New South Wales Consolidated Acts

LEGAL PROFESSION ACT 2004 - SECT 670

670 Compliance audit of law practice

(1) The Law Society Council or the Commissioner may cause an audit to be conducted of the compliance of a law practice (and of its officers and employees) with the requirements of this Act, the regulations or the legal profession rules.

(2) Without limiting subsection (1), an audit conducted in relation to an incorporated legal practice may include an audit of:

(a) the compliance of the incorporated legal practice with the requirements of Part 2.6, and

(b) the management of the provision of legal services by the incorporated legal practice (including the supervision of officers and employees providing the services).

Note: Section 140 (3) (Incorporated legal practice must have legal practitioner director) requires legal practitioner directors to ensure that appropriate management systems are implemented and maintained.

(3) The Law Society Council or the Commissioner may, in writing, appoint a suitably qualified person to conduct an audit under this section.

(4) The appointment may be made generally or for the audit of a law practice specified in the instrument of appointment.

(5) An audit under this section may be conducted whether or not a complaint has been made against an Australian lawyer.

(6) A report of an audit under this section:

(a) is to be provided to the law practice concerned, and

(b) is to be provided by the Law Society Council to the Commissioner or by the Commissioner to the Law Society Council (as the case may be), and

(c) may be provided by the Law Society Council or the Commissioner to any regulatory authority in another jurisdiction, and

(d) may be taken into account in connection with any disciplinary proceedings taken against a legal practitioner or other persons or in connection with the grant, amendment, suspension or cancellation of Australian practising certificates.

(7) Nothing in this section authorises the conduct of an audit in relation to a barrister.