL TITLES

   15.     Purposes—pt 2.2  
   16.     Prohibition on engaging in legal practice if not entitled  
   17.     Prohibition on representing or advertising entitlement to engage in legal practice if not  
   18.     Presumptions about taking or using certain names, titles or descriptions  
   19.     Contravention of pt 2.2 by Australian lawyers who are not legal practitioners  

   PART 2.3--ADMISSION OF LOCAL LAWYERS

           Division 2.3.1--Preliminary—pt 2.3

   20.     Purposes—pt 2.3  

           Division 2.3.2--Eligibility and suitability for admission

   21.     Eligibility for admission  
   22.     Suitability for admission  
   23.     Early consideration of suitability for admission  
   24.     Referral of matters to Supreme Court  
   25.     Appeal to Supreme Court on refusal of declaration  

           Division 2.3.3--Admission to legal profession

   26.     Admission  
   27.     Roll of people admitted to legal profession  
   28.     Local lawyer is officer of Supreme Court  

           Division 2.3.4--Functions and powers of admissions board

   29.     Admissions board to advise on application for admission  
   30.     Compliance certificates by admissions board  
   31.     Consideration of applicant's eligibility and suitability for admission  

           Division 2.3.5--Miscellaneous—pt 2.3

   32.     Admissions board is respondent to applications under pt 2.3  

   PART 2.4--LEGAL PRACTICE BY AUSTRALIAN LEGAL PRACTITIONERS

           Division 2.4.1--Preliminary—pt 2.4

   33.     Purposes and application—pt 2.4  

           Division 2.4.2--Legal practice in ACT by Australian legal practitioners

   34.     Entitlement of holder of Australian practising certificate to practise in ACT  

           Division 2.4.3--Local practising certificates generally

   35.     Local practising certificates  
   36.     Suitability to hold local practising certificate  
   37.     Duration of local practising certificate  
   38.     Conditions on practising certificate—government lawyer and in-house  
   40.     Local legal practitioner is officer of Supreme Court  

           Division 2.4.4--Grant or renewal of local practising certificates

   41.     Application for grant or renewal of local practising certificate  
   42.     Approved form for grant or renewal application for practising certificates  
   43.     Timing of application for renewal of local practising certificate  
   44.     Grant or renewal of unrestricted or restricted practising certificate  
   45.     Grant or renewal of barrister practising certificate  

           Division 2.4.5--Conditions on local practising certificates

   46.     Conditions on local practising certificates generally  
   47.     Conditions imposed on local practising certificate by relevant council  
   48.     Statutory condition about conditions imposed on interstate admission  
   49.     Barristers—restrictions on engaging in legal practice etc  
   50.     Statutory condition about practice as a solicitor  
   51.     Statutory condition on local practising certificate about notification of offence  
   52.     Conditions imposed by legal profession rules  
   53.     Compliance with conditions of local practising certificate  

           Division 2.4.6--Amendment, suspension or cancellation of local practising certificates

   54.     Application—div 2.4.6  
   55.     Grounds for amending, suspending or cancelling local practising certificate  
   56.     Amending, suspending or cancelling local practising certificate  
   57.     Operation of amendment, suspension or cancellation of local practising certificate  
   58.     Other ways of amending or cancelling local practising certificate  
   59.     Relationship of div 2.4.6 with ch 4  

           Division 2.4.7--Special powers in relation to local practising certificates—show-cause events

   60.     Applicant for local practising certificate—show-cause event  
   61.     Holder of local practising certificate—show-cause event  
   62.     Refusal to grant or renew unrestricted or restricted practising  
   63.     Refusal to grant or renew barrister practising certificate—failure to show cause  
   64.     Amendment, suspension or cancellation of local practising certificate—failure to show  
   65.     Restriction on further applications for local practising certificate after refusal to grant  
   66.     Restriction on further applications for local practising certificate after cancellation  
   67.     Relationship of div 2.4.7 with pt 4.4 and ch 6  

           Division 2.4.8--Further provisions about local practising certificates

   68.     Immediate suspension of local practising certificate  
   69.     Imposition of conditions on local practising certificate pending criminal proceedings etc  
   70.     Surrender and cancellation of local practising certificate  
   71.     Return of local practising certificate  

           Division 2.4.9--Interstate legal practitioners

   72.     Professional indemnity insurance—interstate legal practitioners  
   73.     Extent of entitlement of interstate legal practitioner to practise in ACT  
   74.     Additional conditions on practice of interstate legal practitioners  
   75.     Special provisions about interstate legal practitioner engaging in unsupervised legal  
   76.     Interstate legal practitioner is officer of Supreme Court  

