LEGAL PROFESSION BILL 2004

Queensland Bills

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This is a Bill, not an Act. For current law, see the Acts databases.

LEGAL PROFESSION BILL 2004

Queensland LEGAL PROFESSION BILL 2004

Queensland LEGAL PROFESSION BILL 2004 TABLE OF PROVISIONS Section Page CHAPTER 1--INTRODUCTION PART 1--PRELIMINARY 1 Short title . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32 2 Commencement. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32 3 Main purposes of this Act . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32 PART 2--INTERPRETATION Division 1--Dictionary 4 Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33 Division 2--Meaning of particular terms involving a legal title and related matters 5 Meaning of terms involving lawyer. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33 6 Meaning of terms involving legal practitioner . . . . . . . . . . . . . . . . . . . . . . . 33 7 Application to Australian lawyers and Australian legal practitioners . . . . . . 34 8 Meaning of "barrister". . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35 9 Meaning of "solicitor". . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35 10 Meaning of "government legal officer" and related matters . . . . . . . . . . . . . 35 11 Meaning of "associate" and "principal" and related matters . . . . . . . . . . . . 36 Division 3--Meaning of other terms for this Act 12 Meaning of "home jurisdiction" . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37 13 Meaning of "suitability matter". . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38 14 Meaning of "serious offence" . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40 15 Meaning of "conviction" and "quashing a conviction". . . . . . . . . . . . . . . . . 40 16 Meaning of "information notice" . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41 Division 4--Other matters relating to interpretation 17 Notes in text. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42

2 Legal Profession Bill 2004 18 Timing for doing things. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42 19 Appeal period for appeal to Supreme Court or tribunal . . . . . . . . . . . . . . . . 42 20 Grounds that are reasonable in the circumstances. . . . . . . . . . . . . . . . . . . . . 42 Division 5--Other relevant matter 21 Contravention of provision that is capable of constituting unsatisfactory professional conduct or professional misconduct . . . . . . . . . . . . . . . . . . . . . 43 CHAPTER 2--ENGAGING IN LEGAL PRACTICE OTHER THAN BY AUSTRALIAN-REGISTERED FOREIGN LAWYERS PART 1--PRELIMINARY 22 Simplified outline of ch 2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43 PART 2--RESERVATION OF LEGAL WORK AND RELATED MATTERS 23 Part does not apply to a person if authorised under a Commonwealth law or a government legal officer. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44 24 Prohibition on engaging in legal practice when not entitled . . . . . . . . . . . . . 45 25 Prohibition on representing or advertising entitlement to engage in legal practice when not entitled .................................... 46 26 Part does not affect liability of particular Australian lawyers under ch 3 . . . 46 PART 3--ADMISSION OF LEGAL PRACTITIONERS Division 1--Preliminary 27 Main purpose of ch 2, pt 3. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47 28 Definitions for ch 2, pt 3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47 Division 2--Eligibility and suitability for admission as legal practitioners 29 Eligibility for admission under this Act as a legal practitioner . . . . . . . . . . . 47 30 Suitability for admission under this Act as a legal practitioner. . . . . . . . . . . 48 Division 3--Application for admission 31 Main purposes of ch 2, pt 3, div 3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49 32 Application for admission under this Act as a legal practitioner. . . . . . . . . . 49 33 Role of the board relating to application for admission . . . . . . . . . . . . . . . . 49 34 Role of Supreme Court relating to application for admission. . . . . . . . . . . . 50 Division 4--Early consideration of suitability 35 Main purpose of ch 2, pt 3, div 4. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51 36 Early consideration of suitability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51 37 Involvement of Supreme Court whether by referral or on appeal . . . . . . . . . 52

3 Legal Profession Bill 2004 Division 5--Roll of legal practitioners 38 Roll of legal practitioners . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52 39 Local legal practitioner is officer of Supreme Court . . . . . . . . . . . . . . . . . . . 52 Division 6--Miscellaneous 40 Conditional admission. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53 41 Board may appear before Supreme Court . . . . . . . . . . . . . . . . . . . . . . . . . . . 53 42 Fees payable . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53 43 Provision regarding admission rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53 PART 4--LEGAL PRACTICE BY AUSTRALIAN LEGAL PRACTITIONERS Division 1--Preliminary 44 Main purposes of ch 2, pt 4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54 45 Meaning of "relevant regulatory authority" . . . . . . . . . . . . . . . . . . . . . . . . . 54 46 How suitability relating to holding local practising certificate is to be decided ................................................. 54 Division 2--Legal practice in this jurisdiction 47 Entitlement to practise in this jurisdiction. . . . . . . . . . . . . . . . . . . . . . . . . . . 56 Division 3--Matters relating to applications for grant or renewal of local practising certificates 48 Application for grant or renewal of local practising certificate. . . . . . . . . . . 56 49 Manner of application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58 50 Professional indemnity insurance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59 51 Continuing obligation for professional indemnity insurance . . . . . . . . . . . . 60 Division 4--Grant or renewal of local practising certificates 52 Grant or renewal of local practising certificate . . . . . . . . . . . . . . . . . . . . . . . 60 53 Conditions imposed by law society or bar association . . . . . . . . . . . . . . . . . 61 54 Applications relating to conditions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62 55 Duration of local practising certificates. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63 56 Local legal practitioner is officer of Supreme Court . . . . . . . . . . . . . . . . . . . 63 Division 5--Conditions applying to local practising certificates 57 Conditions generally . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63 58 Statutory condition regarding notification of offence . . . . . . . . . . . . . . . . . . 64 59 Statutory condition regarding legal practice as solicitor . . . . . . . . . . . . . . . . 64

4 Legal Profession Bill 2004 60 Statutory condition regarding conditions imposed on interstate admission . 65 61 Compliance with conditions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66 Division 6--Special powers relating to local practising certificates 62 Application for local practising certificate if show cause event happened after first admission ......................................... 66 63 Requirement if show cause event . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67 64 Refusal, cancellation, suspension or amendment, of local practising certificate because of failure to show cause ...................... 67 65 Restriction on making further application. . . . . . . . . . . . . . . . . . . . . . . . . . . 68 Division 7--Amendment, cancellation or suspension of local practising certificates 66 Application of ch 2, pt 4, div 7 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69 67 Grounds for amending, cancelling or suspending a local practising certificate .............................................. 69 68 Amending, cancelling or suspending local practising certificate . . . . . . . . . 69 Division 8--Provisions that apply to other actions including actions under div 6 or 7 69 Consensual amendment or cancellation etc. . . . . . . . . . . . . . . . . . . . . . . . . . 70 70 Removal from local roll. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71 71 Operation of amendment, cancellation or suspension of local practising certificate ............................................. 71 72 Return of amended, cancelled or suspended local practising certificate . . . . 72 73 Relationship of divs 6 and 7 with ch 7, pt 2 . . . . . . . . . . . . . . . . . . . . . . . . . 73 Division 9--Interstate legal practitioners 74 Requirement for interstate practising certificate and professional indemnity insurance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73 75 Extent of entitlement of interstate legal practitioner to practise in this jurisdiction .............................................. 74 76 Additional condition on interstate legal practitioner engaging in legal practice in this jurisdiction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75 77 Special provision about interstate legal practitioner engaging in unsupervised legal practice in this jurisdiction . . . . . . . . . . . . . . . . . . . . . 75 78 Interstate legal practitioner is officer of Supreme Court . . . . . . . . . . . . . . . . 76 Division 10--Miscellaneous provisions about local practising certificates and other matters 79 Immediate suspension or amendment of local practising certificate. . . . . . . 76

5 Legal Profession Bill 2004 80 Protocols . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78 81 Consideration of applicant for local practising certificate and certificate holder ................................................. 79 82 Register of local practising certificates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79 83 Regulatory authority may charge reasonable fees. . . . . . . . . . . . . . . . . . . . . 80 PART 5--LEGAL PRACTICE BY INCORPORATED LEGAL PRACTICES Division 1--Preliminary 84 Main purpose of ch 2, pt 5. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80 85 Meaning of "incorporated legal practice" . . . . . . . . . . . . . . . . . . . . . . . . . . . 80 86 Definitions for ch 2, pt 5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81 Division 2--Incorporated legal practices providing legal services 87 Non-legal services and businesses of incorporated legal practices . . . . . . . . 82 88 Corporations eligible to be incorporated legal practices . . . . . . . . . . . . . . . . 82 89 Notice of intention to start providing legal services . . . . . . . . . . . . . . . . . . . 83 90 Prohibition on corporations or directors etc. representing that corporation is incorporated legal practice. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84 91 Notice of termination of provision of legal services . . . . . . . . . . . . . . . . . . . 84 Division 3--Legal practitioner directors, and other legal practitioners employed by incorporated legal practices 92 Incorporated legal practice must have legal practitioner director . . . . . . . . . 84 93 Obligations of legal practitioner director relating to misconduct . . . . . . . . . 85 94 Incorporated legal practice without legal practitioner director . . . . . . . . . . . 86 95 Obligations and privileges of an Australian legal practitioner who is an officer or employee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87 Division 4--Particular matters including application of other provisions of relevant laws 96 Insurance obligations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88 97 Conflicts of interest . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88 98 Disclosure obligations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89 99 Effect of non-disclosure on provision of particular services. . . . . . . . . . . . . 90 100 Application of a legal profession rule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90 101 Requirements relating to advertising. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90 102 Application of provisions of relevant laws relating to trust money or trust accounts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91

6 Legal Profession Bill 2004 103 Application provisions about client agreements etc. to incorporated legal practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91 104 Extension to incorporated legal practice of vicarious liability relating to failure to account and dishonesty ............................. 92 105 Sharing of receipts. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92 106 Disqualified persons . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92 Division 5--Ensuring compliance with this Act by incorporated legal practices 107 Commissioner or law society may audit incorporated legal practice . . . . . . 93 108 Banning of incorporated legal practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94 109 Disqualification from managing incorporated legal practice . . . . . . . . . . . . 96 110 Disclosure of information to the Australian Securities and Investments Commission ............................................ 97 Division 6--External administration 111 External administration proceedings under Corporations Act . . . . . . . . . . . 97 112 External administration proceedings under other legislation . . . . . . . . . . . . 98 113 Incorporated legal practice that is subject to receivership under this Act and external administration under Corporations Act. . . . . . . . . . . . . . . . . . . 98 114 Incorporated legal practice that is subject to receivership under this Act and external administration under other legislation . . . . . . . . . . . . . . . . . . . 99 Division 7--Miscellaneous 115 Cooperation between courts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100 116 Relationship of Act to constitution of incorporated legal practice . . . . . . . . 100 117 Relationship of Act to legislation establishing incorporated legal practice . 101 118 Relationship of Act to Corporations legislation and certain other instruments ........................................... 101 119 Undue influence. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101 120 Obligations of individual practitioners not affected . . . . . . . . . . . . . . . . . . . 102 121 Regulation may require training requirement for legal practitioner director 102 PART 6--LEGAL PRACTICE BY MULTI-DISCIPLINARY PARTNERSHIPS Division 1--Preliminary 122 Main purpose of ch 2, pt 6. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103 123 Meaning of "multi-disciplinary partnership" . . . . . . . . . . . . . . . . . . . . . . . . 103

7 Legal Profession Bill 2004 Division 2--Multi-disciplinary partnerships providing legal services 124 Conduct of multi-disciplinary partnerships. . . . . . . . . . . . . . . . . . . . . . . . . . 103 125 Notice of intention to start practice in multi-disciplinary partnership . . . . . 104 Division 3--Legal practitioner partners and other legal practitioners employed by multi-disciplinary partnerships 126 General obligations of legal practitioner partners . . . . . . . . . . . . . . . . . . . . . 104 127 Obligations of legal practitioner partner relating to misconduct. . . . . . . . . . 105 128 Actions of partner who is not an Australian legal practitioner . . . . . . . . . . . 105 129 Obligations and privileges of Australian legal practitioner who is partner or employee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106 130 Conflicts of interest . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106 131 Disclosure obligations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106 132 Effect of non-disclosure on provision of particular services. . . . . . . . . . . . . 107 133 Application of a legal profession rule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 108 134 Requirements relating to advertising. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 108 135 Requirements relating to trust accounts and particular moneys . . . . . . . . . . 109 136 Application of provisions about client agreements etc. to multi-disciplinary partnerships . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109 137 Sharing of receipts. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109 138 Disqualified persons . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110 139 Prohibition on partnership with particular partner who is not an Australian legal practitioner . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110 140 Undue influence. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111 141 Obligations of practitioners not affected . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111 142 Regulations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112 PART 7--FIDELITY COVER Division 1--Preliminary 143 Purpose of ch 2, pt 7 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112 144 Definitions for ch 2, pt 7 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112 145 Application of pt 7 defaults of particular barristers . . . . . . . . . . . . . . . . . . . 113 146 Time of default . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114 Division 2--Fidelity fund 147 Establishment of fidelity fund . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114 148 Insurance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115

8 Legal Profession Bill 2004 149 Limitation on borrowing powers of law society for fidelity fund . . . . . . . . . 115 150 Fund to be kept in separate account . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115 151 Moneys payable into fidelity fund. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 116 152 Expenditure from fund . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 116 153 Audit of accounts. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117 154 Law society may delegate its powers in relation to the fidelity fund to a committee of management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117 155 Minister may require report about fund . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117 156 Contribution to fidelity fund . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 118 157 Levy for benefit of fidelity fund . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 118 158 Law society may advance moneys from its general funds to fidelity fund . . 119 Division 3--Defaults to which this part applies 159 Meaning of "relevant jurisdiction" . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119 160 Defaults to which this part applies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 120 161 Defaults relating to financial services or investments . . . . . . . . . . . . . . . . . . 120 Division 4--Claims about defaults 162 Claims about defaults . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 122 163 Time limit for making claims . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 122 164 Advertisements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123 165 Time limit for making claims following advertisement . . . . . . . . . . . . . . . . 124 166 Claims not affected by certain matters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 124 167 Investigation of claims. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125 Division 5--Deciding claims 168 Law society to decide claim . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125 169 Maximum amount allowable. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126 170 Costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126 171 Interest . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 127 172 Reduction of claim because of other benefits . . . . . . . . . . . . . . . . . . . . . . . . 127 173 Subrogation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 128 174 Proceedings brought under right of subrogation . . . . . . . . . . . . . . . . . . . . . . 129 175 Repayment of surplus amount. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 129 176 Notification of delay in making decision . . . . . . . . . . . . . . . . . . . . . . . . . . . 129 177 Notification of decision . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 130

9 Legal Profession Bill 2004 Division 6--Appeals 178 Appeal against decision on claim . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 130 179 Appeal against failure to decide claim within 1 year . . . . . . . . . . . . . . . . . . 131 180 Proceedings on appeal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132 Division 7--Payments from fidelity fund for defaults 181 Payments for defaults . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132 182 Caps on payments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132 183 Sufficiency of fidelity fund . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133 Division 8--Claims by law practices or associates 184 Claims by law practices or associates about defaults . . . . . . . . . . . . . . . . . . 134 185 Claims by law practices or associates about notional defaults . . . . . . . . . . . 134 Division 9--Defaults involving interstate elements 186 Concerted interstate defaults . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135 187 Defaults involving interstate elements if committed by 1 associate only . . . 136 Division 10--Inter-jurisdictional provisions 188 Protocols . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 137 189 Forwarding claims to corresponding authority in another jurisdiction . . . . . 137 190 Investigation of defaults to which this part applies . . . . . . . . . . . . . . . . . . . . 138 191 Investigation of defaults to which a corresponding law applies . . . . . . . . . . 138 192 Investigation of concerted interstate defaults . . . . . . . . . . . . . . . . . . . . . . . . 138 193 Recommendations by law society to corresponding authority . . . . . . . . . . . 139 194 Recommendations to and decisions by law society after receiving recommendations from corresponding authority . . . . . . . . . . . . . . . . . . . . . 139 195 Request to another jurisdiction to investigate aspects of claim. . . . . . . . . . . 140 196 Request from another jurisdiction to investigate aspects of claim . . . . . . . . 140 197 Cooperation with other authorities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 140 Division 11--Miscellaneous 198 Interstate legal practitioner becoming authorised to withdraw from local trust account . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 141 199 Application of part to incorporated legal practices . . . . . . . . . . . . . . . . . . . . 141 200 Application of part to multi-disciplinary partnerships . . . . . . . . . . . . . . . . . 142 201 Application of part to Australian lawyers whose practising certificates have lapsed . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 142

