New South Wales Consolidated Regulations

LEGAL PROFESSION REGULATION 2005

- Made under the Legal Profession Act 2004
- As at 30 May 2012
- Reg 455 of 2005

TABLE OF PROVISIONS

   PART 1 - PRELIMINARY

   1.      Name of Regulation
   2.      Commencement
   3.      Definitions
   4.      Meaning of “excluded offence”

   PART 2 - INTERPRETATION-PART 1.2 OF THE ACT

   5.      Definition of “corresponding law”-section 4 of the Act
   6.      (Repealed)
   7.      Default determination of associate’s home jurisdiction-section 8 of the Act

   PART 3 - RESERVATION OF LEGAL WORK AND LEGAL TITLES-PART 2.2 OF THE ACT

   8.      Presumptions about taking or using name, title or description-section 16 of the Act
   8A.     Prohibition on engaging in legal practice when not entitled-section 14 of the Act

   PART 4 - ADMISSION OF LOCAL LAWYERS-PART 2.3 OF THE ACT

   9.      Agreed admission standards-section 24 of the Act
   10.     Roll of local lawyers-section 32 of the Act

   PART 5 - LEGAL PRACTICE BY AUSTRALIAN LEGAL PRACTITIONERS-PART 2.4 OF THE ACT

           Division 1 - General matters

   10A.    Application for grant of local practising certificate by prescribed classes of lawyers-section 45 of the Act
   11.     Manner of application for local practising certificate-section 46 of the Act
   12.     Timing of application for renewal of local practising certificate-section 47 of the Act
   13.     Completion of periods of supervised legal practice-sections 53 and 102 of the Act
   14.     Surrender of local practising certificate-section 79 of the Act
   15.     Fee for practising certificate for barristers-section 91 of the Act
   16.     Fee for practising certificate for solicitors-section 91 of the Act
   17.     Late fee-sections 92 and 92A of the Act
   18.     (Repealed)
   19.     Protocols-section 104 of the Act
   20.     Register of local practising certificates-section 106 of the Act
   21.     Notification of change in particulars
   22.     Application for practising certificate by Crown Solicitor requires report by Auditor-General
   22A.    Australian Government Solicitor-section 114 of the Act

           Division 2 - Promotion of personal injury legal services

              Subdivision 1 - Preliminary

   23.     Definitions

              Subdivision 2 - Advertising by barristers and solicitors

   24.     Restriction on advertising personal injury services
   25.     Exception for certain advertisements by community legal centres
   26.     Exception for advertising specialty
   27.     Other exceptions
   28.     Responsibility for employees and others
   29.     Responsibility for advertisements published by others
   30.     Double jeopardy
   31.     Transitional provisions

              Subdivision 3 - Advertising by persons other than barristers and solicitors

   32.     Application of Subdivision
   33.     Definition of “personal injury advertisement”
   34.     Restrictions on personal injury advertisements
   35.     Exception for advertisements about domestic violence and discrimination-community legal centres
   36.     Exception for advertising specialty
   37.     Other exceptions
   38.     Protection of publishers
   39.     Double jeopardy
   40.     Transitional provisions

   PART 6 - INCORPORATED LEGAL PRACTICES AND MULTI-DISCIPLINARY PARTNERSHIPS-PART 2.6 OF THE ACT

   41.     Exempt corporations-section 134 of the Act
   41A.    Prohibition on conduct of managed investment scheme by incorporated legal practice-section 135 (2) of the Act
   42.     Notice of termination of provision of legal services-section 139 of the Act
   43.     Disqualifications and prohibitions-sections 153, 154 and 179 of the Act

   PART 7 - LEGAL PRACTICE BY FOREIGN LAWYERS-PART 2.7 OF THE ACT

   44.     Scope of practice-section 188 of the Act
   45.     Trust money and trust accounts-section 195 of the Act
   46.     Professional indemnity insurance-section 196 of the Act
   47.     Fidelity cover (contributions)-section 197 of the Act
   48.     Fidelity Fund (levies)-section 197 of the Act
   49.     Fidelity Fund (failure to pay contribution or levy)-section 197 of the Act
   50.     Locally registered foreign lawyers not covered by Fidelity Fund
   51.     (Repealed)
   52.     Register of locally registered foreign lawyers-section 232 of the Act