           Division 2.4.10--Miscellaneous—pt 2.4

   77.     Protocols with regulatory authorities  
   78.     Investigation of practising certificate applicants or holders etc  
   79.     Register of local practising certificates  
   80.     Supreme Court orders about conditions under pt 2.4  
   81.     Appeals against decisions of relevant council  
   82.     Government lawyers generally  
   83.     Government lawyers of other jurisdictions  
   84.     Determination of fees by law society council and bar council  

   PART 2.5--INTER-JURISDICTIONAL PROVISIONS ABOUT ADMISSION AND PRACTISING CERTIFICATES

           Division 2.5.1--Preliminary—pt 2.5

   85.     Purpose—pt 2.5  
   86.     Powers under ch 4 not affected by pt 2.5  

           Division 2.5.2--Notices to be given by local authorities to interstate authorities

   87.     Official notice to other jurisdictions of applications for admission and associated  
   88.     Official notice to other jurisdictions of removals from local roll  
   90.     Relevant council to give notice to other jurisdictions of certain matters  

           Division 2.5.3--Notices to be given by lawyers to local authorities

   91.     Lawyer to give notice of removal in another jurisdiction  
   92.     Lawyer to give notice of interstate orders  
   92A.    Lawyer to give notice of foreign regulatory action  
   93.     Provisions applying to notices under div 2.5.3  

           Division 2.5.4--Taking of action by local authorities in response to notices received

   94.     Peremptory removal of local lawyer's name from local roll following removal in  
   95.     Peremptory cancellation of local practising certificate following removal of name from  
   96.     Show-cause procedure for removal of lawyer's name from local roll following foreign  
   97.     Show-cause procedure for cancellation of local practising certificate following foreign  
   97A.    Order for non-removal of name or non-cancellation of local practising certificate  
   98.     Local authority may give information to other local authorities  

   PART 2.6--INCORPORATED LEGAL PRACTICES AND MULTIDISCIPLINARY PARTNERSHIPS

           Division 2.6.1--Preliminary—pt 2.6

   99.     Definitions—pt 2.6  
   100.    Purposes—pt 2.6  

           Division 2.6.2--Incorporated legal practices

   101.    Nature of incorporated legal practice  
   102.    Nonlegal services and businesses of incorporated legal practices  
   103.    Corporations eligible to be incorporated legal practices  
   104.    Notice of intention of corporation to start providing legal services  
   105.    Prohibition on representations that corporation is incorporated legal practice etc  
   106.    Notice of corporation ceasing to engage in legal practice etc  
   107.    Incorporated legal practice must have legal practitioner director etc  
   108.    Obligations of legal practitioner director relating to misconduct—incorporated legal  
   109.    Incorporated legal practice without legal practitioner director  
   110.    Obligations and privileges of practitioners who are officers or employees of incorporated  
   111.    Professional indemnity insurance—incorporated legal practices  
   112.    Conflicts of interest—incorporated legal practices  
   113.    Disclosure obligations—incorporated legal practices  
   114.    Effect of nondisclosure on provision of certain services by incorporated legal practice  
   115.    Application of legal profession rules to incorporated legal practices  
   116.    Advertising requirements—incorporated legal practices  
   117.    Extension of vicarious liability relating to failure to account and dishonesty to  
   118.    Sharing of receipts, revenue or other income—incorporated legal practices  
   119.    Disqualified people—incorporated legal practices  
   120.    Audit of incorporated legal practices  
   121.    Application of ch 6 to div 2.6.2 audits  
   122.    Banning of incorporated legal practices  
   123.    Disqualification from managing incorporated legal practice  
   124.    Disclosure of information to Australian Securities and Investments Commission  
   125.    External administration proceedings under Corporations Act  
   126.    External administration proceedings under other legislation  
   127.    Incorporated legal practice subject to receivership under this Act and external  
   128.    Incorporated legal practice subject to receivership under this Act and external  
   129.    Cooperation between courts—powers under pt 2.6  
   130.    Relationship of Act to constitution of incorporated legal practices  
   131.    Relationship of Act to legislation establishing incorporated legal practices  
   132.    Relationship of Act to Corporations legislation  
   133.    Undue influence—incorporated legal practices  

           Division 2.6.3--Multidisciplinary partnerships

   134.    Nature of multidisciplinary partnership  
   135.    Conduct of multidisciplinary partnerships  
   136.    Notice of starting practice in multidisciplinary partnership  
   137.    General obligations of legal practitioner partners—multidisciplinary partnerships  
   138.    Obligations of legal practitioner partner relating to misconduct—multidisciplinary  
   139.    Actions of partner of multidisciplinary partnership who is not Australian legal  
   140.    Obligations and privileges of practitioners who are partners or employees of  
   141.    Conflicts of interest—multidisciplinary partnerships  
   142.    Disclosure obligations—multidisciplinary partnerships  
   143.    Effect of nondisclosure on provision of certain services by multidisciplinary  
   144.    Application of legal profession rules to multidisciplinary partnerships  
   145.    Advertising requirements—multidisciplinary partnerships  
   146.    Sharing of receipts, revenue or other income—multidisciplinary partnerships  
   147.    Disqualified people—multidisciplinary partnerships  
   148.    Prohibition on multidisciplinary partnerships with certain partners who are not Australian  
   149.    Undue influence—multidisciplinary partnerships  