10 Legal Profession Bill 2004 PART 8--FINANCIAL ARRANGEMENTS FOR THOSE WHO MAY ENGAGE IN LEGAL PRACTICE IN THIS JURISDICTION Division 1--Preliminary 202 Main purposes of ch 2, pt 8 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 143 203 Definitions for ch 2, pt 8 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 144 204 Relationship with other laws . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 144 Division 2--Prescribed accounts 205 Regulation for prescribed account. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 144 206 Deposits to prescribed account . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 145 Division 3--Interest on trust accounts paid to department 207 Arrangement with financial institution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 145 Division 4--Legal Practitioner Interest on Trust Accounts Fund 208 Establishment of fund . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 145 209 Payments from fund . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 146 210 Minister to decide distribution. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 147 211 Submission of budgets. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 148 PART 9--RULES ABOUT THOSE WHO MAY ENGAGE IN LEGAL PRACTICE IN THIS JURISDICTION Division 1--Preliminary 212 Main purposes of ch 2, pt 9 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 148 213 Power to make rules not limited to specific references to provision in other chapters or parts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 149 214 Definition for ch 2, pt 9 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 149 Division 2--Legal profession rules 215 Rules to be made by Governor in Council . . . . . . . . . . . . . . . . . . . . . . . . . . 149 216 Rule may apply to persons generally or by using a defined term involving a legal title . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 150 217 Particular provision about barristers rule . . . . . . . . . . . . . . . . . . . . . . . . . . . 150 218 Solicitors rule or barristers rule may apply to government legal officer . . . . 151 219 Incorporated legal practice rule can not provide for particular matters . . . . 151 220 Recommendations to the Minister about legal profession rules . . . . . . . . . . 151 221 Monitoring role of committee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 152 222 Public notice of proposed legal profession rule . . . . . . . . . . . . . . . . . . . . . . 152 223 Binding nature of each legal profession rule. . . . . . . . . . . . . . . . . . . . . . . . . 153

11 Legal Profession Bill 2004 224 Relationship of legal profession rule to this Act and regulation . . . . . . . . . . 153 225 Relationship of legal profession rule and administration rule. . . . . . . . . . . . 153 Division 3--Administration rules 226 Rules other than legal profession rule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 154 227 Indemnity rule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 156 228 Relationship of administration rule to this Act and regulation . . . . . . . . . . . 157 229 Availability of an administration rule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 157 PART 10--INTER-JURISDICTIONAL PROVISIONS REGARDING ADMISSION AND PRACTISING CERTIFICATES Division 1--Preliminary 230 Main purpose of ch 2, pt 10. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 158 231 Relationship of this part with ch 3. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 158 Division 2--Notifications to be given to interstate authorities 232 Notification to other jurisdictions about application for admission . . . . . . . 158 233 Notification to other jurisdictions about removal from local roll . . . . . . . . . 159 234 Law society and bar association to notify other jurisdictions about actions by it ..................................................... 159 Division 3--Notifications to be given by lawyers to local authorities 235 Lawyer to give notice of removal in another jurisdiction . . . . . . . . . . . . . . . 160 236 Lawyer to give notice of removal in foreign country . . . . . . . . . . . . . . . . . . 160 237 Provisions relating to requirement to notify . . . . . . . . . . . . . . . . . . . . . . . . . 161 Division 4--Taking of action by local authorities in response to notifications received 238 Peremptory removal of local lawyer's name from local roll following removal in another jurisdiction ................................ 161 239 Peremptory cancellation of local practising certificate following removal of name from interstate roll .................................. 162 240 Order for non-removal of name or non-cancellation of practising certificate 162 241 Show cause procedure for removal of local lawyer's name from local roll following removal in foreign country ......................... 163 242 Local authority may give information to other local authority . . . . . . . . . . . 164

12 Legal Profession Bill 2004 CHAPTER 3--COMPLAINTS, INVESTIGATION MATTERS AND DISCIPLINE PART 1--PRELIMINARY Division 1--Preliminary 243 Main purposes of ch 3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 164 Division 2--Key concepts 244 Meaning of "unsatisfactory professional conduct" . . . . . . . . . . . . . . . . . . . . 165 245 Meaning of "professional misconduct". . . . . . . . . . . . . . . . . . . . . . . . . . . . . 165 246 Conduct capable of constituting unsatisfactory professional conduct or professional misconduct .................................... 166 247 Meaning of "respondent" . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 166 Division 3--Application of this chapter 248 Application of chapter to lawyers, former lawyers and former practitioners 167 249 Practitioners to whom this chapter applies . . . . . . . . . . . . . . . . . . . . . . . . . . 167 250 Conduct to which this chapter applies--generally . . . . . . . . . . . . . . . . . . . . 167 251 Conduct to which this chapter applies--insolvent under administration, serious offences and tax offences .............................. 169 252 Chapter also applies to law practice employees . . . . . . . . . . . . . . . . . . . . . . 169 Division 4--Commissioner's obligations for complaints 253 Duty to deal with complaints efficiently and expeditiously . . . . . . . . . . . . . 170 254 Duty to inform complainant about action taken for complaint . . . . . . . . . . . 170 PART 2--MAKING COMPLAINTS 255 Conduct about which complaint may be made . . . . . . . . . . . . . . . . . . . . . . . 170 256 Making a complaint. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 171 257 Further information and verification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 171 258 Complaints made over 3 years after conduct concerned . . . . . . . . . . . . . . . . 172 259 Summary dismissal of complaints. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 173 260 Withdrawal of complaints . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 174 261 Commissioner may delay dealing with complaint . . . . . . . . . . . . . . . . . . . . 175 PART 3--MEDIATION FOR COMPLAINTS INVOLVING CONSUMER DISPUTE 262 Definition for ch 3, pt 3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175 263 Mediation of complaint involving consumer dispute solely . . . . . . . . . . . . . 176 264 Mediation of hybrid complaint . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 176

13 Legal Profession Bill 2004 PART 4--STARTING INVESTIGATIONS BASED ON COMPLAINT OR WITHOUT A COMPLAINT 265 Referral by commissioner to law society or bar association . . . . . . . . . . . . . 177 266 Commissioner investigating a complaint or investigation matter . . . . . . . . . 177 267 Australian lawyer to be notified of complaint or investigation matter . . . . . 178 268 Role of law society or bar association. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 179 269 Powers for investigations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 180 270 Submissions by respondent . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 181 271 Referral of matters for cost assessment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 181 272 Regulation may provide for covering cost of costs assessor under s 269 or 271 .............................................. 182 PART 5--DISCIPLINE Division 1--Decision of commissioner 273 Decision of commissioner after investigation . . . . . . . . . . . . . . . . . . . . . . . . 182 274 Dismissal of complaint . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 182 275 Record of decision. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183 Division 2--Proceedings in disciplinary body 276 Starting proceeding before a disciplinary body. . . . . . . . . . . . . . . . . . . . . . . 183 277 Hearings. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183 278 Variation of discipline application. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183 279 Joinder . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 184 Division 3--Decisions of disciplinary bodies 280 Decisions of tribunal about an Australian legal practitioner . . . . . . . . . . . . . 184 281 Orders to be filed in Supreme Court and information notices to be given to parties etc. ............................................ 186 282 Decisions of committee about discipline application . . . . . . . . . . . . . . . . . . 187 283 Orders to be filed in Supreme Court and information notices to be given to parties etc. ............................................ 188 284 Interlocutory and interim orders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 189 285 Compliance with decisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 189 286 Costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 190 287 Other remedies not affected. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 191

14 Legal Profession Bill 2004 PART 6--COMPENSATION ORDERS Division 1--Preliminary 288 Meaning of "compensation order" . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 191 Division 2--Compensation orders 289 Compensation order relating to pecuniary loss . . . . . . . . . . . . . . . . . . . . . . . 192 290 Effect of compensation order . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 192 291 Other remedies not affected. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 193 PART 7--APPEALS FROM DECISIONS OF DISCIPLINARY BODIES 292 Appeal may be made to Court of Appeal from tribunal's decision . . . . . . . . 193 293 Appeal to tribunal against committee's decision. . . . . . . . . . . . . . . . . . . . . . 194 294 Appeal to Court of Appeal in relation to a decision of committee . . . . . . . . 194 PART 8--PUBLICATION OF DISCIPLINARY ACTIONS 295 Definition for ch 3, pt 8 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 194 296 Discipline register . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 195 297 Other means of publicising disciplinary action. . . . . . . . . . . . . . . . . . . . . . . 196 298 Disciplinary action taken because of infirmity, injury or illness . . . . . . . . . . 196 299 Quashing of disciplinary action. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 197 300 Liability for publicising disciplinary action . . . . . . . . . . . . . . . . . . . . . . . . . 197 301 General provisions about disclosure of information . . . . . . . . . . . . . . . . . . . 198 PART 9--INTER-JURISDICTIONAL PROVISIONS 302 Protocols . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 199 303 Request to another jurisdiction to investigate complaint or investigation matter .................................................. 199 304 Request from another jurisdiction to investigate complaint . . . . . . . . . . . . . 199 305 Sharing of information with corresponding authorities . . . . . . . . . . . . . . . . 200 306 Cooperation with corresponding authorities . . . . . . . . . . . . . . . . . . . . . . . . . 200 307 Compliance with orders made under corresponding laws. . . . . . . . . . . . . . . 201 308 Other powers or functions not affected . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 201 PART 10--MISCELLANEOUS 309 Information about complaints procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . 201 310 Performance criteria . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 202 311 Annual and other reports to the Minister. . . . . . . . . . . . . . . . . . . . . . . . . . . . 202

15 Legal Profession Bill 2004 312 Confidentiality of client communications . . . . . . . . . . . . . . . . . . . . . . . . . . . 203 313 Waiver of legal professional privilege or benefit of duty of confidentiality . 203 CHAPTER 4--EXTERNAL INTERVENTION PART 1--PRELIMINARY 314 Main purposes of ch 4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 204 315 Definitions for ch 4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 205 316 Application of ch 4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 205 317 Application of chapter to other persons . . . . . . . . . . . . . . . . . . . . . . . . . . . . 206 PART 2--STARTING EXTERNAL INTERVENTIONS 318 Circumstances warranting external intervention . . . . . . . . . . . . . . . . . . . . . . 206 319 Decision regarding external intervention . . . . . . . . . . . . . . . . . . . . . . . . . . . 207 PART 3--SUPERVISORS 320 Appointment of supervisor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 209 321 Notice of appointment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 209 322 Effect of service of notice of appointment . . . . . . . . . . . . . . . . . . . . . . . . . . 210 323 Role of supervisor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 211 324 Records of law practice under supervision . . . . . . . . . . . . . . . . . . . . . . . . . . 212 325 Termination of supervisor's appointment . . . . . . . . . . . . . . . . . . . . . . . . . . . 212 PART 4--MANAGERS 326 Appointment of manager. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 213 327 Notice of appointment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 214 328 Effect of service of notice of appointment . . . . . . . . . . . . . . . . . . . . . . . . . . 214 329 Role of manager . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 215 330 Records and accounts of law practice under management . . . . . . . . . . . . . . 217 331 Deceased estates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 217 332 Termination of manager's appointment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 218 PART 5--RECEIVERS 333 Appointment of receiver . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 218 334 Notice of appointment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 219 335 Effect of service of notice of appointment . . . . . . . . . . . . . . . . . . . . . . . . . . 220 336 Role of receiver . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 221 337 Records and accounts of law practice under receivership . . . . . . . . . . . . . . . 221

16 Legal Profession Bill 2004 338 Power of receiver to take possession of regulated property . . . . . . . . . . . . . 222 339 Power of receiver to take delivery of regulated property . . . . . . . . . . . . . . . 222 340 Power of receiver to deal with regulated property. . . . . . . . . . . . . . . . . . . . . 223 341 Power of receiver to require documents or information . . . . . . . . . . . . . . . . 223 342 Examinations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 223 343 Lien for costs on regulated property of the law practice . . . . . . . . . . . . . . . . 224 344 Regulated property of a law practice is not to be attached . . . . . . . . . . . . . . 225 345 Recovery of regulated property where there has been a breach of trust etc.. 225 346 Improperly destroying property etc. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 227 347 Deceased estates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 227 348 Termination of receiver's appointment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 227 PART 6--GENERAL 349 Conditions on appointment of external intervener for a law practice . . . . . . 228 350 Status of acts of external intervener for a law practice . . . . . . . . . . . . . . . . . 229 351 Eligibility for reappointment or authorisation. . . . . . . . . . . . . . . . . . . . . . . . 229 352 Appeal against appointment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 229 353 Directions of Supreme Court. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 230 354 Requirement for financial institution to disclose and permit access to accounts ................................................. 230 355 Fees, legal costs and expenses. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 230 356 Reports by external intervener for law practice. . . . . . . . . . . . . . . . . . . . . . . 231 357 Confidentiality for external intervener for law practice . . . . . . . . . . . . . . . . 231 CHAPTER 5--PRACTICE OF FOREIGN LAW BY FOREIGN LAWYERS PART 1--PRELIMINARY 358 Main purpose of ch 5. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 233 359 Definitions for ch 5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 233 360 Chapter does not apply to Australian legal practitioners. . . . . . . . . . . . . . . . 234 PART 2--PRACTICE OF FOREIGN LAW 361 Requirement for registration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 234 362 Entitlement of Australian-registered foreign lawyer to practise in this jurisdiction ............................................... 235 363 Scope of practice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 235

17 Legal Profession Bill 2004 364 Form of practice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 236 365 Application of Australian professional ethical and practice standards . . . . . 236 366 Designation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 237 367 Letterhead and other identifying documents . . . . . . . . . . . . . . . . . . . . . . . . . 239 368 Advertising . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 239 369 Foreign lawyer employing Australian legal practitioner . . . . . . . . . . . . . . . . 240 370 Trust money and trust accounts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 240 371 Professional indemnity insurance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 241 372 Fidelity cover. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 241 PART 3--LOCAL REGISTRATION OF FOREIGN LAWYERS GENERALLY 373 Local registration of foreign lawyers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 241 374 Duration of registration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 241 375 Local registered foreign lawyer is not officer of Supreme Court . . . . . . . . . 242 PART 4--APPLICATION FOR GRANT OR RENEWAL OF LOCAL REGISTRATION 376 Application for grant or renewal of registration . . . . . . . . . . . . . . . . . . . . . . 242 377 Manner of application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 242 378 Requirements regarding applications for the grant or renewal of registration ............................................. 243 PART 5--GRANT OR RENEWAL OF LOCAL REGISTRATION 379 Grant or renewal of local registration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 245 380 Requirement to grant or renew registration if criteria satisfied . . . . . . . . . . . 246 381 Refusal to grant or renew registration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 247 PART 6--AMENDMENT, CANCELLATION OR SUSPENSION OF LOCAL REGISTRATION 382 Application of ch 5, pt 6 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 248 383 Grounds for amending, cancelling or suspending registration . . . . . . . . . . . 249 384 Amending, cancelling or suspending registration . . . . . . . . . . . . . . . . . . . . . 249 385 Operation of amendment, cancellation or suspension of registration . . . . . . 251 386 Other ways of amending or cancelling registration. . . . . . . . . . . . . . . . . . . . 251 387 Relationship of this part with ch 3. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 252

18 Legal Profession Bill 2004 PART 7--SPECIAL POWERS IN RELATION TO LOCAL REGISTRATION 388 Applicant for local registration if show cause event happened after first registration as overseas-registered foreign lawyer . . . . . . . . . . . . . . . . . . . . 252 389 Requirement if show cause event . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 253 390 Refusal, cancellation or suspension of local registration--failure to show cause ................................................... 253 391 Restriction on making further applications . . . . . . . . . . . . . . . . . . . . . . . . . . 254 392 Relationship of this part with chs 3 and 7 . . . . . . . . . . . . . . . . . . . . . . . . . . . 255 PART 8--FURTHER PROVISIONS RELATING TO LOCAL REGISTRATION 393 Immediate suspension of registration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 255 394 Surrender of local registration certificate and cancellation of registration . . 256 395 Automatic cancellation of registration on grant of practising certificate . . . 257 396 Cancellation or suspension of registration not to affect disciplinary processes ............................................... 257 397 Return of local registration certificate on amendment, suspension or cancellation of registration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 257 PART 9--CONDITIONS ON REGISTRATION 398 Conditions generally . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 258 399 Conditions imposed by law society. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 258 400 Statutory condition regarding notification of offence . . . . . . . . . . . . . . . . . . 258 401 Conditions imposed by regulation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 259 402 Compliance with conditions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 259 PART 10--INTERSTATE-REGISTERED FOREIGN LAWYERS 403 Extent of entitlement of interstate-registered foreign lawyer to practise in this jurisdiction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 260 404 Additional conditions on practice of interstate-registered foreign lawyers. . 260 PART 11--MISCELLANEOUS 405 Consideration and investigation of applicants and holders . . . . . . . . . . . . . . 261 406 Register of locally-registered foreign lawyers. . . . . . . . . . . . . . . . . . . . . . . . 262 407 Publication of information about locally-registered foreign lawyers . . . . . . 262 408 Supreme Court orders about conditions . . . . . . . . . . . . . . . . . . . . . . . . . . . . 262 409 Exemption by law society . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 262 410 Membership of professional association . . . . . . . . . . . . . . . . . . . . . . . . . . . . 263