   PART 8 - TRUST MONEY AND TRUST ACCOUNTS-PART 3.1 OF THE ACT

           Division 1 - Preliminary

   53.     Operation of this Part
   54.     Definitions

           Division 2 - Computerised accounting systems

   55.     Application of Division
   56.     Copies of trust records to be printed
   57.     Chronological record of information to be made
   58.     Requirements regarding computer accounting systems
   59.     Back-ups

           Division 3 - General trust accounts

   60.     Establishment of general trust account
   61.     Receipting of trust money
   62.     Deposit records for trust money
   63.     Direction for non-deposit of trust money in general trust account
   64.     (Repealed)
   65.     Payment by cheque
   66.     Payment by electronic funds transfer
   67.     Recording transactions in trust account cash books
   68.     Trust account receipts cash book
   69.     Trust account payments cash book
   70.     Recording transactions in trust ledger accounts
   71.     Journal transfers
   72.     Reconciliation of trust records
   73.     Trust ledger account in name of law practice or legal practitioner associate
   74.     Notification requirements regarding general trust accounts

           Division 4 - Controlled money

   75.     Maintenance of controlled money accounts-section 256 (4) of the Act
   76.     Receipt of controlled money
   77.     Deposit of controlled money-section 256 (5) of the Act
   78.     Withdrawal of controlled money must be authorised
   79.     (Repealed)
   80.     Register of controlled money

           Division 5 - Transit money

   81.     Information to be recorded about transit money-section 257 of the Act

           Division 6 - Trust money generally

   82.     Trust account statements
   83.     Trust account statements for sophisticated clients
   84.     Register of investments
   85.     Trust money subject to specific powers-section 258 of the Act
   86.     Register of powers and estates in relation to trust money
   87.     (Repealed)
   88.     Withdrawing trust money for legal costs-section 261 (1) (b) of the Act
   89.     Keeping of trust records-section 264 of the Act
   90.     Keeping other records and information
   91.     Statements regarding receipt or holding of trust money

           Division 7 - External examinations

   92.     Requirement for external examinations
   93.     Appointment of designated persons-sections 274 and 275 of the Act
   94.     Prescribed form for law practice ceasing to be authorised to receive trust money or engage in legal practice-section 275 (3) (b) of the Act
   95.     Report on external examiner’s examination-section 277 of the Act

           Division 8 - Statutory deposits and Public Purpose Fund

   96.     Deposit of trust funds with Law Society
   97.     Amount of deposit
   98.     Time for deposit
   99.     Applicable period
   100.    Accounts to be kept by Law Society
   101.    Transitional provision: payment of Law Society liabilities under section 110 of the old Act

           Division 9 - Miscellaneous

   102.    Protocols-section 247 of the Act
   103.    Law practice closing down, closing office or ceasing to receive or hold trust money
   104.    Conditions on approval of ADIs-section 280 (2) of the Act
   105.    Information to be provided to Law Society Council-section 299 of the Act
   106.    Crown Solicitor’s Trust Account
   106A.   Receipt of trust money by barrister (section 252 of the Act)-exclusion under section 246 (3) of the Act
   107.    Exemptions
   108.    Transitional provision: former approved ADIs

   PART 9 - COSTS DISCLOSURE AND ASSESSMENT-PART 3.2 OF THE ACT

           Division 1 - General

   109.    When does a matter have a substantial connection with this jurisdiction-section 307 of the Act
   109A.   Disclosure of costs to clients (form)-section 309 (3) of the Act
   110.    Exceptions to requirement for disclosure-section 312 (1) (f) of the Act
   110A.   Interest on unpaid legal costs-section 321 (4) (b) of the Act
   110B.   Costs agreement with associated third party payer-section 322 (6) of the Act
   111.    Giving of bill by email-section 332 (5) (f) of the Act
   111A.   Notification of client’s rights-section 333 (4) of the Act
   111B.   Contents of itemised bill

           Division 2 - Costs fixed by regulations-Division 6 of Part 3.2 of the Act

   112.    Prescribed costs for recovery of certain debts and enforcement of certain judgments-sections 329 (1) (c) and (d) and 330 (1) of the Act
   113.    Prescribed costs for services in workers compensation matters-section 329 (1) (a) and (f) of the Act
   114.    Prescribed costs for probate and administration matters-section 329 (1) (e) of the Act
   115.    GST may be added to costs

           Division 3 - Costs in personal injury damages matters- Division 9 of Part 3.2 of the Act