           Division 2.6.4--Miscellaneous—pt 2.6

   150.    Obligations of individual practitioners not affected by pt 2.6  
   151.    Regulations—pt 2.6  

   PART 2.7--LEGAL PRACTICE--FOREIGN LAWYERS

           Division 2.7.1--Preliminary—pt 2.7

   152.    Definitions—pt 2.7  
   153.    Purpose—pt 2.7  
   154.    Pt 2.7 does not apply to Australian legal practitioners or foreign lawyers engaged  

           Division 2.7.2--Practice of foreign law

   155.    Requirement for registration to practice foreign law  
   156.    Entitlement of Australian-registered foreign lawyer to practise in ACT  
   157.    Scope of practice of Australian-registered foreign lawyer  
   158.    Form of practice of foreign law  
   159.    Application of Australian professional ethical and practice standards to practice of foreign  
   160.    Designation of Australian-registered foreign lawyers  
   161.    Letterhead and other identifying documents of Australian-registered foreign lawyers  
   162.    Advertising by Australian-registered foreign lawyers  
   163.    Foreign lawyer employing Australian legal practitioner  
   164.    Trust money and trust accounts—Australian-registered foreign lawyers  
   165.    Professional indemnity insurance—Australian-registered foreign lawyers  
   166.    Fidelity cover—Australian-registered foreign lawyers  

           Division 2.7.3--Local registration of foreign lawyers generally

   167.    Local registration of foreign lawyers  
   168.    Duration of registration—foreign lawyers  
   169.    Locally-registered foreign lawyer not officer of Supreme Court  

           Division 2.7.4--Applications for grant or renewal of local registration as foreign lawyer

   170.    Application for grant or renewal of registration as foreign lawyer  
   171.    Approved form for grant or renewal application—foreign lawyers  
   172.    Requirements for applications for grant or renewal of registration—foreign lawyers  

           Division 2.7.5--Grant or renewal of registration as foreign lawyer

   173.    Grant or renewal of registration as foreign lawyer  
   174.    Requirement to grant or renew registration as foreign lawyer if criteria satisfied  
   175.    Refusal to grant or renew registration as foreign lawyer  

           Division 2.7.6--Amendment, suspension or cancellation of local registration of foreign lawyer

   176.    Application—div 2.7.6  
   177.    Grounds for amending, suspending or cancelling registration of foreign lawyer  
   178.    Amending, suspending or cancelling registration of foreign lawyer  
   179.    Operation of amendment, suspension or cancellation of registration of foreign lawyer  
   180.    Other ways of amending or cancelling registration of foreign lawyer  
   181.    Relationship of div 2.7.6 with ch 4  

           Division 2.7.7--Special powers in relation to local registration of foreign lawyer—show-cause events

   182.    Applicant for local registration as foreign lawyer—show-cause event  
   183.    Locally-registered foreign lawyer—show-cause event  
   184.    Refusal, amendment, suspension or cancellation of local registration as foreign  
   185.    Restriction on making further applications for registration as foreign lawyer  
   186.    Relationship of div 2.7.7 with pt 4.4 and ch 6  

           Division 2.7.8--Further provisions about local registration of foreign lawyers

   187.    Immediate suspension of registration as foreign lawyer  
   188.    Surrender of local registration certificate and cancellation of registration as foreign  
   189.    Automatic cancellation of registration of foreign lawyer on grant of practising  
   190.    Suspension or cancellation of registration of foreign lawyer not to affect disciplinary  
   191.    Return of local registration certificate  

           Division 2.7.9--Conditions on registration of foreign lawyers

   192.    Conditions on local registration generally  
   193.    Conditions imposed on local registration by relevant council  
   194.    Imposition and amendment of conditions on local registration pending criminal proceedings  
   195.    Statutory condition on local registration about notification of offence  
   196.    Conditions imposed by legal profession rules on local registration  
   197.    Compliance with conditions of local registration  

           Division 2.7.10--Interstate-registered foreign lawyers

   198.    Extent of entitlement of interstate-registered foreign lawyer to practise in ACT  
   199.    Additional conditions on practice of interstate-registered foreign lawyers  

           Division 2.7.11--Miscellaneous—pt 2.7

   200.    Investigation of applicants and locally-registered foreign lawyers etc  
   201.    Register of locally-registered foreign lawyers  
   202.    Publication of information about locally-registered foreign lawyers  
   203.    Supreme Court orders about conditions—Australian-registered foreign lawyers  
   204.    Exemption of Australian-registered foreign lawyers by relevant council  
   205.    Membership of professional association by Australian-registered foreign lawyers  
   206.    Determination of fees by relevant council  
   207.    Appeals or reviews  