19 Legal Profession Bill 2004 411 Refund of fees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 263 CHAPTER 6--ESTABLISHMENT OF ENTITIES FOR THIS ACT, AND RELATED MATTERS PART 1--LEGAL SERVICES COMMISSIONER Division 1--Preliminary 412 Main purposes of ch 6, pt 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 263 Division 2--Appointment 413 Legal Services Commissioner . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 264 414 Appointment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 264 415 Term of appointment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 264 416 Remuneration and conditions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 264 417 Acting commissioner. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 265 418 Termination of appointment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 265 419 Resignation of commissioner . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 265 Division 3--Functions 420 Functions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 266 Division 4--Legal Services Commission 421 Establishment of commission . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 266 422 Staff and other resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 266 423 Preservation of rights if public service officer appointed or engaged . . . . . . 267 424 Preservation of rights if person becomes public service officer . . . . . . . . . . 267 425 Preservation of rights if public service officer seconded. . . . . . . . . . . . . . . . 267 Division 5--Miscellaneous matters about the commissioner 426 Delegation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 268 427 Arrangements with regulatory authority about copies of documents . . . . . . 268 PART 2--DISCIPLINARY TRIBUNAL Division 1--Preliminary 428 Main purpose of ch 6, pt 2. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 269 Division 2--Establishment of Legal Practice Tribunal and related matters 429 Establishment, members and chairperson of tribunal . . . . . . . . . . . . . . . . . . 269 430 Way tribunal is to operate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 269 431 Jurisdiction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 269

20 Legal Profession Bill 2004 432 Powers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 269 433 Rule-making power . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 270 434 Practice directions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 270 435 Registrar . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 270 436 Tribunal's seal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 270 Division 3--Panels, members of panels and related matters 437 Establishment of panels for helping the tribunal. . . . . . . . . . . . . . . . . . . . . . 271 438 Appointment of panel member . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 271 439 Remuneration and appointment conditions of panel members . . . . . . . . . . . 272 440 Termination of appointment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 272 441 Resignation of members . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 273 Division 4--Role of tribunal members and panel members 442 Role of members . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 273 443 Disclosure of interests . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 273 Division 5--Constitution of tribunal for hearings 444 Constitution of tribunal for hearing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 274 Division 6--Other provisions 445 Institution of proceedings by the commissioner . . . . . . . . . . . . . . . . . . . . . . 275 446 Contempt of tribunal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 275 447 Conduct that is contempt and an offence . . . . . . . . . . . . . . . . . . . . . . . . . . . 275 448 Protection of members etc. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 275 PART 3--LEGAL PRACTICE COMMITTEE Division 1--Preliminary 449 Main purpose of ch 6, pt 3. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 276 450 Definitions for ch 6, pt 3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 276 Division 2--Establishment, membership of committee, functions and powers 451 Establishment of committee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 276 452 Committee members . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 276 453 Term of appointment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 277 454 Functions and powers of committee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 277 455 Administrative support . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 277

21 Legal Profession Bill 2004 Division 3--Provisions about committee members 456 Eligibility for membership . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 277 457 Termination of office . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 278 458 Resignation of committee member . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 278 459 Deputy chairperson . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 278 460 Remuneration and allowances of lay members . . . . . . . . . . . . . . . . . . . . . . . 279 Division 4--Provisions about committee performing advisory functions 461 Application of ch 6, pt 3, div 4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 279 462 Conduct of business. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 279 463 Time and place of meeting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 279 464 Quorum . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 279 465 Presiding at meetings. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 279 466 Conduct of meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 280 467 Minutes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 280 468 Disclosure of interests . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 281 Division 5--Provisions applying to committee for hearings 469 Constitution of committee for hearing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 282 470 Conduct of committee for hearing and deciding discipline applications . . . 282 471 Disclosure of interests . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 283 472 Protection of members etc. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 283 PART 4--PROVISIONS APPLYING TO EACH DISCIPLINARY BODY Division 1--Parties to proceedings 473 Parties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 284 Division 2--Conduct of proceedings 474 Public hearings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 285 475 Procedure for hearing by a disciplinary body . . . . . . . . . . . . . . . . . . . . . . . . 285 476 Recording evidence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 285 477 Disciplinary body may proceed in absence of party or may adjourn hearing 286 478 Matter may be decided on affidavit evidence . . . . . . . . . . . . . . . . . . . . . . . . 286 479 Standard of proof. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 286 480 Prohibited publication about hearing of a disciplinary application. . . . . . . . 287

22 Legal Profession Bill 2004 Division 3--Powers of disciplinary body 481 Power to disregard procedural lapses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 287 482 Directions for hearings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 288 483 Attendance notice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 288 484 Authentication of documents. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 289 Division 4--Offences 485 False or misleading information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 289 486 False or misleading documents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 290 PART 5--LEGAL PRACTITIONERS ADMISSIONS BOARD Division 1--Preliminary 487 Main purpose of ch 6, pt 5. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 290 488 Definitions for ch 6, pt 5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 290 Division 2--Establishment and membership of board 489 Establishment of board . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 291 490 Members of board . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 291 Division 3--Board's functions and powers 491 Functions and powers of board . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 291 492 Administrative support of the board . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 292 Division 4--Provisions about board members 493 Term of appointment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 292 494 Chairperson and deputy chairperson . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 292 495 Eligibility for membership . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 292 496 Termination of appointment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 292 497 Resignation of board member . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 293 Division 5--Board business 498 Conduct of business. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 293 499 Times and places of meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 293 500 Quorum . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 294 501 Presiding at meetings. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 294 502 Conduct of meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 294 503 Minutes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 295 504 Disclosure of interests . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 295

23 Legal Profession Bill 2004 Division 6--Miscellaneous 505 Application of particular Acts to board . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 296 PART 6--QUEENSLAND LAW SOCIETY INCORPORATED Division 1--Preliminary 506 Purposes of ch 6, pt 6 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 296 507 Definitions for ch 6, pt 6 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 297 Division 2--Constitution and related matters about the law society 508 Establishment of Queensland Law Society . . . . . . . . . . . . . . . . . . . . . . . . . . 297 509 Functions of the law society . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 298 510 General powers of the law society. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 298 511 Status of the law society because of its establishment in Act . . . . . . . . . . . . 298 512 Delegation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 299 Division 3--Membership of law society 513 Membership of law society . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 299 Division 4--Council and its membership and officers of the law society 514 Council of the law society . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 300 515 President, deputy president and vice-president of the law society . . . . . . . . 301 516 Dealing with casual vacancy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 301 517 No defect because of vacancy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 301 518 Secretary and other staff of the law society. . . . . . . . . . . . . . . . . . . . . . . . . . 301 Division 5--Council meetings 519 Conduct of business at meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 302 520 Presiding at meetings. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 302 521 Quorum . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 302 522 Conduct of council meetings. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 302 523 Minutes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 303 524 Disclosure of interest. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 303 Division 6--Law society may make rule 525 Rule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 304 526 Notice by Minister about law society making a rule. . . . . . . . . . . . . . . . . . . 305 527 Availability of a society rule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 305

24 Legal Profession Bill 2004 Division 7--Miscellaneous 528 Starting proceedings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 305 529 Recovery of unpaid amount. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 306 CHAPTER 7--SUITABILITY REPORTS AND INVESTIGATIONS PART 1--SUITABILITY REPORTS Division 1--Preliminary 530 Main purpose of ch 7, pt 1. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 306 531 Definitions for ch 7, pt 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 306 Division 2--Police reports 532 Relevant authority may ask for police report . . . . . . . . . . . . . . . . . . . . . . . . 307 Division 3--Health assessments 533 Health assessment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 308 534 Appointment of health assessor. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 309 535 Health assessment report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 309 536 Payment for health assessment and report . . . . . . . . . . . . . . . . . . . . . . . . . . 310 537 Use of health assessment report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 310 Division 4--General 538 Confidentiality of suitability report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 311 539 Operation of ch 7, pt 1. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 312 PART 2--INVESTIGATORS AND THEIR POWERS Division 1--Preliminary 540 Main purpose of ch 7, pt 2. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 313 541 Definitions for ch 7, pt 2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 313 Division 2--Investigators 542 Appointment, qualifications etc. of investigators . . . . . . . . . . . . . . . . . . . . . 313 543 Appointment conditions and limit on powers . . . . . . . . . . . . . . . . . . . . . . . . 314 544 Issue of identity card . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 314 545 Production or display of identity card . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 315 546 When investigator ceases to hold office . . . . . . . . . . . . . . . . . . . . . . . . . . . . 315 547 Resignation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 316 548 Return of identity card. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 316

25 Legal Profession Bill 2004 Division 3--Entry to places 549 Power to enter places. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 316 550 Entry with consent. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 317 551 Application for warrant . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 318 552 Issue of warrant . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 318 553 Application by electronic communication and duplicate warrant. . . . . . . . . 319 554 Defect in relation to a warrant . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 321 555 Warrants--procedure before entry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 321 Division 4--Powers of investigators after entry 556 General powers of investigator after entering places . . . . . . . . . . . . . . . . . . 322 557 Power to require reasonable help or information . . . . . . . . . . . . . . . . . . . . . 322 Division 5--Power of investigators to seize evidence 558 Seizing evidence at place entered under s 549 . . . . . . . . . . . . . . . . . . . . . . . 323 559 Securing seized things . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 324 560 Tampering with seized things . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 324 561 Powers to support seizure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 324 562 Receipt for seized things . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 325 563 Forfeiture of seized things . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 325 564 Dealing with forfeited things etc. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 326 565 Return of seized things . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 326 566 Access to seized things . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 326 Division 6--General enforcement matters 567 Notice of damage. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 326 568 Compensation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 327 569 False or misleading information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 328 570 False or misleading documents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 328 571 Obstructing investigators. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 328 572 Impersonation of investigators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 329 Division 7--Provisions about investigations relating to incorporated legal practices 573 Definition for ch 7, pt 2, div 7 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 329 574 Application of division to audits and investigations . . . . . . . . . . . . . . . . . . . 329 575 Examination of persons . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 330

26 Legal Profession Bill 2004 576 Inspection of books . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 331 577 Power to hold hearings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 332 578 Failure to comply with investigation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 332 CHAPTER 8--MISCELLANEOUS MATTERS PART 1--JURISDICTION OF THE SUPREME COURT 579 Inherent jurisdiction of Supreme Court. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 333 580 Jurisdiction of Supreme Court. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 333 581 Injunctions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 334 582 Hearing and deciding particular action without a jury . . . . . . . . . . . . . . . . . 335 PART 2--SUSPECTED OFFENCES, PARTICULAR ASSOCIATES AND OTHER MATTERS 583 Duty of relevant entities to report suspected offences. . . . . . . . . . . . . . . . . . 335 584 Associate who is proscribed person or has been convicted of serious offence etc. ........................................... 337 585 Executive officers must ensure corporation complies with Act. . . . . . . . . . . 339 586 Offences are summary offences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 340 587 Limitation on time for starting summary proceeding . . . . . . . . . . . . . . . . . . 340 588 Appointments and authority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 340 589 Signatures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 340 590 Evidentiary aids--documents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 341 PART 3--OTHER MATTERS 591 Information sharing among entities with functions under Act . . . . . . . . . . . 341 592 Offence of improper disclosure of information. . . . . . . . . . . . . . . . . . . . . . . 342 593 Protection from liability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 343 594 Approved forms. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 344 595 Regulation-making power . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 345 PART 4--AMENDMENT OF ACTS 596 Acts amended in sch 1. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 346 PART 5--TRANSITIONAL, SAVINGS AND REPEAL PROVISIONS Division 1--Definitions for ch 8, pt 5 597 Definitions for ch 8, pt 5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 346

27 Legal Profession Bill 2004 Division 2--Transitional provisions relating to ch 2, pt 2 (Reservation of legal work and related matters) 598 Act or omission that happened before the commencement may be relevant to an offence under ch 2, pt 2 ................................ 347 599 Offences committed before the commencement . . . . . . . . . . . . . . . . . . . . . . 347 Division 3--Transitional provisions relating to ch 2, pt 3 (Admission of legal practitioners) 600 Application for admission made before commencement but not heard by Supreme Court before commencement ...................... 348 601 References in other Acts to applicant for admission as a barrister or as a solicitor ............................................... 349 Division 4--Transitional provisions relating to ch 2, pt 4 (Legal Practice by Australian legal practitioners) 602 Purpose of div 4. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 349 603 Actions before commencement that continue to have effect. . . . . . . . . . . . . 349 604 Applications to law society outstanding at the commencement . . . . . . . . . . 351 605 Barristers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 351 606 Professional indemnity insurance as mentioned in s 50(3) . . . . . . . . . . . . . . 352 Division 5--Transitional provisions relating to ch 2, pt 7 (Fidelity cover) 607 Amounts payable to and from the fidelity fund before commencement . . . . 353 608 Delegation to committee of management before commencement . . . . . . . . 353 609 Claims for acts or omissions happening before commencement . . . . . . . . . 353 Division 6--Transitional provisions relating to ch 2, pt 9 (Rules about those who may engage in legal practice in this jurisdiction) 610 Continuation of rules of the law society . . . . . . . . . . . . . . . . . . . . . . . . . . . . 354 611 Bar association rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 355 Division 7--Transitional provisions relating to ch 3 (Complaints, investigation matters and discipline) 612 Complaints made to the council before commencement but not finally dealt with before that time. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 356 613 Complaints made to the legal ombudsman before commencement but not finally dealt with before that time . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 357 614 Basis of complaint mentioned in ss 256 or 613(2) . . . . . . . . . . . . . . . . . . . . 357 Division 8--Transitional provisions relating to matters that are to continue as external interventions under ch 4 (External intervention) 615 Continuation of appointment under the Queensland Law Society Act, repealed pt 2C to continue as appointment under ch 4 . . . . . . . . . . . . . . . . . 358

28 Legal Profession Bill 2004 Division 9--Transitional provisions relating to ch 6 generally (Establishment of entities for this Act, and related matters) 616 Records of Solicitors' Board and Barristers' Board . . . . . . . . . . . . . . . . . . . 359 617 Provisions that require person to be barrister at commencement for particular reasons. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 360 Division 10--Transitional provisions relating to ch 6 (Establishment of entities for this Act, and related matters), pt 6 (Queensland Law Society Incorporated) 618 Definitions for ch 8, pt 5, div 10 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 360 619 Things done under remade provisions continue to have effect . . . . . . . . . . . 360 620 Re-enacting does not affect legal personality etc. . . . . . . . . . . . . . . . . . . . . . 361 621 Re-enacting does not affect existing legal relationships . . . . . . . . . . . . . . . . 361 622 Powers exercised by law society or council before commencement. . . . . . . 362 623 Membership of the council if no more than 12 members, etc. . . . . . . . . . . . 362 624 Membership of the council if more than 12 members, etc.. . . . . . . . . . . . . . 362 625 Presidential members . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 363 626 Society rule continues to apply to vacation of office. . . . . . . . . . . . . . . . . . . 363 627 Delegation by the law society . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 364 Division 11--Transitional provisions relating to the Legal Practitioners Act 628 Main purposes of ch 8, pt 5, div 11 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 364 629 Amendment and relocation of the Legal Practitioners Act, s 58. . . . . . . . . . 364 630 Effect of relocation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 364 631 Accounts kept by society under the Legal Practitioners Act, s 51 . . . . . . . . 365 632 Repeal of remaining provisions of Legal Practitioners Act. . . . . . . . . . . . . . 365 633 References to Legal Practitioners Act and related matters . . . . . . . . . . . . . . 365 634 References to other Acts etc. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 366 635 Appeals under Legal Practitioners Act . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 366 Division 12--Transitional provisions relating to the Queensland Law Society Act 636 Main purposes of ch 8, pt 5, div 12 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 367 637 Repeals relating to solicitors complaints tribunal under Queensland Law Society Act . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 367 638 Repeals relating to legal ombudsman under the Queensland Law Society Act .................................................... 368