   116.    Disclosure requirements regarding costs agreements-section 339 of the Act
   117.    Disclosure requirements regarding offers of compromise-section 340 of the Act

           Division 4 - Costs in civil claims where no reasonable prospects of success-Division 10 of Part 3.2 of the Act

   118.    Court documentation-section 347 of the Act

           Division 5 - Costs assessment-Division 11 of Part 3.2 of the Act

              Subdivision 1 - Assessments (other than party/party costs)

   119.    Application of Subdivision
   120.    Approved forms
   121.    How to make an application for costs assessment-section 354 (1) of the Act
   122.    Procedure before application for assessment of bill referred to assessor

              Subdivision 2 - Assessments (party/party costs)

   123.    Application of Subdivision
   124.    How to make an application for assessment of party/party costs-section 354 (1) of the Act
   125.    Procedure before application for assessment of party/party costs
   126.    Determination of costs of party/party costs assessment-section 369 (3) (b) of the Act

              Subdivision 3 - Assessments (general)

   127.    Information relating to assessment of costs
   128.    Certificate of determination of costs and statement of reasons-section 370 of the Act
   129.    Circumstances in which assessor may not refuse to issue certificate-section 368 of the Act
   130.    Reference of applications to assessors

              Subdivision 4 - Reviews

   131.    Application for review of determination-section 373 (2) of the Act
   132.    Delivery of application for review and related documents
   133.    Copy of certificate of determination to be given to Manager, Costs Assessment
   134.    Statement of reasons-section 380 of the Act
   135.    Circumstances in which panel may not refuse to issue certificate in respect of determination of review-section 378 of the Act
   136.    Determination of costs of review-section 379 (1) of the Act
   137.    Qualifications for membership of panels
   138.    Reference of applications to costs review panels

              Subdivision 5 - Miscellaneous

   139.    Applications by Commissioner or Council for assessment of costs during investigation of complaints

   PART 10 - FIDELITY COVER-PART 3.4 OF THE ACT

   140.    Solicitors exempt from contributions-section 430 of the Act
   141.    Notice of levy-section 432 of the Act
   142.    Protocols-section 462 of the Act
   143.    Interstate legal practitioner becoming authorised to withdraw from local trust account: notification-section 472 (1) (a) of the Act
   144.    Interstate legal practitioner becoming authorised to withdraw from local trust account: contributions-section 472 (1) (b) of the Act
   145.    Application of Part 3.4 of the Act to multidisciplinary partnerships-section 474 of the Act
   146.    Transitional provision: liabilities under the former Fidelity Fund

   PART 11 - MORTGAGE PRACTICES AND MANAGED INVESTMENT SCHEMES-PART 3.5 OF THE ACT

   147.    Definitions
   148.    Application of Part
   149.    Authority to secure by regulated mortgage
   150.    Loan applications
   151.    Identity of borrower
   152.    Independent advice
   153.    Insurance of secured property
   154.    Registration of mortgages
   155.    Summary of mortgage
   156.    Investments register
   157.    Investment restrictions
   158.    Valuation
   159.    Appointment of accountant
   160.    Notification of State regulated mortgages to Law Society Council-section 481 (1) of the Act
   161.    Mortgage held by nominee
   162.    Mortgagee solicitor’s nominee company
   163.    Dealing with money through trust account
   164.    Notice of variation of mortgage
   165.    Additional or substituted contributions
   166.    Declaration of trust
   167.    Retention of documents
   168.    Practicability of completion of summary of mortgage and investments register
   169.    Default procedures
   170.    Run-out mortgages
   171.    Managed investment schemes
   172.    Certain mortgages not regulated mortgages

   PART 12 - COMPLAINTS AND DISCIPLINE-CHAPTER 4 OF THE ACT

   173.    Register of Disciplinary Action-section 577 (2) (e) of the Act
   174.    Pre-complaint powers where client is denied access to documents-section 595 (3) (b) of the Act

   PART 13 - MISCELLANEOUS PROVISIONS

   175.    Discriminatory conduct (including sexual harassment) prohibited
   176.    Mandatory continuing legal education-special requirement
   177.    Advice on and handling of documents
   178.    (Repealed)
   178A.   Disclosure of information by local regulatory authorities-section 721 of the Act
           179, 180. (Repealed)
           Schedule 1 (Repealed)
           SCHEDULE 2
           SCHEDULE 3
           SCHEDULE 4
           SCHEDULE 5
           SCHEDULE 6