   PART 2.8--COMMUNITY LEGAL CENTRES

   208.    What is a complying community legal centre?  
   209.    Provision of legal services etc by complying community centre  

CHAPTER 3--CONDUCT OF LEGAL PRACTICE

   PART 3.1--TRUST MONEY AND TRUST ACCOUNTS

           Division 3.1.1--Preliminary—pt 3.1

   210.    Definitions—pt 3.1  
   211.    Purposes—pt 3.1  
   212.    Money involved in financial services or investments  
   213.    Determinations about status of money  
   214.    Application of pt 3.1 to law practices and trust money  
   215.    Protocols for deciding where trust money is received  
   216.    When money is received by law practice  
   217.    Discharge by legal practitioner associate of obligations of law practice  
   218.    Liability of principals of law practices under pt 3.1  
   219.    Application of pt 3.1 to former practices, principals and associates  
   220.    Barristers not to receive trust money  

           Division 3.1.2--Trust money and trust accounts

   221.    Keeping of general trust account  
   222.    Certain trust money to be deposited in general trust account  
   223.    Holding, disbursing and accounting for trust money  
   223A.   Way of withdrawing trust money from general trust account  
   224.    Controlled money  
   224A.   Way of withdrawing controlled money from controlled money  
   225.    Transit money  
   226.    Trust money subject to specific powers  
   226A.   Trust money received in form of cash  
   227.    Protection of trust money  
   228.    Intermixing money  
   229.    Dealing with trust money—legal costs and unclaimed money  
   230.    Deficiency in trust account  
   231.    Reporting certain irregularities etc  
   232.    Keeping trust records  
   233.    False names in trust records etc  

           Division 3.1.3--Investigations and external examinations

              Subdivision 3.1.3.1--Investigations

   234.    Appointment of investigators  
   235.    Investigations  
   236.    Application of ch 6 to investigations  
   237.    Investigator's report  
   238.    Confidentiality by investigator etc  
   239.    Costs of investigation  

              Subdivision 3.1.3.2--External examinations

   240.    Designation of external examiners  
   241.    Trust records to be externally examined  
   243.    Designation and appointment of associates as external examiners  
   244.    Final examination of trust records  
   245.    Examination of affairs in relation to examination of trust records etc  
   246.    Carrying out examinations  
   247.    External examiner's report  
   248.    Confidentiality by external examiner  
   249.    Costs of examination  

           Division 3.1.4--Provisions relating to ADIs and statutory deposits

   250.    Approval of ADIs for pt 3.1  
   251.    ADI not subject to certain obligations and liabilities  
   252.    Reports, records and information by ADIs  
   253.    Statutory deposits  

           Division 3.1.5--Miscellaneous—pt 3.1

   254.    Restrictions on receipt of trust money  
   255.    Application of pt 3.1 to incorporated legal practices and multidisciplinary partnerships  
   256.    Application of pt 3.1 to community legal centres  
   257.    Disclosure—money not received as trust money  
   258.    Disclosure of accounts used to hold money entrusted to legal practitioners  
   259.    Unclaimed trust money  
   260.    Regulations and legal profession rules—pt 3.1  

   PART 3.2--COSTS DISCLOSURE AND ASSESSMENT

           Division 3.2.1--Preliminary—pt 3.2

   261.    Definitions—pt 3.2  
   261A.   Terms relating to third party payers  
   262.    Purposes—pt 3.2  

           Division 3.2.2--Application—pt 3.2

   263.    Application of pt 3.2—first instructions rule  
   264.    Pt 3.2 also applies by agreement or at client's election  
   265.    Displacement of pt 3.2  
   266.    How and where does a client first instruct a law practice?  
   267.    When does a matter have a substantial connection with the ACT?  
   268.    What happens when different laws apply to a matter?  

           Division 3.2.3--Costs disclosure

   269.    Disclosure of costs to clients  
   270.    Disclosure if another law practice is to be retained  
   271.    How and when must disclosure be made to a client?  
   272.    Exceptions to requirement for disclosure  
   273.    Additional disclosure—settlement of litigious matters  
   274.    Additional disclosure—uplift fees  
   275.    Form of disclosure  
   276.    Ongoing obligation to disclose etc  
   277.    Effect of failure to disclose  
   278.    Progress reports  
   278A.   Disclosure to associated third party payers  

           Division 3.2.4--Legal costs generally

   279.    On what basis are legal costs recoverable?  
   280.    Security for legal costs  
   281.    Interest on unpaid legal costs  