29 Legal Profession Bill 2004 639 Report by the commissioner for 2003-2004 financial year . . . . . . . . . . . . . . 368 640 Further amendment of Queensland Law Society Act . . . . . . . . . . . . . . . . . . 368 Division 13--Transitional provisions for, and repeal of, the Legal Profession Act 2003 641 Transitional provisions relating to appointment of Legal Services Commissioner under the Legal Profession Act 2003 . . . . . . . . . . . . . . . . . . 369 642 Repeal of Legal Profession Act 2003 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 369 Division 14--Regulation-making power for transitional purposes 643 Transitional regulation-making power . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 369 SCHEDULE 1 . . . . . . . . . . . . . . . . . . . . . . . . 370 ACTS AMENDED ACTS INTERPRETATION ACT 1954 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 370 BAIL ACT 1980 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 370 CRIMINAL LAW (REHABILITATION OF OFFENDERS) ACT 1986 . . . 370 DIRECTOR OF PUBLIC PROSECUTIONS ACT 1984 . . . . . . . . . . . . . . . 371 DISTRICT COURT OF QUEENSLAND ACT 1967. . . . . . . . . . . . . . . . . . 372 JUSTICES ACT 1886 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 374 JUSTICES OF THE PEACE AND COMMISSIONERS FOR DECLARATIONS ACT 1991. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 378 JUVENILE JUSTICE ACT 1992 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 378 LAND SALES ACT 1984. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 379 LAND TITLE ACT 1994 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 380 LEGAL AID QUEENSLAND ACT 1997 . . . . . . . . . . . . . . . . . . . . . . . . . . 382 MAGISTRATES COURTS ACT 1921 . . . . . . . . . . . . . . . . . . . . . . . . . . . . 386 PROPERTY AGENTS AND MOTOR DEALERS ACT 2000 . . . . . . . . . . 387 RETAIL SHOP LEASES ACT 1994 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 388 SUPREME COURT ACT 1995 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 388 SUPREME COURT LIBRARY ACT 1968 . . . . . . . . . . . . . . . . . . . . . . . . . 392 SUPREME COURT OF QUEENSLAND ACT 1991 . . . . . . . . . . . . . . . . . 393 TRUST ACCOUNTS ACT 1973 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 394 SCHEDULE 2 . . . . . . . . . . . . . . . . . . . . . . . . 399 AMENDMENTS OF LEGAL PRACTITIONERS ACT 1995, SECTION 58 SCHEDULE 3 . . . . . . . . . . . . . . . . . . . . . . . . 401

30 Legal Profession Bill 2004 LEGAL PRACTITIONERS ACT 1995, SECTION 58 AS AMENDED AND RELOCATED SCHEDULE 4 . . . . . . . . . . . . . . . . . . . . . . . . 402 AMENDMENT OF QUEENSLAND LAW SOCIETY ACT 1952 SCHEDULE 5 . . . . . . . . . . . . . . . . . . . . . . . . 412 DICTIONARY

2004 A BILL FOR An Act to provide for admission to, and the regulation of, the legal profession, and for entities involving members of the legal profession, and for other purposes

s1 32 s3 Legal Profession Bill 2004 The Parliament of Queensland enacts-- 1 CHAPTER 1--INTRODUCTION 2 PART 1--PRELIMINARY 3 1 Short title 4 This Act may be cited as the Legal Profession Act 2004. 5 2 Commencement 6 (1) Section 610(6) commences on the date of assent. 1 7 (2) The remaining provisions of this Act commence on a day to be fixed 8 by proclamation. 9 3 Main purposes of this Act 10 The main purposes of this Act are as follows-- 11 (a) to promote the administration of justice; 12 (b) to provide for the protection of consumers of legal services and 13 the public generally; 14 (c) to regulate legal practice in this jurisdiction, including the 15 practice of foreign law by foreign lawyers; 16 (d) to facilitate the regulation of legal practice on a national basis. 17 1 Section 610 (Continuation of rules of the law society)

s4 33 s6 Legal Profession Bill 2004 PART 2--INTERPRETATION 1 Division 1--Dictionary 2 4 Definitions 3 The dictionary in schedule 5 defines particular words used in this Act. 4 Division 2--Meaning of particular terms involving a legal title and 5 related matters 6 5 Meaning of terms involving lawyer 7 (1) An "Australian lawyer" is a person admitted under this Act as a 8 legal practitioner or admitted to the legal profession of another jurisdiction 9 under a corresponding law. 10 (2) A "local lawyer" is a person admitted under this Act as a legal 11 practitioner, whether or not the person is also admitted to the legal 12 profession of another jurisdiction under a corresponding law. 13 (3) An "interstate lawyer" is a person who is admitted to the legal 14 profession of another jurisdiction under a corresponding law, but is not 15 admitted under this Act as a legal practitioner. 16 6 Meaning of terms involving legal practitioner 17 (1) An "Australian legal practitioner" is an Australian lawyer who 18 holds a current local practising certificate or a current interstate practising 19 certificate. 20 (2) A "local legal practitioner" is an Australian lawyer who holds a 21 current local practising certificate. 22 (3) An "interstate legal practitioner" is an Australian lawyer who 23 holds a current interstate practising certificate, but does not hold a current 24 local practising certificate. 25

s7 34 s7 Legal Profession Bill 2004 7 Application to Australian lawyers and Australian legal 1 practitioners 2 (1) If an entity may exercise a power under this Act in relation to an 3 Australian lawyer, the entity may only exercise the power in relation to a 4 person who is-- 5 (a) a local lawyer or local legal practitioner; or 6 (b) an interstate lawyer or interstate legal practitioner, who is 7 engaged in, or proposes to engage in, legal practice in this 8 jurisdiction. 9 (2) If an entity may exercise a power under this Act in relation to an 10 Australian legal practitioner, the entity may only exercise the power in 11 relation to a person who is-- 12 (a) a local legal practitioner; or 13 (b) an interstate legal practitioner who is engaged in, or proposes to 14 engage in, legal practice in this jurisdiction. 15 (3) If the power that may be exercised under subsection (1) or (2) relates 16 to a person's previous act or omission, the power may also be exercised in 17 relation to a person who, at the time of the previous act or omission, was a 18 local lawyer, local legal practitioner or interstate legal practitioner engaged 19 in legal practice in this jurisdiction. 20 (4) Subsections (1) to (3) are subject to a provision that, other than as 21 mentioned in those subsections-- 22 (a) provides for the exercise of a power in relation to persons; or 23 (b) states the persons to whom the provision applies. 24 25 Example for subsection (4)-- 26 Section 248 states the persons to whom chapter 3 applies. (5) This section does not limit the Acts Interpretation Act 1954, 27 section 9.2 28 2 Acts Interpretation Act 1954, section 9 (Act to be interpreted not to exceed Parliament's legislative power)

s8 35 s 10 Legal Profession Bill 2004 8 Meaning of "barrister" 1 A "barrister" is-- 2 (a) a local legal practitioner who holds a current local practising 3 certificate to practise as a barrister granted or renewed by the bar 4 association; or 5 (b) an interstate legal practitioner who holds a current interstate 6 practising certificate that entitles the certificate holder to practise 7 only as a barrister or in the manner of a barrister. 8 9 Meaning of "solicitor" 9 A "solicitor" is-- 10 (a) a local legal practitioner who holds a current local practising 11 certificate to practise as a solicitor granted or renewed by the law 12 society; or 13 (b) an interstate legal practitioner who holds a current interstate 14 practising certificate that is not subject to a condition that allows 15 the legal practitioner to practise only as a barrister or in the 16 manner of a barrister. 17 10 Meaning of "government legal officer" and related matters 18 (1) A "government legal officer" is a person whose employment or 19 appointment in any of the following includes or may include engaging in 20 legal practice-- 21 (a) a department of this jurisdiction, the commission, or an agency 22 prescribed under a regulation for this paragraph; 23 (b) a department of government of the Commonwealth; 24 (c) a department of government of another jurisdiction; 25 (d) an agency of another jurisdiction if, under a corresponding law of 26 that jurisdiction, a person engaging in legal practice for the 27 agency is exempted from holding a practising certificate or 28 otherwise does not require a practising certificate. 29 (2) A government legal officer is "engaged in government work" when 30 the government legal officer is engaged in legal practice for the entity in 31 relation to which the person is an employee or appointee. 32

s 11 36 s 11 Legal Profession Bill 2004 (3) However, for an agency prescribed for subsection (1)(a), a regulation 1 may specify activities that are, or are not, government work. 2 (4) If a provision under a relevant law does not apply to a government 3 legal officer engaged in government work, the provision applies to the 4 person who is the government legal officer if the person is engaging in legal 5 practice other than being engaged in government work. 6 (5) If a government legal officer holds a practising certificate from the 7 bar association, a condition of the barrister's practising certificate about 8 only practising as a barrister does not apply to the government legal officer 9 to the extent that the government legal officer practises as a solicitor as part 10 of engaging in government work. 11 (6) A government legal officer who is an Australian lawyer does not 12 have any less rights, privileges, protections or immunities than an 13 Australian lawyer who is not a government legal officer. 14 (7) A government legal officer who is not an Australian lawyer is subject 15 to the same limitations and obligations to which a government legal officer 16 who is an Australian lawyer is subject. 17 (8) The provisions of a relevant law about the fidelity fund do not apply 18 to a government legal officer in his or her capacity as a government legal 19 officer engaged in government work even if the government legal officer is 20 the holder of a practising certificate. 21 (9) For a person whose employment or appointment in a department of 22 government of the Commonwealth includes or may include engaging in 23 legal practice as mentioned in subsection (1)(b), this Act is subject to the 24 Judiciary Act 1903 (Cwlth). 25 11 Meaning of "associate" and "principal" and related matters 26 (1) An "associate", of a law practice, is-- 27 (a) an Australian legal practitioner who is-- 28 (i) a sole practitioner if the law practice is constituted by the 29 practitioner; or 30 (ii) a partner in the law practice if the law practice is a law firm; 31 or 32 (iii) a legal practitioner director if the law practice is an 33 incorporated legal practice; or 34

s 12 37 s 12 Legal Profession Bill 2004 (iv) a legal practitioner partner in the law practice if the law 1 practice is a multi-disciplinary partnership; or 2 (v) an employee of the law practice; or 3 (b) an agent of the law practice who is not an Australian legal 4 practitioner; or 5 (c) an employee of the law practice who is not an Australian legal 6 practitioner; or 7 (d) an Australian-registered foreign lawyer who is a partner in the 8 law practice; or 9 (e) an Australian-registered foreign lawyer who has a relationship 10 with the law practice, being a relationship that is of a class 11 prescribed under a regulation. 12 (2) A "legal practitioner associate", of a law practice, is an associate of 13 the practice who is an Australian legal practitioner. 14 (3) A "lay associate", of a law practice, is an associate of the practice 15 who is not an Australian legal practitioner. 16 (4) A "principal", of a law practice, is an Australian legal practitioner 17 who is-- 18 (a) a sole practitioner if the law practice is constituted by the 19 practitioner; or 20 (b) a partner in the law practice if the law practice is a law firm; or 21 (c) a legal practitioner director if the law practice is an incorporated 22 legal practice; or 23 (d) a legal practitioner partner if the law practice is a 24 multi-disciplinary partnership. 25 Division 3--Meaning of other terms for this Act 26 12 Meaning of "home jurisdiction" 27 (1) The "home jurisdiction", for an Australian legal practitioner, is the 28 jurisdiction in which the legal practitioner's only or most recent current 29 Australian practising certificate was granted. 30

s 13 38 s 13 Legal Profession Bill 2004 (2) The "home jurisdiction", for an Australian-registered foreign 1 lawyer, is the jurisdiction in which the foreign lawyer's only or most recent 2 current registration was granted. 3 (3) The "home jurisdiction", for an associate of a law practice who is 4 neither an Australian legal practitioner nor an Australian-registered foreign 5 lawyer, is-- 6 (a) if only 1 jurisdiction is the home jurisdiction for the only 7 associate of the law practice who is an Australian legal 8 practitioner or for all the associates of the law practice who are 9 Australian legal practitioners--that jurisdiction; or 10 (b) if no 1 jurisdiction is the home jurisdiction for all the associates 11 of the law practice who are Australian legal practitioners-- 12 (i) the jurisdiction in which the office is situated at which the 13 associate performs most of his or her duties for the law 14 practice; or 15 (ii) if a jurisdiction can not be decided under 16 subparagraph (i)--the jurisdiction in which the associate is 17 enrolled under a law of the jurisdiction to vote at elections 18 for that jurisdiction; or 19 (iii) if a jurisdiction can not be decided under either 20 subparagraph (i) or (ii)--the jurisdiction decided under 21 criteria prescribed under a regulation. 22 13 Meaning of "suitability matter" 23 (1) Each of the following is a "suitability matter" in relation to a 24 person-- 25 (a) whether the person is currently of good fame and character; 26 (b) whether the person is or has been an insolvent under 27 administration; 28 (c) whether the person has been convicted of an offence in Australia 29 or a foreign country, and if so-- 30 (i) the nature of the offence; and 31 (ii) how long ago the offence was committed; and 32 (iii) the person's age when the offence was committed; 33 (d) whether the person engaged in legal practice in Australia-- 34

s 13 39 s 13 Legal Profession Bill 2004 (i) when not admitted, or not holding a practising certificate, as 1 required under a relevant law or a corresponding law; or 2 (ii) if admitted, in contravention of a condition on which 3 admission was granted; or 4 (iii) while the person's practising certificate is or was suspended 5 or in contravention of a condition applicable to the 6 certificate; 7 (e) whether the person has practised law in a foreign country-- 8 (i) when not permitted under a law of that country to do so; or 9 (ii) if permitted to do so, in contravention of a condition 10 applicable to the permission; 11 (f) whether the person is currently subject to an unresolved 12 complaint, investigation, charge or order under a relevant law, 13 corresponding law or corresponding foreign law; 14 (g) whether the person-- 15 (i) is the subject of current disciplinary action, however 16 expressed, in another profession or occupation in Australia 17 or a foreign country; or 18 (ii) has been the subject of disciplinary action, however 19 expressed, relating to the other profession or occupation that 20 involved a finding of guilt; 21 (h) whether the person's name has been removed from-- 22 (i) the local roll, including the roll of barristers and roll of 23 solicitors, but has not since been restored to or entered on a 24 local roll, including the roll of barristers and roll of 25 solicitors; or 26 (ii) an interstate roll, but has not since been restored to or 27 entered on an interstate roll; or 28 (iii) a foreign roll; 29 (i) whether the person's right to engage in legal practice has been 30 cancelled or suspended in Australia or a foreign country; 31 (j) whether the person has contravened, in Australia or a foreign 32 country, a law about trust money or trust accounts; 33 (k) whether, under a relevant law, a law of the Commonwealth or a 34 corresponding law, a supervisor, manager or receiver, however 35

s 14 40 s 15 Legal Profession Bill 2004 described, is or has been appointed for a law practice engaged in 1 by the person; 2 (l) whether the person is or has been subject to an order under a 3 relevant law, a law of the Commonwealth or a corresponding law, 4 disqualifying the applicant from being employed by, or a partner 5 of, an Australian legal practitioner or from managing a 6 corporation that is an incorporated legal practice; 7 (m) whether the person currently has a material physical or mental 8 infirmity. 9 (2) A matter mentioned in subsection (1) is a suitability matter for a 10 person even if it happened before the commencement of this section, 11 except if the provision in subsection (1) about the matter refers to the 12 current situation in relation to the person. 13 14 Meaning of "serious offence" 14 A "serious offence" is an offence whether committed in or outside this 15 jurisdiction that is-- 16 (a) an indictable offence against an Act, or against a law of the 17 Commonwealth or another jurisdiction, whether or not the 18 offence is or may be dealt with summarily; or 19 (b) an offence against a law of another jurisdiction that would be an 20 indictable offence against an Act if committed in this 21 jurisdiction, whether or not the offence could be dealt with 22 summarily if committed in this jurisdiction; or 23 (c) an offence against a law of a foreign country that would be an 24 indictable offence against a law of the Commonwealth, or an Act 25 if committed in this jurisdiction, whether or not the offence could 26 be dealt with summarily if committed in this jurisdiction. 27 15 Meaning of "conviction" and "quashing a conviction" 28 (1) A "conviction", for an offence, includes either of the following 29 whether or not a conviction is recorded on sentence-- 30 (a) a finding of guilt; 31 (b) the acceptance of a guilty plea. 32