           Division 3.2.5--Costs agreements

   282.    Making costs agreements  
   283.    Conditional costs agreements  
   284.    Conditional costs agreements involving uplift fees  
   285.    Contingency fees prohibited  
   286.    Effect of costs agreement  
   287.    Certain costs agreements void  
   288.    Setting aside costs agreements or provisions of costs agreements  

           Division 3.2.6--Billing

   289.    Legal costs cannot be recovered unless bill has been given  
   290.    Bills  
   291.    Notification of client's rights  
   292.    Request for itemised bill  
   293.    Interim bills  

           Division 3.2.7--Costs assessment

   294.    Definition—div 3.2.7  
   294A.   Application by client or third party payer for costs assessment  
   295.    Application for costs assessment by law practice retaining another law  
   296.    Application for costs assessment by law practice giving bill  
   297.    Form of application for costs assessment  
   298.    Consequences of application for costs assessment  
   299.    Procedure on costs assessment  
   300.    Criteria for costs assessment  
   300A.   Assessment of costs by reference to costs agreement  
   300B.   Assessment of costs by reference to scale of costs etc  
   300C.   Recovery of assessed costs  
   301.    Law practice may be bound by lump sum bill  
   302.    Costs of costs assessment  
   303.    Referring matters to ACAT  
   304.    Legal costs subject to consumer dispute not assessable  
   304A.   Contracting out of div 3.2.7 by sophisticated clients  

           Division 3.2.8--Miscellaneous—pt 3.2

   305.    Application of pt 3.2 to incorporated legal practices and multidisciplinary partnerships  
   306.    Imputed acts, omission or knowledge for pt 3.2  
   307.    Liability of principals of law practice under pt 3.2  

   PART 3.3--PROFESSIONAL INDEMNITY INSURANCE

   308.    Definitions—pt 3.3  
   309.    Purpose—pt 3.3  
   310.    Exemptions from pt 3.3  
   311.    Professional indemnity insurance for insurable legal practitioners  
   312.    Approval of indemnity insurance policy  
   312A.   Continuing indemnity insurance  
   313.    Agreements for insurance for solicitors  
   314.    Giving information to council for insurance  
   315.    Approval of indemnity fund  

   PART 3.4--FIDELITY COVER

           Division 3.4.1--Preliminary—pt 3.4

   316.    Definitions—pt 3.4  
   317.    Time of default—pt 3.4  
   318.    Purpose—pt 3.4  
   319.    Application—pt 3.4  

           Division 3.4.2--Fidelity fund

   320.    Establishment etc of fidelity fund  
   321.    Investment of fidelity fund  
   322.    Audit of fidelity fund  
   323.    Contributions to fidelity fund  
   324.    Levy to supplement fidelity fund  
   325.    Insurance of fidelity fund  
   326.    Borrowing for fidelity fund  

           Division 3.4.3--Defaults to which pt 3.4 applies

   327.    Meaning of relevant jurisdiction—pt 3.4  
   328.    Defaults to which pt 3.4 applies  
   329.    Defaults relating to financial services or investments  

           Division 3.4.4--Claims about defaults

   330.    Claims about defaults  
   331.    Approved form for claims  
   332.    Time limit for making claims against fidelity fund  
   333.    Advertisements about defaults by law practices  
   334.    Time limit for making claims against fidelity fund following advertisement  
   335.    Claims not affected by certain matters  
   336.    Investigation of claims  
   337.    Advance payments for claims  

           Division 3.4.5--Deciding claims

   338.    Deciding claims generally  
   339.    Maximum amount allowable for claim  
   340.    Costs in relation to claims  
   341.    Interest in relation to claims  
   342.    Reduction of claim because of other benefits  
   343.    Subrogation on payment of claim  
   344.    Repayment of certain amounts paid from fidelity fund  
   345.    Notification of delay in making decision on claim  
   346.    Evidence in court proceedings under s 343 and certain proceedings for review  

           Division 3.4.6--Payments from fidelity fund for defaults

   347.    Payments for defaults  
   348.    Caps on payments from fidelity fund  
   349.    Sufficiency of fidelity fund  

           Division 3.4.7--Claims by law practices or associates

   350.    Claims by law practices or associates about defaults  
   351.    Claims by law practices or associates about notional defaults  

           Division 3.4.8--Defaults involving interstate elements

   352.    Concerted interstate defaults  
   353.    Defaults involving interstate elements if committed by 1 associate only  

           Division 3.4.9--Inter-jurisdictional provisions—pt 3.4

   354.    Protocols—pt 3.4  
   355.    Forwarding of claims  
   356.    Investigation of defaults to which pt 3.4 applies  
   357.    Investigation of defaults to which corresponding law applies  
   358.    Investigation of concerted interstate defaults and other defaults involving interstate  
   359.    Recommendations by law society council to corresponding authorities  
   360.    Recommendations to law society council by corresponding authorities etc  
   361.    Request to another jurisdiction to investigate aspects of claim  
   362.    Request from another jurisdiction to investigate aspects of claim  
   363.    Cooperation with other authorities for pt 3.4  