s 16 41 s 16 Legal Profession Bill 2004 (2) Without limiting subsection (1), "quashing a conviction", for an 1 offence-- 2 (a) includes quashing-- 3 (i) a finding of guilt for the offence; or 4 (ii) the acceptance of a guilty plea for the offence; and 5 (b) does not include quashing a conviction if-- 6 (i) a finding of guilt in relation to the offence remains 7 unaffected; or 8 (ii) the acceptance of a guilty plea in relation to the offence 9 remains unaffected. 10 (3) A conviction includes a conviction before the commencement of this 11 section. 12 13 Note-- 14 See also the Criminal Law (Rehabilitation of Offenders) Act 1986, section 9A, table, 15 items 24 and 25. 16 Meaning of "information notice" 16 (1) An "information notice" is a written notice to a person about a 17 decision relating to the person stating-- 18 (a) the decision; and 19 (b) the reasons for the decision; and 20 (c) whether or not the person may appeal under this Act against the 21 decision to a stated court or entity; and 22 (d) if the person may appeal under this Act, the day by which the 23 appeal must be started. 24 (2) A provision under this Act may provide that an information notice for 25 the purposes of the provision must include other stated information. 26 (3) If a person may appeal within a number of days after the day an 27 information notice is given to the person, a defect in the notice does not 28 affect the person's right to appeal in relation to the matters dealt with in the 29 information notice. 30

s 17 42 s 20 Legal Profession Bill 2004 Division 4--Other matters relating to interpretation 1 17 Notes in text 2 A note in the text of this Act is part of this Act. 3 18 Timing for doing things 4 If no time is provided or allowed for doing something under this Act, the 5 thing is to be done as soon as practicable, and as often as is required. 6 19 Appeal period for appeal to Supreme Court or tribunal 7 If a provision of this Act provides that a person has a stated number of 8 days to appeal to the Supreme Court or the tribunal (the "appeal period"), 9 the court or tribunal may allow a person who may appeal within the appeal 10 period to appeal after that appeal period if the court or tribunal considers it 11 appropriate having regard to the extent of, and reasons for, the delay. 12 20 Grounds that are reasonable in the circumstances 13 (1) If a person is required, under this Act, to be satisfied or not satisfied 14 of, or have a belief or suspicion about, a particular matter before the person 15 may do or refrain from doing an act, or make a decision, the person must be 16 satisfied or not satisfied or have the belief or suspicion on grounds that are 17 reasonable in the circumstances. 18 (2) If, under this Act, a person who is satisfied or not satisfied of, or has a 19 belief or suspicion about, a particular matter is required to do or refrain 20 from doing an act, or make a decision, the person must be satisfied or not 21 satisfied, or have the belief or suspicion, on grounds that are reasonable in 22 the circumstances. 23 (3) If an entity is required under this Act to consider that a particular 24 matter is appropriate, including, for example, the following entities, before 25 the entity may do or refrain from doing an act or make a decision, the entity 26 must not do or refrain from doing the act, or make the decision, unless the 27 entity considers the particular matter is appropriate on grounds that are 28 reasonable in the circumstances-- 29 (a) a disciplinary body; 30 (b) the board; 31

s 21 43 s 22 Legal Profession Bill 2004 (c) a regulatory authority; 1 (d) the commissioner; 2 (e) an investigator. 3 Division 5--Other relevant matter 4 21 Contravention of provision that is capable of constituting 5 unsatisfactory professional conduct or professional misconduct 6 (1) This section applies if a provision states that a contravention of 7 another provision is capable of constituting unsatisfactory professional 8 conduct or professional misconduct and a penalty is provided for a 9 contravention of that other provision (the "offence provision"). 10 (2) A person may be punished for an offence under the offence provision 11 as well as being dealt with under chapter 33 in relation to the same matter. 12 CHAPTER 2--ENGAGING IN LEGAL PRACTICE 13 OTHER THAN BY AUSTRALIAN-REGISTERED 14 FOREIGN LAWYERS 15 PART 1--PRELIMINARY 16 22 Simplified outline of ch 2 17 Generally, this chapter seeks to achieve the main purposes of this Act by 18 providing that-- 19 (a) legal practice is engaged in only by persons who are properly 20 qualified and hold a current practising certificate; and 21 (b) only persons who are eligible and suitable for admission are 22 admitted under this Act as legal practitioners; and 23 3 Chapter 3 (Complaints, investigation matters and discipline)

s 23 44 s 23 Legal Profession Bill 2004 (c) an Australian lawyer may obtain a local practising certificate 1 from the law society or bar association and become a local legal 2 practitioner; and 3 (d) a corporation may engage in legal practice as an incorporated 4 legal practice while it has a legal practitioner director; and 5 (e) a partnership consisting of at least 1 partner who is not an 6 Australian legal practitioner may engage in providing legal 7 services in this jurisdiction if there is at least 1 legal practitioner 8 partner; and 9 (f) a fund is established and maintained to provide a source of 10 compensation for defaults of law practices; and 11 (g) accounts are to be kept by solicitors and interest payable on those 12 accounts is to be treated in a particular way; and 13 (h) rules about engaging in legal practice are to be made by the 14 Governor in Council after a process involving the law society or 15 bar association; and 16 (i) the regulation of legal practice on a national basis is promoted by 17 providing for inter-jurisdictional provisions regarding admission 18 and practising certificates. 19 PART 2--RESERVATION OF LEGAL WORK AND 20 RELATED MATTERS 21 23 Part does not apply to a person if authorised under a 22 Commonwealth law or a government legal officer 23 (1) This part does not apply to-- 24 (a) a person authorised to engage in legal practice under a law of the 25 Commonwealth; or 26 (b) a government legal officer engaged in government work. 27 (2) However, subsection (1) does not prevent this part applying to a 28 person only because the person has been enrolled as a barrister or solicitor, 29 as a barrister and solicitor or as a legal practitioner, of the High Court of 30 Australia. 31

s 24 45 s 24 Legal Profession Bill 2004 24 Prohibition on engaging in legal practice when not entitled 1 (1) A person must not engage in legal practice in this jurisdiction unless 2 the person is an Australian legal practitioner. 3 Maximum penalty--300 penalty units or 2 years imprisonment. 4 (2) Subsection (1) does not apply to any of the following-- 5 (a) a person who engages in legal practice, or in activities that 6 constitute legal practice in this jurisdiction, under a law of this 7 jurisdiction; 8 (b) an incorporated legal practice engaged in legal practice as 9 authorised under part 5;4 10 (c) an Australian-registered foreign lawyer engaged in the practice 11 of foreign law as authorised under chapter 5;5 12 (d) a person preparing or assisting in the preparation of a will if it is 13 prepared in the course of the person's employment with a trustee 14 company; 15 (e) a person preparing or assisting in the preparation of a contract if 16 it is prepared by a real estate agent for another person; 17 (f) a person engaged in activities that the person is authorised under 18 a regulation for this section to engage in. 19 (3) A person is not entitled to recover any amount for anything the 20 person did in contravention of subsection (1). 21 (4) A person may recover from someone else (the "other person"), as a 22 debt due to the person, any amount the person paid to the other person for 23 anything the other person did in contravention of subsection (1). 24 (5) This section is subject to chapter 2, part 4, division 9.6 25 (6) In this section-- 26 "real estate agent" see the Property Agents and Motor Dealers Act 2000, 27 schedule 2. 28 "trustee company" see the Trustee Companies Act 1968, section 4. 29 4 Part 5 (Legal practice by incorporated legal practices) 5 Chapter 5 (Practice of foreign law by foreign lawyers) 6 Chapter 2 (Engaging in legal practice other than by Australian-registered foreign lawyers), part 4 (Legal practice by Australian legal practitioners), division 9 (Interstate legal practitioners)

s 25 46 s 26 Legal Profession Bill 2004 25 Prohibition on representing or advertising entitlement to engage 1 in legal practice when not entitled 2 (1) A person must not, without a reasonable excuse, represent or 3 advertise that the person is entitled to engage in legal practice unless the 4 person is an Australian legal practitioner. 5 Maximum penalty--300 penalty units or 2 years imprisonment. 6 (2) A director, officer, employee or agent of a body corporate that is not a 7 corporation must not, without a reasonable excuse, represent or advertise 8 that the body corporate is entitled to engage in legal practice. 9 Maximum penalty--300 penalty units or 2 years imprisonment. 10 (3) Subsections (1) and (2) do not apply to a representation or 11 advertisement about a person being entitled to engage in legal practice as 12 mentioned in section 24(2). 13 (4) A reference in this section to representing or advertising that the 14 person is entitled to engage in legal practice includes doing anything that 15 states or implies that the person is entitled to engage in legal practice. 16 (5) This section is subject to chapter 2, part 4, division 9.7 17 26 Part does not affect liability of particular Australian lawyers 18 under ch 3 19 This part does not affect any liability that a person who is an Australian 20 lawyer but not an Australian legal practitioner may have under chapter 3.8 21 7 Chapter 2 (Engaging in legal practice other than by Australian-registered foreign lawyers), part 4 (Legal practice by Australian legal practitioners), division 9 (Interstate legal practitioners) 8 Chapter 3 (Complaints, investigation matters and discipline)

s 27 47 s 29 Legal Profession Bill 2004 PART 3--ADMISSION OF LEGAL PRACTITIONERS 1 Division 1--Preliminary 2 27 Main purpose of ch 2, pt 3 3 The main purpose of this part is to provide for persons who are eligible 4 and suitable for admission to be admitted under this Act as legal 5 practitioners. 6 28 Definitions for ch 2, pt 3 7 In this part-- 8 "admission rules" means the rules under the Supreme Court of 9 Queensland Act 1991, section 118,9 for admission under this Act of 10 legal practitioners and for associated matters. 11 "applicant for admission" means a person who has applied for admission 12 under this Act as a legal practitioner. 13 "Supreme Court", in relation to an exercise of power of the court, 14 means-- 15 (a) if the admission rules provide that the power may be exercised by 16 a single Supreme Court judge--a single Supreme Court judge; or 17 (b) otherwise--the Court of Appeal. 18 Division 2--Eligibility and suitability for admission as legal practitioners 19 29 Eligibility for admission under this Act as a legal practitioner 20 (1) A person is eligible for admission under this Act as a legal 21 practitioner only if the person-- 22 (a) is a natural person aged 18 years or more; and 23 (b) has attained approved academic qualifications or corresponding 24 academic qualifications; and 25 9 Supreme Court of Queensland Act 1991, section 118 (Rule-making power)

s 30 48 s 30 Legal Profession Bill 2004 (c) has satisfactorily completed approved practical legal training 1 requirements or corresponding practical legal training 2 requirements. 3 4 Note-- 5 See also schedule 3 for persons who may be eligible for admission under this Act as 6 legal practitioners. (2) In this section-- 7 "approved academic qualifications" means academic qualifications that 8 are approved under the admission rules for admission under this Act 9 as a legal practitioner. 10 "approved practical legal training requirements" means legal training 11 requirements that are approved under the admission rules for 12 admission under this Act as a legal practitioner. 13 "corresponding academic qualifications" means academic qualifications 14 that would qualify the person for admission to the legal profession in 15 another jurisdiction if the board is satisfied that substantially the same 16 minimum criteria apply for the approval of academic qualifications for 17 admission in the other jurisdiction as apply in this jurisdiction. 18 "corresponding practical legal training requirements" means legal 19 training requirements that would qualify the person for admission to 20 the legal profession in another jurisdiction if the board is satisfied that 21 substantially the same minimum criteria apply for the approval of 22 legal training requirements for admission in the other jurisdiction as 23 apply in this jurisdiction. 24 25 Note-- 26 The board is the Legal Practitioners Admissions Board established under 27 section 489.10 30 Suitability for admission under this Act as a legal practitioner 28 (1) A person is suitable for admission under this Act as a legal 29 practitioner only if the person is a fit and proper person. 30 (2) In deciding if the person is a fit and proper person, the Supreme 31 Court must consider-- 32 10 Section 489 (Establishment of board)

s 31 49 s 33 Legal Profession Bill 2004 (a) each of the suitability matters in relation to the person to the 1 extent a suitability matter is appropriate; and 2 (b) other matters that the court considers relevant. 3 (3) However, the Supreme Court may consider a person suitable for 4 admission under this Act as a legal practitioner despite a suitability matter 5 because of the circumstances relating to the matter. 6 Division 3--Application for admission 7 31 Main purposes of ch 2, pt 3, div 3 8 The main purposes of this division are-- 9 (a) to allow a person who considers himself or herself eligible for 10 admission and suitable for admission to apply to the Supreme 11 Court for admission under this Act as a legal practitioner; and 12 (b) to provide for the board's role in relation to an application for 13 admission under this Act as a legal practitioner. 14 32 Application for admission under this Act as a legal practitioner 15 (1) A person may apply (an "application for admission") to the 16 Supreme Court to be admitted under this Act as a legal practitioner. 17 (2) The application must be made in the approved form and under the 18 admission rules. 19 33 Role of the board relating to application for admission 20 (1) The board's role is to help the Supreme Court by making a 21 recommendation about each application for admission. 22 (2) The board must consider each application and, in particular, whether 23 or not-- 24 (a) the application is made under the admission rules; and 25 (b) the applicant is eligible for admission under this Act as a legal 26 practitioner; and 27

s 34 50 s 34 Legal Profession Bill 2004 (c) the applicant is suitable for admission under this Act as a legal 1 practitioner, including having regard to all suitability matters in 2 relation to the applicant to the extent appropriate; and 3 (d) there are other matters the Supreme Court may consider relevant. 4 (3) As part of considering the application, the board may, by notice to the 5 applicant, require-- 6 (a) the applicant to give it stated documents or information; or 7 (b) the applicant to cooperate with any inquiries by the board that it 8 considers appropriate. 9 (4) An applicant's failure to comply with a notice under subsection (3) 10 by the date stated in, and in the way required by, the notice is a ground for 11 recommending to the Supreme Court that the applicant not be admitted 12 under this Act as a legal practitioner. 13 (5) The board makes a recommendation to the Supreme Court about the 14 application by giving the recommendation to the Brisbane registrar and a 15 copy of it to the applicant. 16 (6) However, if the board considers it appropriate to apply to the 17 Supreme Court for a direction about a matter concerning an application, the 18 board may do so. 19 34 Role of Supreme Court relating to application for admission 20 (1) The Supreme Court must hear and decide each application for 21 admission in the way the court considers appropriate. 22 (2) Without limiting subsection (1), the court may-- 23 (a) if satisfied the applicant for admission is eligible and suitable for 24 admission under this Act as a legal practitioner--make an order 25 admitting the applicant as a legal practitioner; or 26 (b) otherwise--refuse the application. 27 (3) The court's order as mentioned in subsection (2)(a) may be made 28 unconditionally or on conditions the court considers appropriate. 29 (4) In deciding the application, the Supreme Court may rely on a 30 recommendation of the board under section 33. 31 (5) Also, the Supreme Court may hear and decide an application for a 32 direction as mentioned in section 33(6) and give a direction to the board as 33 the court considers appropriate. 34

s 35 51 s 36 Legal Profession Bill 2004 Division 4--Early consideration of suitability 1 35 Main purpose of ch 2, pt 3, div 4 2 The main purpose of this division is to allow a person, including 3 someone undertaking a course of legal studies, to apply for a declaration by 4 the board, or a direction of the Supreme Court, about whether a matter 5 relating to the person, including a suitability matter, may affect a current or 6 future application for admission. 7 36 Early consideration of suitability 8 (1) This section applies if a person considers a matter may adversely 9 affect an assessment of the person's suitability for admission under this Act 10 as a legal practitioner, including, for example, a suitability matter. 11 (2) The person may apply, in the approved form, to the board for a 12 declaration that the matter will not, without more, adversely affect the 13 board's assessment of the person's suitability for admission under this Act 14 as a legal practitioner. 15 (3) The board must consider the application and do 1 of the following-- 16 (a) make the declaration; 17 (b) refer the application to the Supreme Court for a direction if the 18 board considers a direction would be appropriate; 19 (c) refuse to make the declaration. 20 (4) A declaration made under subsection (3)(a), or under a direction 21 mentioned in subsection (3)(b), is binding on the board unless the applicant 22 failed to make a full and fair disclosure of all matters relevant to the 23 declaration sought. 24 (5) If the board decides to refuse to make the declaration sought-- 25 (a) the board must give the applicant an information notice about the 26 refusal; and 27 (b) the applicant may appeal to the Supreme Court against the 28 refusal within 28 days after the day the information notice is 29 given to the applicant. 30