           Division 3.4.10--Miscellaneous—pt 3.4

   364.    Interstate legal practitioner becoming authorised to withdraw from local trust account  
   365.    Application of pt 3.4 to incorporated legal practices  
   366.    Application of pt 3.4 to multidisciplinary partnerships  
   367.    Application of pt 3.4 to sole practitioners whose practising certificates  
   368.    Availability of law society property for claims  

   PART 3.5--MORTGAGE PRACTICES AND MANAGED INVESTMENT SCHEMES

           Division 3.5.1--Preliminary—pt 3.5

   369.    Definitions—pt 3.5  

           Division 3.5.2--Mortgage practices

   370.    Conduct of mortgage practices  
   371.    Nomination of practice as territory regulated mortgage practice  
   372.    Law society council to be notified of territory regulated mortgages  
   373.    Solicitor to have fidelity cover for regulated mortgages  
   374.    Bar on claims against fidelity fund relating to regulated mortgages  
   375.    Notification of insurance arrangements for regulated mortgages  
   376.    Failure to obtain fidelity insurance for regulated mortgage  

           Division 3.5.3--Managed investment schemes

   377.    Involvement of solicitors in managed investment schemes  
   378.    Claims against fidelity fund relating to managed investment schemes connected with  
   379.    Transfer of mortgages to responsible entity  

           Division 3.5.4--Miscellaneous—pt 3.5

   380.    Law society council may require information about mortgage practices  
   381.    Effect of pt 3.5 on indemnity insurance  
   382.    Regulations and rules—pt 3.5  

CHAPTER 4--COMPLAINTS AND DISCIPLINE

   PART 4.1--PRELIMINARY AND APPLICATION--CH 4

           Division 4.1.1--Preliminary—pt 4.1

   383.    Definitions—ch 4  
   384.    Purposes—ch 4  
   385.    Application of ch 4 to lawyers, former lawyers and former practitioners etc  

           Division 4.1.2--Key concepts—ch 4

   386.    What is unsatisfactory professional conduct?  
   387.    What is professional misconduct?  
   388.    What is unsatisfactory employment conduct?  
   389.    Conduct capable of being unsatisfactory professional conduct or professional misconduct  

           Division 4.1.3--Application of ch 4

   390.    Practitioners to whom ch 4 applies  
   391.    Conduct to which ch 4 applies—generally  
   392.    Conduct to which ch 4 applies—insolvency, serious offences and tax offences  

   PART 4.2--COMPLAINTS ABOUT AUSTRALIAN LEGAL PRACTITIONERS AND SOLICITOR EMPLOYEES

   393.    Complaints generally  
   394.    Making of complaints  
   395.    Complaints made more than 3 years after conduct  
   396.    Further information and verification—complaints  
   397.    Person to be told about complaint  
   398.    Submissions by person about whom complaint made  
   399.    Summary dismissal of complaints  
   400.    Withdrawal of complaints  

   PART 4.3--MEDIATION

   401.    Mediation of complaints  
   402.    Facilitation of mediation  
   403.    Nature of mediation  
   404.    Admissibility of evidence and documents—mediation  
   405.    Protection of mediator from liability  

   PART 4.4--INVESTIGATION OF COMPLAINTS

   406.    Complaints to be investigated  
   407.    Appointment of investigator for complaint  
   408.    Application of ch 6 to complaint investigations  
   409.    Referral of matters for costs assessment—complaint  

   PART 4.5--DECISION OF COUNCIL

   410.    Decision of council after investigation  
   411.    Decision of council without investigation  
   412.    Dismissal of complaint  
   413.    Summary conclusion of complaint procedure by fine etc  
   414.    Record of decision of council about complaint  
   415.    Council to give reasons to complainant and practitioner  
   416.    Appeals to ACAT against decisions of relevant council  

   PART 4.6--GENERAL PROCEDURAL MATTERS ABOUT COMPLAINTS

   417.    Rules of procedural fairness and efficient dealing with  
   418.    Complainant and person complained about to be told about action taken  

   PART 4.7--DISCIPLINARY ACTION

   419.    Application to ACAT  
   420.    Application of rules of evidence to ACAT—disciplinary action  
   421.    Amendment of complaint application  
   422.    Nature of allegations in complaint applications  
   423.    Parties to application  
   423A.   Restriction on publication of certain identifying material from  
   424.    ACAT power to disregard procedural lapses  
   425.    ACAT orders—Australian legal practitioners  
   426.    Dismiss complaint—Australian legal practitioners  
   427.    Fines—Australian legal practitioners  
   428.    Interim orders—Australian legal practitioners  
   429.    ACAT orders—employees of solicitors  
   430.    Dismiss complaint—employees of solicitors  
   431.    Compliance with ACAT orders  
   432.    Notice to complainant of application and decision  
   433.    Costs orders by ACAT  
   434.    Application of ACT Civil and Administrative Tribunal Act  
   435.    Pt 4.7 does not affect other remedies of complainant  