s 37 52 s 39 Legal Profession Bill 2004 37 Involvement of Supreme Court whether by referral or on appeal 1 (1) If an application under section 36(2) is referred to the Supreme Court 2 as mentioned in section 36(3)(b), the court may give a direction to the 3 board as the court considers appropriate. 4 (2) If the applicant appeals to the Supreme Court against the decision of 5 the board to refuse to make the declaration, the appeal is to be by way of 6 rehearing, and fresh evidence or evidence in addition to or in substitution 7 for the evidence before the board may be given on the appeal. 8 (3) On an appeal under this section, the Supreme Court may make an 9 order as it considers appropriate. 10 Division 5--Roll of legal practitioners 11 38 Roll of legal practitioners 12 (1) The Supreme Court must keep a roll of legal practitioners (the "local 13 roll"). 14 (2) The local roll must include the roll of barristers, and the roll of 15 solicitors, as kept by the Supreme Court and as in existence immediately 16 before the commencement of this section. 17 (3) After the Supreme Court makes an order admitting a person as a legal 18 practitioner-- 19 (a) the registrar for the Supreme Court district at which the Supreme 20 Court is sitting must, under the admission rules, enter the 21 person's name on the local roll; and 22 (b) the person must sign the local roll. 23 (4) The person's admission under this Act as a legal practitioner takes 24 effect when the person signs the local roll. 25 39 Local legal practitioner is officer of Supreme Court 26 (1) A person becomes an officer of the Supreme Court on being admitted 27 under this Act as a legal practitioner. 28 (2) A person who immediately before the commencement of this section 29 was an officer of the Supreme Court, because of the person's admission as 30 a barrister or solicitor, continues to be an officer of that court. 31

s 40 53 s 43 Legal Profession Bill 2004 Division 6--Miscellaneous 1 40 Conditional admission 2 (1) This section applies to a person admitted under this Act as a legal 3 practitioner if-- 4 (a) the person's admission was subject to a condition, whether or not 5 the condition has been amended since it was imposed; and 6 (b) the condition as imposed or amended has not lapsed or been 7 revoked. 8 (2) The Supreme Court may do any of the following in relation to the 9 condition-- 10 (a) revoke or vary the condition on which the person was admitted 11 under this Act as a legal practitioner, whether on application of 12 the person or on the court's own initiative; 13 (b) order the removal of the person's name from the local roll for 14 contravening the condition. 15 (3) Without limiting subsection (2)(b), a contravention of a condition is 16 capable of constituting unsatisfactory professional conduct or professional 17 misconduct. 18 41 Board may appear before Supreme Court 19 The board, by a member of the board or by an Australian legal 20 practitioner acting for the board, is entitled to appear before and be heard 21 by the Supreme Court at a hearing about any application made under this 22 part. 23 42 Fees payable 24 The board must charge the fee prescribed under a regulation for matters 25 under this part or for matters dealt with in the admission rules. 26 43 Provision regarding admission rules 27 The admission rules must not require a person to satisfactorily complete, 28 before admission under this Act as a legal practitioner, a period of 29

s 44 54 s 46 Legal Profession Bill 2004 supervised training that is more than a period or periods equivalent to 1 1 full-time year, as decided under the admission rules. 2 PART 4--LEGAL PRACTICE BY AUSTRALIAN LEGAL 3 PRACTITIONERS 4 Division 1--Preliminary 5 44 Main purposes of ch 2, pt 4 6 The main purposes of this part are as follows-- 7 (a) to provide a system for the law society to grant or renew a local 8 practising certificate to a person who practises or intends to 9 practise as a solicitor; 10 (b) to provide a system for the bar association to grant or renew a 11 local practising certificate to a person who practises or intends to 12 practise only as a barrister; 13 (c) to facilitate the national practice of law by allowing an interstate 14 legal practitioner to engage in legal practice in this jurisdiction or 15 an interstate lawyer to obtain a local practising certificate. 16 45 Meaning of "relevant regulatory authority" 17 A "relevant regulatory authority" is-- 18 (a) if the person in relation to whom the expression is used practises, 19 or intends to practise, only as a barrister--the bar association; or 20 (b) otherwise--the law society. 21 46 How suitability relating to holding local practising certificate is to 22 be decided 23 (1) Suitability in relation to holding or continuing to hold a local 24 practising certificate is to be decided by reference to whether the applicant 25 or certificate holder is a fit and proper person to hold the certificate. 26

s 46 55 s 46 Legal Profession Bill 2004 (2) A regulatory authority of this jurisdiction, in considering whether a 1 person is, or is no longer, a fit and proper person to hold a local practising 2 certificate, may take into account any suitability matter relating to the 3 person and any of the following whether happening before or after the 4 commencement of this section-- 5 (a) whether the person obtained an Australian practising certificate 6 because of incorrect or misleading information; 7 (b) whether the person has contravened a condition of an Australian 8 practising certificate held by the person; 9 (c) whether the person has contravened a relevant law or a 10 corresponding law; 11 (d) whether the person has contravened-- 12 (i) an order of a disciplinary body or the Supreme Court; or 13 (ii) an order of a corresponding disciplinary body, or of a court 14 or tribunal of another jurisdiction exercising jurisdiction or 15 powers by way of appeal or review of an order of a 16 corresponding disciplinary body; 17 (e) whether the person has failed to pay an amount for which the 18 person is or was liable under a relevant law, including, for 19 example, an amount payable to the fidelity fund under a relevant 20 law; 21 (f) whether, without limiting paragraph (e), the person has 22 contravened a provision of a relevant law about professional 23 indemnity insurance; 24 (g) other matters the authority considers are appropriate to take into 25 account because of the public interest in the integrity of the legal 26 profession. 27 (3) Even though the regulatory authority considers a matter mentioned in 28 subsection (2) in relation to a person, the authority may consider the person 29 is suitable to hold a local practising certificate after considering the 30 circumstances of the matter mentioned in that subsection. 31 (4) A regulatory authority can not take into account, as a ground for 32 refusing to grant or renew, or for cancelling, a local practising certificate, a 33 matter if the matter was-- 34 (a) disclosed in an application for admission to the legal profession 35 in another jurisdiction; and 36

s 47 56 s 48 Legal Profession Bill 2004 (b) a Supreme Court or a corresponding authority of another 1 jurisdiction decided the matter was not sufficient to refuse an 2 application for admission to the legal profession. 3 (5) However, subsection (4) does not prevent the regulatory authority 4 taking account of the matter as relevant when considering other matters in 5 relation to the person. 6 Division 2--Legal practice in this jurisdiction 7 47 Entitlement to practise in this jurisdiction 8 (1) Subject to this Act, an Australian legal practitioner is entitled to 9 engage in legal practice in this jurisdiction. 10 (2) Also, a government legal officer engaged in government work is 11 entitled to engage in legal practice in this jurisdiction as a government legal 12 officer even though the government legal officer is not an Australian legal 13 practitioner. 14 (3) Subsection (2) does not prevent a government legal officer from 15 being the holder of a local practising certificate. 16 Division 3--Matters relating to applications for grant or renewal of local 17 practising certificates 18 48 Application for grant or renewal of local practising certificate 19 (1) An Australian lawyer may apply to a regulatory authority for the 20 grant or renewal of a local practising certificate if eligible to do so. 21 (2) An Australian lawyer is eligible to apply for the grant or renewal of a 22 local practising certificate if the lawyer complies with any regulation 23 relating to eligibility for the practising certificate and-- 24 (a) for an Australian lawyer who is not an Australian legal 25 practitioner at the time of making the application-- 26 (i) the lawyer's place of residence in Australia is this 27 jurisdiction; or 28 (ii) the lawyer reasonably expects to be engaged in legal 29 practice principally from this jurisdiction during the 30 currency of the certificate applied for; or 31

s 48 57 s 48 Legal Profession Bill 2004 (iii) the lawyer does not have a place of residence in Australia; 1 or 2 (b) for an Australian lawyer who is an Australian legal practitioner at 3 the time of making the application-- 4 (i) the jurisdiction in which the lawyer engages in legal 5 practice principally is this jurisdiction; or 6 (ii) the lawyer holds a current local practising certificate and 7 engages in legal practice principally in another jurisdiction 8 under an arrangement that is of a temporary nature; or 9 (iii) the lawyer reasonably expects to be engaged in legal 10 practice principally in this jurisdiction during the currency 11 of the certificate applied for; or 12 (iv) the lawyer's place of residence in Australia is this 13 jurisdiction; or 14 (v) the lawyer does not have a place of residence in Australia. 15 (3) For subsection (2)(b), the jurisdiction in which an Australian lawyer 16 engages in legal practice principally is to be decided by reference to the 17 lawyer's legal practice during the certificate period current at the time-- 18 (a) the application is made; or 19 (b) in the case of a late application--the application should have 20 been made. 21 (4) An Australian lawyer must not apply for the grant or renewal of a 22 local practising certificate if the lawyer is not eligible to make the 23 application. 24 (5) An Australian legal practitioner who engages in legal practice 25 principally in this jurisdiction during a financial year and intends to engage 26 in legal practice in the following financial year must apply for the grant or 27 renewal of a local practising certificate for the following financial year. 28 (6) Subsection (5) does not apply to an interstate legal practitioner who 29 applied for the grant or renewal of an interstate practising certificate on the 30 basis that-- 31 (a) the practitioner reasonably expected to engage in legal practice 32 principally in this jurisdiction under an arrangement that is of a 33 temporary nature; or 34

s 49 58 s 49 Legal Profession Bill 2004 (b) the practitioner reasonably expected to engage in legal practice 1 principally in another jurisdiction during the currency of the 2 interstate practising certificate. 3 (7) Also, subsection (5) does not apply to a local legal practitioner who 4 applied for the grant of an interstate practising certificate on the basis that 5 the practitioner reasonably expected to engage in legal practice principally 6 in the other jurisdiction during the currency of the interstate practising 7 certificate. 8 (8) The exemption under subsection (6)(a) stops operating at the end of 9 the period prescribed under a regulation for this subsection. 10 (9) A contravention of this section is capable of constituting 11 unsatisfactory professional conduct or professional misconduct. 12 49 Manner of application 13 (1) An application for the grant or renewal of a local practising certificate 14 must be-- 15 (a) made in the approved form of the relevant regulatory authority; 16 and 17 (b) made in the way provided for under an administration rule of the 18 relevant regulatory authority; and 19 (c) for an application for renewal--made within the period stated in 20 an administration rule of the relevant regulatory authority. 21 (2) An approved form for an application for the grant or renewal of a 22 local practising certificate-- 23 (a) may require information about the applicant's eligibility under 24 section 48 and suitability matters in relation to the applicant; and 25 (b) if the form requires information about suitability matters--must 26 direct the attention of the applicant to section 62(3)11 in relation 27 to information that need not be disclosed. 28 11 Section 62 (Application for local practising certificate if show cause event happened after first admission)

s 50 59 s 50 Legal Profession Bill 2004 50 Professional indemnity insurance 1 (1) This section applies to each of the following persons who makes an 2 application for the grant or renewal of a local practising certificate-- 3 (a) an Australian lawyer who is a government legal officer who, in 4 the lawyer's application for the grant or renewal of the certificate, 5 stated the lawyer did not intend to engage in legal practice other 6 than engaging in government work; 7 (b) an Australian lawyer who is employed by a corporation, that is 8 not an incorporated legal practice, and who provides only 9 in-house legal services to the corporation; 10 (c) another Australian lawyer other than an Australian lawyer 11 mentioned in paragraph (a) or (b). 12 (2) A relevant regulatory authority must not grant or renew a local 13 practising certificate unless the authority-- 14 (a) for an application by an Australian lawyer mentioned in 15 subsection (1)(a)--imposes a condition on the certificate that the 16 lawyer is not to engage in legal practice other than as a 17 government legal officer engaged in government work; or 18 (b) for an application by an Australian lawyer mentioned in 19 subsection (1)(b)--imposes a condition on the certificate that the 20 lawyer is not to engage in legal practice other than for providing 21 in-house legal services; or 22 (c) for an application by an Australian lawyer mentioned in 23 subsection (1)(c)--is satisfied the lawyer will, during the 24 currency of the practising certificate, be covered by professional 25 indemnity insurance that complies with this Act. 26 (3) Professional indemnity insurance complies with this Act in relation 27 to a practising certificate if it complies with the requirements prescribed 28 under a regulation. 29 (4) A regulation may, for example, require professional indemnity 30 insurance in relation to a practising certificate to be of a kind approved, or 31 provided under a scheme approved, or provided by an insurer approved, or 32 arranged, by the relevant regulatory authority for the practising certificate. 33 (5) An approval mentioned in subsection (4) may relate to professional 34 indemnity insurance approved under a corresponding law. 35

s 51 60 s 52 Legal Profession Bill 2004 51 Continuing obligation for professional indemnity insurance 1 (1) A local legal practitioner must not engage in legal practice in this 2 jurisdiction, or represent or advertise that the practitioner is entitled to 3 engage in legal practice in this jurisdiction, unless-- 4 (a) if conditions are imposed under section 50 on the practitioner's 5 practising certificate--the practitioner complies with the 6 conditions; and 7 (b) if the practitioner must, under that section, have professional 8 indemnity insurance--the practitioner complies with the 9 requirements prescribed under a regulation mentioned in 10 section 50(3) for professional indemnity insurance. 11 Maximum penalty--300 penalty units or 2 years imprisonment. 12 (2) If a person must, under section 50, have professional indemnity 13 insurance and the person becomes aware that the person will not be 14 covered by professional indemnity insurance that complies with the 15 requirements prescribed under a regulation mentioned in section 50(3), the 16 person must notify the regulatory authority of that fact, in the approved 17 form. 18 (3) A contravention of subsection (1) or (2) is capable of constituting 19 unsatisfactory professional conduct or professional misconduct. 20 Division 4--Grant or renewal of local practising certificates 21 52 Grant or renewal of local practising certificate 22 (1) A regulatory authority must consider an application that has been 23 made to it for the grant or renewal of a local practising certificate and 24 may-- 25 (a) grant or refuse to grant the certificate; or 26 (b) renew or refuse to renew the certificate. 27 (2) The regulatory authority may refuse to consider the application, or 28 refuse to grant or renew a local practising certificate, for 1 or more of the 29 following reasons-- 30 (a) the application is not made under this Act; 31 (b) the application is not made in the way required by an 32 administration rule of the authority relating to the application; 33

s 53 61 s 53 Legal Profession Bill 2004 (c) the application is not accompanied by the fee set by the authority 1 in an administration rule of the authority about fees for services. 2 (3) The authority must not grant or renew a local practising certificate if 3 the authority considers-- 4 (a) the applicant was not eligible to apply for the grant or renewal of 5 the certificate when the application was made; or 6 (b) the applicant's circumstances have changed since the application 7 was made and, having regard to information that has come to the 8 authority's attention, the applicant would not have been eligible 9 to make the application had the information been known when 10 the application was made; or 11 (c) the applicant is not suitable to hold the certificate.12 12 (4) If the authority grants or renews a local practising certificate, the 13 authority must give the applicant-- 14 (a) for the grant of a certificate--a local practising certificate; or 15 (b) for the renewal of a certificate--a new local practising certificate. 16 (5) If the authority refuses to grant or renew a local practising 17 certificate-- 18 (a) the authority must give the applicant an information notice about 19 the decision to refuse the application; and 20 (b) the applicant may appeal to the Supreme Court against the 21 refusal within 28 days after the day the information notice is 22 given to the applicant. 23 53 Conditions imposed by law society or bar association 24 (1) At the time a regulatory authority grants a local practising certificate, 25 the authority may impose any reasonable and relevant condition on the 26 practising certificate. 27 (2) Without limiting subsection (1), the condition may be about any of 28 the following-- 29 (a) limiting the certificate holder to supervised legal practice in the 30 way stated in the condition; 31 12 See section 46 (How suitability relating to holding a local practising certificate is to be decided).

s 54 62 s 54 Legal Profession Bill 2004 (b) controlling or otherwise regulating the operation of a trust 1 account; 2 (c) restricting the certificate holder to particular conditions 3 concerning employment or supervision; 4 (d) a matter agreed to by the certificate holder. 5 (3) Also, the condition may require the certificate holder to undertake 6 and complete education or an academic training course only if-- 7 (a) the regulatory authority, having regard to the certificate holder's 8 previous academic studies, legal training, experience or conduct, 9 considers that clients of the certificate holder may be at risk of 10 harm if the condition is not imposed; or 11 (b) the condition is 1 that is imposed generally on all certificate 12 holders or classes of certificate holders. 13 54 Applications relating to conditions 14 (1) This section applies if a regulatory authority imposes a condition on a 15 practising certificate, other than a condition applying in relation to a 16 practising certificate under an administration rule of the authority. 17 (2) If the applicant did not apply for a practising certificate subject to the 18 condition-- 19 (a) the regulatory authority must give the applicant an information 20 notice about the decision to impose the condition; and 21 (b) the applicant may appeal to the Supreme Court against the 22 imposition within 28 days after the day the information notice is 23 given to the applicant. 24 (3) The regulatory authority may revoke a condition imposed under this 25 section on application of the certificate holder in the approved form, or on 26 its own initiative, by giving written notice about the revocation to the 27 certificate holder. 28 (4) If a certificate holder applies for the revocation of a condition and the 29 relevant regulatory authority refuses to grant the application-- 30 (a) the authority must give the applicant an information notice about 31 the decision refusing the application; and 32

s 55 63 s 57 Legal Profession Bill 2004 (b) the applicant may appeal to the Supreme Court against the 1 imposition of the condition within 28 days after the day the 2 information notice is given to the applicant. 3 55 Duration of local practising certificates 4 (1) A local practising certificate granted under this Act is in force from 5 the date stated in it until the end of the financial year in which it is granted, 6 unless the certificate is sooner cancelled or suspended. 7 (2) A local practising certificate renewed under this Act is in force until 8 the end of the financial year following its previous period of currency, 9 unless the certificate is sooner cancelled or suspended. 10 (3) If a local legal practitioner applies for the renewal of a local 11 practising certificate before the time stated in the regulatory authority's 12 administration rule for applying for a renewal and the authority has not 13 decided the application by the following 1 July, the certificate-- 14 (a) continues in force on and after that 1 July until 1 of the following 15 happens-- 16 (i) the authority renews or refuses to renew the certificate; 17 (ii) the local legal practitioner withdraws the application for 18 renewal; 19 (iii) the certificate is cancelled or suspended; and 20 (b) if renewed, is taken to have been renewed on that 1 July. 21 56 Local legal practitioner is officer of Supreme Court 22 A person who is not already an officer of the Supreme Court becomes an 23 officer of the court on being granted a local practising certificate. 24 Division 5--Conditions applying to local practising certificates 25 57 Conditions generally 26 A local practising certificate is subject to the following-- 27

s 58 64 s 59 Legal Profession Bill 2004 (a) a condition imposed by the relevant regulatory authority under 1 division 413 at the time the certificate is granted unless the 2 condition is revoked at a later time; 3 (b) a statutory condition as mentioned in section 58 or 59; 4 (c) a condition imposed under division 6 or 7;14 5 (d) a condition imposed under chapter 315 or under a corresponding 6 law; 7 (e) a condition imposed under a regulation, a legal profession rule or 8 an administration rule. 9 10 Note-- 11 See section 603 about action taken by the solicitor's complaints tribunal that continues 12 to have effect after the commencement of that section. 58 Statutory condition regarding notification of offence 13 (1) It is a statutory condition of a local practising certificate that the 14 certificate holder must give notice in the approved form to the relevant 15 regulatory authority if the certificate holder is convicted of an offence that 16 would have to be disclosed under the admission rules for an application for 17 admission. 18 (2) The notice must be given to the regulatory authority within 7 days 19 after the conviction. 20 (3) The regulatory authority's administration rules may specify the 21 person to whom, or the address to which, the notice is to be given or sent. 22 (4) This section does not apply to a show cause event to which 23 division 616 applies. 24 59 Statutory condition regarding legal practice as solicitor 25 (1) Each local practising certificate granted or renewed by the law 26 society must state whether the certificate holder-- 27 13 Division 4 (Grant or renewal of local practising certificates) 14 Division 6 (Special powers relating to local practising certificates) or 7 (Amendment, cancellation or suspension of local practising certificates) 15 Chapter 3 (Complaints, investigation matters and discipline) 16 Division 6 (Special powers relating to local practising certificates)

s 60 65 s 60 Legal Profession Bill 2004 (a) may only engage in supervised legal practice; or 1 (b) may engage in unsupervised legal practice. 2 (2) An administration rule of the law society may provide for the 3 requirements for a person to be eligible for a practising certificate that 4 states that the certificate holder may engage in unsupervised legal practice. 5 (3) However, the administration rule must not state that a person is 6 eligible for a practising certificate providing for unsupervised legal practice 7 unless-- 8 (a) if the person completed supervised legal training to qualify--the 9 person has undertaken a period or periods equivalent to 10 18 months supervised legal practice, worked out under a 11 regulation, after the date the practitioner's first practising 12 certificate was granted; or 13 (b) if the person completed other practical legal training to 14 qualify--the practitioner has undertaken a period or periods 15 equivalent to 2 years supervised legal practice, worked out under 16 a regulation, after the date the practitioner's first practising 17 certificate was granted. 18 (4) In this section-- 19 "qualify" means qualify for admission under this Act as a legal 20 practitioner or admission to the legal profession in another 21 jurisdiction. 22 "supervised legal training" means practical legal training principally 23 under the supervision of an Australian lawyer, whether involving 24 articles of clerkship or otherwise. 25 60 Statutory condition regarding conditions imposed on interstate 26 admission 27 It is a statutory condition of a local practising certificate that the 28 certificate holder must not contravene the following-- 29 (a) a condition that was imposed on the holder's admission to the 30 legal profession under a corresponding law (an "imposed 31 condition") if the imposed condition is still in force; 32 (b) an imposed condition as amended from time to time. 33

s 61 66 s 62 Legal Profession Bill 2004 61 Compliance with conditions 1 (1) The holder of a current local practising certificate must not 2 contravene, in this jurisdiction or elsewhere, a condition to which the 3 certificate is subject. 4 5 Example-- 6 If a person engages in unsupervised legal practice and the relevant practising certificate 7 states the certificate holder may only engage in supervised legal practice, the person 8 contravenes a condition of the certificate. (2) A contravention of subsection (1) is capable of constituting 9 unsatisfactory professional conduct or professional misconduct. 10 Division 6--Special powers relating to local practising certificates 11 62 Application for local practising certificate if show cause event 12 happened after first admission 13 (1) This section applies if-- 14 (a) a person is applying for the grant of a local practising certificate 15 under this Act; and 16 (b) a show cause event in relation to the person happened, whether 17 before or after the commencement of this section, after the 18 person was first admitted under this Act as a legal practitioner or 19 to the legal profession in another jurisdiction, however the 20 admission was expressed at the time of that admission. 21 (2) As part of the application, the person must give to the relevant 22 regulatory authority a written statement-- 23 (a) about the show cause event; and 24 (b) explaining why, despite the event, the applicant is a suitable 25 person to hold a local practising certificate. 26 (3) However, a person need not give a statement under subsection (2) if 27 the person has previously given the regulatory authority a statement under 28 this section, or a notice and statement under section 63, for the event stating 29 why, despite the event, the person is, or continues to be, a suitable person to 30 hold a local practising certificate. 31 (4) The regulatory authority must give a copy of a statement under 32 subsection (2) to the commissioner. 33

s 63 67 s 64 Legal Profession Bill 2004 (5) A contravention of subsection (2) is capable of constituting 1 unsatisfactory professional conduct or professional misconduct. 2 63 Requirement if show cause event 3 (1) If a show cause event happens in relation to a local legal practitioner, 4 the practitioner must give to the relevant regulatory authority both of the 5 following-- 6 (a) within 7 days after the date of the event--notice, in the approved 7 form, that the event happened; 8 (b) within 28 days after the date of the event--a written statement 9 explaining why, despite the event, the practitioner continues to be 10 a suitable person to hold a local practising certificate. 11 (2) The regulatory authority must give a copy of the notice and the 12 statement under subsection (1) to the commissioner. 13 (3) A contravention of subsection (1) is capable of constituting 14 unsatisfactory professional conduct or professional misconduct. 15 (4) However, if a written statement is given after the 28 days mentioned 16 in subsection (1)(b), the regulatory authority may accept the statement and 17 take it into consideration. 18 64 Refusal, cancellation, suspension or amendment, of local 19 practising certificate because of failure to show cause 20 (1) The relevant regulatory authority may refuse to grant or renew, or 21 may cancel, suspend or amend, a local practising certificate if the applicant 22 or certificate holder-- 23 (a) is required by section 62 or 6317 to give a written statement 24 relating to a matter to the regulatory authority and the applicant 25 or certificate holder has not done so; or 26 (b) has given a written statement under section 62 or 63 but the 27 authority does not consider that the applicant or certificate holder 28 has shown in the statement that the person is a suitable person to 29 hold or to continue to hold a local practising certificate. 30 17 Section 62 (Application for local practising certificate if show cause event happened after first admission) or 63 (Requirement if show cause event)

s 65 68 s 65 Legal Profession Bill 2004 (2) For subsection (1)(b), a written statement accepted by the regulatory 1 authority as mentioned in section 63(4) is taken to be given under 2 section 63. 3 (3) If the regulatory authority decides to refuse to grant or renew, or to 4 cancel, suspend or amend, a local practising certificate-- 5 (a) the authority must give the applicant or certificate holder an 6 information notice about the decision; and 7 (b) the applicant or certificate holder may appeal to the Supreme 8 Court against the decision within 28 days after the day the 9 information notice is given to the applicant or certificate holder. 10 (4) Also, the regulatory authority must give a copy of the information 11 notice to the commissioner. 12 65 Restriction on making further application 13 (1) This section applies if a regulatory authority decides under section 64 14 to refuse to grant or renew a local practising certificate or to cancel a local 15 practising certificate. 16 (2) The authority may also decide that the applicant or certificate holder 17 is not entitled to apply for the grant of a local practising certificate for a 18 stated period of not more than 5 years. 19 (3) If the authority makes a decision under subsection (2), the authority 20 must include the decision in the information notice required under 21 section 64(3)(a) and the applicant or certificate holder may also appeal to 22 the Supreme Court against the decision within 28 days after the day the 23 information notice is given to the applicant or certificate holder. 24 (4) A person about whom a decision has been made under this section, or 25 under a provision of a corresponding law, is not entitled to apply for the 26 grant of a local practising certificate during the period stated in the 27 decision. 28

s 66 69 s 68 Legal Profession Bill 2004 Division 7--Amendment, cancellation or suspension of local practising 1 certificates 2 66 Application of ch 2, pt 4, div 7 3 This division does not apply to a show cause event in relation to which a 4 regulatory authority may exercise a power under division 6.18 5 67 Grounds for amending, cancelling or suspending a local 6 practising certificate 7 Each of the following is a ground for amending, cancelling or 8 suspending a local practising certificate-- 9 (a) the certificate holder is no longer a fit and proper person to hold 10 the certificate;19 11 (b) the certificate holder does not have, or no longer has, 12 professional indemnity insurance that complies with this Act in 13 relation to the relevant practising certificate; 14 (c) if a condition of the certificate is that the certificate holder is 15 limited to legal practice stated in the certificate--the certificate 16 holder is engaging in legal practice that the holder is not entitled 17 to engage in under this Act. 18 68 Amending, cancelling or suspending local practising certificate 19 (1) If the relevant regulatory authority believes a ground exists to amend, 20 cancel or suspend a person's local practising certificate (the "proposed 21 action"), the authority must give the person a notice (the "show cause 22 notice") that states-- 23 (a) the proposed action and-- 24 (i) if the proposed action is to amend the certificate in a 25 way--states the proposed amendment; and 26 (ii) if the proposed action is to suspend the certificate--states 27 the proposed period of suspension; and 28 18 Division 6 (Special powers relating to local practising certificates) 19 See section 46 (How suitability relating to holding a practising certificate is to be decided).

s 69 70 s 69 Legal Profession Bill 2004 (b) the grounds for proposing to take the proposed action; and 1 (c) an outline of the facts and circumstances that form the basis for 2 the authority's belief; and 3 (d) an invitation to the certificate holder to make written 4 representations to the authority, within a stated time of not less 5 than 28 days, why the proposed action should not be taken. 6 (2) If, after considering all written representations made within the stated 7 time or, in its discretion, after the stated time, the regulatory authority still 8 believes a ground exists to take the proposed action, the authority may-- 9 (a) if the show cause notice stated the proposed action was to amend 10 the practising certificate--amend the certificate in the way stated, 11 or in another way the authority is satisfied will be less onerous 12 for the certificate holder; or 13 (b) if the show cause notice stated the proposed action was to cancel 14 the practising certificate--cancel the certificate or suspend the 15 certificate for a period; or 16 (c) if the show cause notice stated the proposed action was to 17 suspend the practising certificate for a stated period--suspend 18 the certificate for a period no longer than the stated period or 19 amend the certificate in a way the authority is satisfied is 20 appropriate because of the written representations. 21 (3) If the regulatory authority decides to amend, cancel or suspend the 22 local practising certificate-- 23 (a) the authority must give the certificate holder an information 24 notice about the decision; and 25 (b) the certificate holder may appeal to the Supreme Court against 26 the decision within 28 days after the day the information notice is 27 given to the certificate holder. 28 Division 8--Provisions that apply to other actions including actions 29 under div 6 or 7 30 69 Consensual amendment or cancellation etc. 31 (1) Subsection (2) applies if-- 32

s 70 71 s 71 Legal Profession Bill 2004 (a) a local legal practitioner applies, in the approved form, to the 1 regulatory authority to amend or cancel the practitioner's 2 practising certificate; or 3 (b) the regulatory authority proposes to amend a local legal 4 practitioner's practising certificate-- 5 (i) only for a formal or clerical reason or in another way that 6 does not adversely affect the practitioner's interests; and 7 (ii) the practitioner agrees in writing to the amendment. 8 (2) The authority may amend or cancel the local practising certificate as 9 mentioned in subsection (1) by written notice given to the legal 10 practitioner. 11 70 Removal from local roll 12 (1) If a local legal practitioner's name is removed from the local roll, the 13 regulatory authority must cancel the practising certificate by information 14 notice given to the legal practitioner. 15 (2) The regulatory must give written notice of the cancellation to the 16 certificate holder. 17 71 Operation of amendment, cancellation or suspension of local 18 practising certificate 19 (1) This section applies if a decision is made to amend, cancel or 20 suspend a local practising certificate under section 64 or 68.20 21 (2) Subject to subsections (3) and (4), the amendment, cancellation or 22 suspension takes effect on the later of the following-- 23 (a) the day that the information notice about the decision is given to 24 the certificate holder; 25 (b) the day stated in the information notice. 26 (3) If the practising certificate is amended, cancelled or suspended 27 because the certificate holder has been convicted of an offence-- 28 20 Section 64 (Refusal, cancellation, suspension or amendment, of a local practising certificate because of a failure to show cause) or 68 (Amending, cancelling or suspending local practising certificate)

s 72 72 s 72 Legal Profession Bill 2004 (a) the Supreme Court may, on application of the certificate holder, 1 order that the amendment, cancellation or suspension be stayed 2 until-- 3 (i) the end of the time to appeal against the conviction; or 4 (ii) if an appeal is made against the conviction--the appeal is 5 finally decided, lapses or otherwise ends; and 6 (b) the amendment, cancellation or suspension does not have effect 7 during any period for which the stay is in force. 8 (4) If the practising certificate is amended, cancelled or suspended 9 because the certificate holder has been convicted of an offence and a court 10 quashes the conviction-- 11 (a) the amendment or suspension ceases to have effect when the 12 court quashes the conviction; or 13 (b) the cancellation ceases to have effect when the court quashes the 14 conviction and the certificate is restored as if it had merely been 15 suspended. 16 72 Return of amended, cancelled or suspended local practising 17 certificate 18 (1) This section applies if a local practising certificate is amended, 19 cancelled or suspended by a relevant regulatory authority under division 6 20 or 7 or section 69.21 21 (2) The regulatory authority may-- 22 (a) give the certificate holder a notice requiring the holder to return 23 the certificate to the authority in the way stated in the notice 24 within a stated period of not less than 7 days; or 25 (b) include in an information notice that the authority must give to 26 the certificate holder under division 6 or 7 a further notice 27 requiring the holder to return the certificate to the authority in the 28 way stated in the notice within a stated period of not less than 29 7 days. 30 21 Division 6 (Special powers relating to local practising certificates) or 7 (Amendment, cancellation or suspension of local practising certificates) or section 69 (Consensual amendment or cancellation etc.)