   PART 4.8--COMPENSATION

   441.    Meaning of compensation order for pt 4.8  
   442.    Compensation orders  
   443.    When compensation order can be made  
   444.    Making of compensation orders  
   445.    Enforcement of compensation orders  
   446.    Other remedies not affected by compensation order  

   PART 4.9--PUBLICISING DISCIPLINARY ACTION

   447.    Definitions—pt 4.9  
   448.    Register of disciplinary action  
   449.    Other ways of publicising disciplinary action  
   450.    Quashing of disciplinary action  
   451.    Protection against liability for publicising disciplinary action  
   452.    Disciplinary action taken because of infirmity, injury or illness  
   453.    Pt 4.9 subject to certain confidentiality provisions  
   454.    Pt 4.9 subject to court and tribunal orders  

   PART 4.10--INTER-JURISDICTIONAL PROVISIONS--CH 4

   455.    Protocols for ch 4  
   456.    Request to another jurisdiction to investigate complaint  
   457.    Request from another jurisdiction to investigate complaint  
   458.    Sharing of information with corresponding authorities  
   459.    Cooperation with corresponding authorities  
   460.    Compliance with disciplinary recommendations or orders made under corresponding laws  
   461.    Pt 4.10 does not affect other functions  

   PART 4.11--MISCELLANEOUS--CH 4

   462.    Jurisdiction of Supreme Court not affected  
   463.    Information about complaints procedure  
   464.    Failure to comply with disciplinary orders  
   465.    Procedures for handling of complaints  
   466.    Reports to Minister about handling of complaints  
   467.    Duty of council to report suspected offences  
   468.    Protection for things done in administration of ch 4  
   469.    Non-compellability of certain witnesses  
   470.    Confidentiality of client communications for ch 4  
   471.    Self-incrimination and other privileges overridden for ch 4 proceedings  
   472.    Waiver of privilege or duty of confidentiality  

CHAPTER 5--EXTERNAL INTERVENTION

   PART 5.1--PRELIMINARY--CH 5

   473.    Definitions—ch 5  
   474.    Purpose—ch 5  
   475.    Application of ch 5—incorporated law practices etc  
   476.    Application of ch 5 to barristers  
   477.    Application of ch 5 to Australian-registered foreign lawyers and former  
   478.    Application of ch 5 to other people  

   PART 5.2--INITIATION OF EXTERNAL INTERVENTION

   479.    Circumstances justifying external intervention  
   480.    Decision about external intervention  

   PART 5.3--SUPERVISORS OF TRUST MONEY

   481.    Appointment of supervisor  
   482.    Notice of appointment of supervisor  
   483.    Effect of service of notice of appointment of supervisor  
   484.    Role of supervisor of trust money  
   485.    Records of and dealing with trust money of law practice under supervision  
   486.    Ending of supervisor's appointment  

   PART 5.4--MANAGERS

   487.    Appointment of manager  
   488.    Notice of appointment  
   489.    Effect of service of notice of appointment of manager  
   490.    Role of manager  
   491.    Records and accounts of law practice under management and dealings with trust money  
   492.    Deceased estates—law practice under management  
   493.    Ending of manager's appointment  

   PART 5.5--RECEIVERS

   494.    Appointment of receiver  
   495.    Notice of appointment of receiver  
   496.    Effect of service of notice of appointment of receiver  
   497.    Role of receiver  
   498.    Records and accounts of law practice under receivership and dealings with trust money  
   499.    Power of receiver to take possession of regulated property  
   500.    Power of receiver to take delivery of regulated property  
   501.    Power of receiver to deal with regulated property  
   502.    Power of receiver to require documents or information  
   503.    Examinations for receivership  
   504.    Lien for costs on regulated property  
   505.    Regulated property not to be attached  
   506.    Recovery of regulated property—breach of trust etc  
   507.    Improperly destroying property  
   508.    Deceased estates—law practice under receivership  
   509.    Ending of receiver's appointment  

   PART 5.6--GENERAL--CH 5

   510.    Conditions on appointment of supervisor or manager  
   511.    Conditions on appointment of receiver  
   512.    Status of acts of external intervener  
   513.    Eligibility for reappointment or authorisation  
   514.    Appeal against appointment of supervisor or manager  
   515.    Directions of Supreme Court about external intervention  
   515A.   Manager and receiver appointed for law practice  
   516.    ADI disclosure requirements  
   517.    Fees, legal costs and expenses of external intervener  
   518.    Reports by external intervener  
   519.    Confidentiality by external interveners  
   519A.   Provisions relating to requirements under this part  
   519B.   Obstruction of external intervener  
   520.    Protection from liability—ch 5  

CHAPTER 6--INVESTIGATIONS

   PART 6.1--PRELIMINARY--CH 6

   521.    Definitions—ch 6  
   522.    Main purpose—ch 6  
   523.    Privileges against self-incrimination and exposure to civil penalty  

   PART 6.2--REQUIREMENTS RELATING TO DOCUMENTS, INFORMATION AND OTHER ASSISTANCE

   524.    Application—pt 6.2  
   525.    Requirements that may be imposed for investigations, examinations and audits under pt 3.1 and  
   526.    Requirements that may be imposed for investigations under ch 4  
   527.    Provisions relating to requirements under pt 6.2  

   PART 6.3--ENTRY AND SEARCH OF PREMISES

           Division 6.3.1--Preliminary—pt 6.3

   528.    Application—pt 6.3  
   529.    Definitions—pt 6.3  

           Division 6.3.2--Powers of investigators

   530.    Power to enter premises  
   531.    Consent to entry  
   532.    General powers on entry to premises  
   533.    Power to require name and address  
   534.    Power to seize things  

           Division 6.3.3--Search warrants

   535.    Warrants generally  
   536.    Warrants—application made other than in person  
   537.    Search warrants—announcement before entry  
   538.    Details of search warrant to be given to occupier etc  
   539.    Occupier entitled to be present during search etc  
   540.    Use of electronic equipment at premises  
   541.    Person with knowledge of computer or computer system to assist access  
   542.    Securing electronic equipment  
   543.    Copies of seized things to be provided  

           Division 6.3.4--Return and forfeiture of things seized

   544.    Receipt for things seized  
   545.    Moving things to another place for examination or processing under search  
   546.    Access to things seized  
   547.    Return of things seized  

           Division 6.3.5--Miscellaneous—pt 6.3

   548.    Damage etc to be minimised  
   549.    Compensation for exercise of enforcement powers  

   PART 6.4--ADDITIONAL POWERS IN RELATION TO INCORPORATED LEGAL PRACTICES

   550.    Application—pt 6.4  
   551.    Investigative powers relating to investigations and audits  
   552.    Examination of people under pt 6.4  
   553.    Inspection of books under pt 6.4  
   554.    Power to hold hearings under pt 6.4  
   555.    Failure to comply with investigation under pt 6.4  

   PART 6.5--MISCELLANEOUS--CH 6

   555A.   Obstruction of investigator  
   556.    Additional obligations of Australian lawyers  
   557.    Permitted disclosure of confidential information—ch 6  

CHAPTER 7--ADMISSIONS BOARD

   558.    Admissions board  
   559.    Ending appointments of members  
   560.    Chair of admissions board  
   561.    Meetings of admissions board  
   562.    Protection of members from liability  

CHAPTER 8--PROFESSIONAL BODIES

   PART 8.1--BAR COUNCIL

   575.    Functions of bar council  

   PART 8.2--LAW SOCIETY AND LAW SOCIETY COUNCIL

   576.    Establishment of law society  
   577.    Functions of law society council  

   PART 8.3--LEGAL PROFESSION RULES

           Division 8.3.1--Preliminary

   578.    Purpose—pt 8.3  

           Division 8.3.2--Rules for Australian legal practitioners and Australian-registered foreign lawyers

   579.    Rules for barristers  
   580.    Rules for solicitors  
   581.    Joint rules for Australian legal practitioners  
   582.    Subject matter of legal profession rules  
   583.     Public notice of proposed legal profession rules  

           Division 8.3.3--Rules for incorporated legal practices and multidisciplinary partnerships

   584.    Rules for incorporated legal practices and multidisciplinary partnerships  

           Division 8.3.4--General

   585.    Binding nature of legal profession rules  
   586.    Legal profession rules inconsistent with Act or regulation  

CHAPTER 9--GENERAL PROVISIONS

   587.    Approved forms—councils  
   587A.   Protection from liability  
   588.    Liability of principals of law practice  
   589.    Associates who are disqualified or convicted people  
   590.    Injunctions to restrain offences against Act  
   591.    Enforcement of injunctions  
   592.    Amendment or discharge of injunctions  
   593.    Interim injunctions—undertakings about damages  
   594.    Magistrates Court's other powers not limited  
   595.    Disclosure of information by local regulatory authorities  
   596.    Confidentiality of personal information  
   597.    Professional privilege or duty of confidence does not affect validity of certain requirements  
   598.    Meaning of reviewable decision—ch 9  
   599.    Reviewable decision notices  
   600.    Applications for review  
   601.    Minister may determine fees  
   602.    Regulation-making power  
           DICTIONARY
           ENDNOTES


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