s 73 73 s 74 Legal Profession Bill 2004 (3) The certificate holder must comply with the requirement, unless the 1 holder has a reasonable excuse. 2 Maximum penalty--50 penalty units. 3 (4) The regulatory authority must return the practising certificate to the 4 certificate holder-- 5 (a) if the certificate is amended--after amending it; or 6 (b) if the certificate is suspended and is still current at the end of the 7 suspension period--at the end of the suspension period. 8 73 Relationship of divs 6 and 7 with ch 7, pt 2 9 (1) An investigator, who was nominated by a regulatory authority for 10 appointment as an investigator, may exercise powers under chapter 7, 11 part 222 for a matter under division 6 or a matter under division 7, as if the 12 matter were the subject of a complaint. 13 (2) Accordingly, the provisions of chapter 7, part 2 apply in relation to a 14 matter under division 6 and a matter under division 7, and so apply with 15 any necessary changes. 16 (3) Nothing in division 6 or 7 prevents-- 17 (a) a regulatory authority from making a complaint about a matter to 18 which division 6 or 7 relates; or 19 (b) the commissioner from investigating or referring a matter for 20 investigation as mentioned in section 265.23 21 Division 9--Interstate legal practitioners 22 74 Requirement for interstate practising certificate and professional 23 indemnity insurance 24 (1) An interstate legal practitioner must not engage in legal practice in 25 this jurisdiction, or represent or advertise that the practitioner is entitled to 26 engage in legal practice in this jurisdiction, unless the practitioner-- 27 22 Chapter 7 (Suitability reports and investigations), part 2 (Investigators and their powers) 23 Section 265 (Referral by commissioner to law society or bar association)

s 75 74 s 75 Legal Profession Bill 2004 (a) is covered by professional indemnity insurance that-- 1 (i) covers legal practice in this jurisdiction; and 2 (ii) complies with the requirements prescribed under a 3 regulation, being requirements that are no more onerous 4 than the requirements under section 50;24 or 5 (b) is employed by a corporation, other than an incorporated legal 6 practice, and the only legal services provided by the practitioner 7 in this jurisdiction are in-house legal services. 8 Maximum penalty--300 penalty units or 2 years imprisonment. 9 (2) A contravention of subsection (1) is capable of constituting 10 unsatisfactory professional conduct or professional misconduct. 11 (3) A regulation may require an interstate legal practitioner to disclose 12 information about professional indemnity insurance to clients or 13 prospective clients. 14 (4) This section does not apply to an interstate legal practitioner who-- 15 (a) is a government legal officer; and 16 (b) is engaged in legal practice in this jurisdiction only to the extent 17 that the practitioner is engaging in government work. 18 75 Extent of entitlement of interstate legal practitioner to practise in 19 this jurisdiction 20 (1) This part does not authorise an interstate legal practitioner to engage 21 in legal practice in this jurisdiction to a greater extent than a local legal 22 practitioner could be authorised under a local practising certificate. 23 (2) Also, the interstate legal practitioner's right to engage in legal 24 practice in this jurisdiction-- 25 (a) is subject to-- 26 (i) specific provisions under this Act applying to interstate legal 27 practitioners; and 28 (ii) any conditions imposed by the relevant regulatory authority 29 under section 76 in relation to the interstate legal 30 practitioner; and 31 24 Section 50 (Professional indemnity insurance)

s 76 75 s 77 Legal Profession Bill 2004 (b) to the greatest practicable extent and with all necessary 1 changes-- 2 (i) is the same as the practitioner's right to engage in legal 3 practice in the practitioner's home jurisdiction; and 4 (ii) is subject to any condition applicable to the practitioner's 5 right to engage in legal practice in that jurisdiction, 6 including any conditions imposed on the practitioner's 7 admission to the legal profession in that jurisdiction. 8 (3) An interstate legal practitioner must not engage in legal practice in 9 this jurisdiction in a way that is not authorised under this Act or in 10 contravention of any condition mentioned in this section. 11 (4) A contravention of this section is capable of constituting 12 unsatisfactory professional conduct or professional misconduct. 13 76 Additional condition on interstate legal practitioner engaging in 14 legal practice in this jurisdiction 15 (1) The relevant regulatory authority may impose a condition on an 16 interstate legal practitioner engaged in legal practice in this jurisdiction that 17 the authority may impose under this Act on a local practising certificate at 18 the time it is granted or renewed. 19 (2) However, conditions imposed under this section must not be more 20 onerous than conditions applying to local legal practitioners. 21 (3) If the regulatory authority imposes a condition on an interstate legal 22 practitioner engaged in legal practice in this jurisdiction-- 23 (a) the authority must give the interstate legal practitioner an 24 information notice about the decision to impose the condition; 25 and 26 (b) the interstate legal practitioner may appeal to the Supreme Court 27 against the decision within 28 days after the day the information 28 notice is given to the certificate holder. 29 77 Special provision about interstate legal practitioner engaging in 30 unsupervised legal practice in this jurisdiction 31 (1) An interstate legal practitioner must not engage in unsupervised legal 32 practice in this jurisdiction unless-- 33

s 78 76 s 79 Legal Profession Bill 2004 (a) if the person completed supervised legal training to qualify--the 1 person has undertaken a period or periods equivalent to 2 18 months supervised legal practice, worked out under a 3 regulation, after the date the practitioner's first practising 4 certificate was granted; or 5 (b) if the person completed other practical legal training to 6 qualify--the practitioner has undertaken a period or periods 7 equivalent to 2 years supervised legal practice, worked out under 8 a regulation, after the date the practitioner's first practising 9 certificate was granted. 10 (2) In this section-- 11 "qualify" means qualify for admission to the legal profession. 12 "supervised legal training" means practical legal training principally 13 under the supervision of an Australian legal practitioner, whether 14 involving articles of clerkship or otherwise. 15 78 Interstate legal practitioner is officer of Supreme Court 16 An interstate legal practitioner engaged in legal practice in this 17 jurisdiction has all the duties and obligations of an officer of the Supreme 18 Court, and for those duties and obligations, is subject to the jurisdiction of 19 the Supreme Court. 20 Division 10--Miscellaneous provisions about local practising certificates 21 and other matters 22 79 Immediate suspension or amendment of local practising 23 certificate 24 (1) This section applies if the relevant regulatory authority in relation to 25 a local legal practitioner considers it necessary in the public interest to take 26 action under this section in relation to that legal practitioner, whether or not 27 action in relation to the legal practitioner has been started under division 6 28 or 7.25 29 25 Division 6 (Special powers relating to local practising certificates) or 7 (Amendment, cancellation or suspension of local practising certificates)

s 79 77 s 79 Legal Profession Bill 2004 (2) The relevant regulatory authority may immediately suspend the local 1 practising certificate of the legal practitioner for any of the following 2 reasons, whether they happened before or after the commencement of this 3 section-- 4 (a) the legal practitioner has become an insolvent under 5 administration; 6 (b) the legal practitioner has been convicted of a serious offence or 7 tax offence; 8 (c) a ground exists on which the certificate could be cancelled or 9 suspended under section 68.26 10 (3) The relevant regulatory authority may immediately amend a local 11 practising certificate of the legal practitioner to provide for either of the 12 following-- 13 (a) imposing or amending conditions about controlling or otherwise 14 regulating conditions about the legal practitioner's trust account; 15 (b) suspending stated operations in relation to the certificate holder's 16 trust account or directing the certificate holder not to operate the 17 account. 18 (4) The relevant regulatory authority suspends or amends a local 19 practising certificate by giving an information notice to the local legal 20 practitioner about the regulatory authority's decision to suspend or amend. 21 (5) The information notice must also state that the local legal practitioner 22 may make written representations to the regulatory authority about the 23 suspension or amendment. 24 (6) Subject to subsection (9), the practising certificate continues to be 25 subject to the suspension or amendment until the earlier of the following-- 26 (a) the time at which the regulatory authority informs the local legal 27 practitioner of the authority's decision by information notice 28 under section 68(3); 29 (b) the end of 56 days after the information notice is given to the 30 local legal practitioner under this section. 31 (7) If the local legal practitioner makes written representations to the 32 regulatory authority about the suspension or amendment, the authority 33 must consider the written representations. 34 26 Section 68 (Amending, cancelling or suspending local practising certificate)

s 80 78 s 80 Legal Profession Bill 2004 (8) The regulatory authority may revoke the suspension or amendment at 1 any time, whether or not because of written representations made to it by 2 the local legal practitioner. 3 (9) Also, the regulatory authority may apply to the Supreme Court for an 4 order extending the period of the suspension or amendment and, if the 5 court considers it appropriate and the suspension or amendment has not 6 ended under subsection (6), the court may extend the period of the 7 suspension or amendment for a further period of not more than a further 8 56 days after the date of the court order. 9 (10) The regulatory authority must give the certificate holder an 10 information notice about its decision to apply under subsection (9) for an 11 order extending the period of the suspension or amendment. 12 80 Protocols 13 (1) A regulatory authority may enter into arrangements ("jurisdiction 14 protocols") with regulatory authorities of other jurisdictions about 15 deciding-- 16 (a) the jurisdiction from which an Australian lawyer practises law 17 principally or can reasonably expect to practise law principally; 18 or 19 (b) the circumstances in which an arrangement under which an 20 Australian legal practitioner practises in a jurisdiction-- 21 (i) may be regarded as being of a temporary nature; or 22 (ii) ceases to be of a temporary nature; or 23 (c) the circumstances in which an Australian legal practitioner may 24 reasonably expect to practise law principally in a jurisdiction 25 during the currency of the practitioner's practising certificate. 26 (2) For this Act, and to the extent that a jurisdiction protocol is relevant, 27 a matter mentioned in subsection (1)(a), (b) or (c) must be decided under 28 the relevant jurisdiction protocol. 29 (3) The regulatory authority may enter into an arrangement that amends, 30 revokes or replaces a jurisdiction protocol. 31 (4) A jurisdiction protocol, or an amendment, revocation or replacement 32 of a jurisdiction protocol, has effect in this jurisdiction only to the extent it 33 is approved under a regulation. 34

s 81 79 s 82 Legal Profession Bill 2004 81 Consideration of applicant for local practising certificate and 1 certificate holder 2 (1) The purpose of this section is to enable a regulatory authority to 3 obtain a document or information, or a person's cooperation, to the extent 4 necessary for the authority to consider whether or not-- 5 (a) to grant or renew a local practising certificate; or 6 (b) to amend, cancel or suspend a local practising certificate. 7 (2) The relevant regulatory authority may, by written notice to the 8 applicant or certificate holder, ask the applicant or certificate holder-- 9 (a) to give it a stated document or information that the authority 10 believes is necessary for the authority's consideration about a 11 local practising certificate; or 12 (b) to cooperate in a stated way with the authority in an investigation 13 or inquiry that the authority believes is necessary for the 14 authority's consideration about a local practising certificate. 15 (3) The regulatory authority may decide not to grant or renew a local 16 practising certificate, or to amend, cancel or suspend a local practising 17 certificate, if the applicant or the certificate holder fails-- 18 (a) to give the stated documents or information as requested under 19 subsection (2); or 20 (b) to cooperate with the authority in its investigations or inquiries as 21 requested under subsection (2). 22 82 Register of local practising certificates 23 (1) A regulatory authority must, in the way it considers appropriate, keep 24 a register of the names of Australian lawyers to whom it grants local 25 practising certificates. 26 (2) The register must-- 27 (a) state conditions, if any, imposed on a local practising certificate 28 relating to the certificate holder engaging in legal practice; and 29 (b) include other particulars prescribed under a regulation. 30 (3) A regulatory authority must keep its register-- 31 (a) available for inspection, without charge, at the authority's 32 principal place of business during normal business hours; or 33

s 83 80 s 85 Legal Profession Bill 2004 (b) on the authority's Internet site or an Internet site identified on the 1 authority's Internet site. 2 83 Regulatory authority may charge reasonable fees 3 (1) A regulatory authority may charge fees for the services that it 4 provides. 5 (2) The fees must be reasonable having regard to the funding that the 6 regulatory authority receives under this Act and the cost to the authority of 7 performing its functions under a relevant law. 8 (3) The fees set by a regulatory authority may be included in an 9 administration rule. 10 (4) Despite subsection (1), a regulatory authority may not charge a fee 11 for a service provided to another entity that has functions under a relevant 12 law except so far as the other entity has arranged, on a commercial basis, 13 for the regulatory authority to perform a service associated with the 14 functions of the other entity. 15 PART 5--LEGAL PRACTICE BY INCORPORATED 16 LEGAL PRACTICES 17 Division 1--Preliminary 18 84 Main purpose of ch 2, pt 5 19 The main purpose of this part is to regulate the provision of legal 20 services by corporations in this jurisdiction, whether or not the legal 21 services are provided in conjunction with other services. 22 85 Meaning of "incorporated legal practice" 23 (1) A corporation is an "incorporated legal practice" if it engages in 24 legal practice in this jurisdiction, whether or not it provides services that 25 are not legal services. 26

s 86 81 s 86 Legal Profession Bill 2004 (2) However, a corporation is not an incorporated legal practice if the 1 legal services provided by it are only either or both of the following 2 services-- 3 (a) in-house legal services; 4 (b) services that are not legally required to be provided by an 5 Australian legal practitioner and that are provided by an officer 6 or employee of the corporation who is not an Australian legal 7 practitioner. 8 (3) Also, a corporation that provides legal services is not an incorporated 9 legal practice if the corporation is prescribed under a regulation as a 10 corporation that is not an incorporated legal practice. 11 (4) Despite subsection (2) and (3), a corporation that is not an 12 incorporated legal practice as mentioned in those subsections must comply 13 with any regulation applying provisions of this part, with or without 14 changes, to that corporation. 15 (5) Nothing in this part affects or applies to the provision by an 16 incorporated legal practice of legal services in 1 or more other jurisdictions 17 under a corresponding law or corresponding laws. 18 86 Definitions for ch 2, pt 5 19 In this part-- 20 "corporation" means-- 21 (a) a company within the meaning of the Corporations Act; or 22 (b) a body corporate prescribed under a regulation for this definition. 23 "director" means-- 24 (a) in relation to a company within the meaning of the Corporations 25 Act--a director as defined in section 9 of that Act; or 26 (b) in relation to another body corporate prescribed under a 27 regulation--a person stated or described in the regulation as a 28 director. 29 "related body corporate" means-- 30 (a) in relation to a company within the meaning of the Corporations 31 Act--a related body corporate within the meaning of section 50 32 of that Act; or 33

s 87 82 s 88 Legal Profession Bill 2004 (b) in relation to another body corporate prescribed under a 1 regulation--a person prescribed under a regulation as a related 2 body corporate. 3 Division 2--Incorporated legal practices providing legal services 4 87 Non-legal services and businesses of incorporated legal practices 5 (1) An incorporated legal practice may provide any service and conduct 6 any business that the corporation may lawfully provide or conduct, except 7 as provided by this section. 8 (2) An incorporated legal practice must not conduct a managed 9 investment scheme. 10 (3) Also, if a regulation prohibits an incorporated legal practice, or a 11 related body corporate of the practice, from providing a service or 12 conducting a business of a kind stated in the regulation, the practice must 13 not provide the service or conduct the business. 14 15 Note-- 16 Contravention of this section or a regulation is a ground for banning an incorporated 17 legal practice under section 108.27 88 Corporations eligible to be incorporated legal practices 18 (1) Subject to this part, a corporation, other than a corporation 19 mentioned in section 85(2) or (3), is eligible to be an incorporated legal 20 practice. 21 (2) This section does not authorise a corporation to provide legal 22 services if the corporation is prohibited from doing so under-- 23 (a) this Act; or 24 (b) a law of the Commonwealth under which the corporation is 25 incorporated or its affairs are regulated; or 26 27 Section 108 (Banning of incorporated legal practices)

s 89 83 s 89 Legal Profession Bill 2004 (c) an Act, or a law of another jurisdiction, under which it is 1 incorporated or its affairs are regulated. 2 (3) An incorporated legal practice is not required to hold a practising 3 certificate. 4 89 Notice of intention to start providing legal services 5 (1) Before a corporation starts to engage in legal practice in this 6 jurisdiction, the corporation must give the law society notice, in the law 7 society approved form, of its intention to do so. 8 (2) A corporation must not engage in legal practice in this jurisdiction if 9 it has not given a notice under subsection (1). 10 Maximum penalty-- 11 (a) for a person guilty under the Criminal Code, chapter 2 of an 12 offence or for section 58528--300 penalty units; or 13 (b) for a corporation--1 500 penalty units. 14 (3) A corporation that starts to engage in legal practice in this jurisdiction 15 without giving a notice under subsection (1) is in default of this section 16 until it gives the law society notice, in the law society approved form, of the 17 failure to comply with that subsection and the fact that it has started to 18 engage in legal practice. 19 (4) The giving of a notice under subsection (3) does not affect a liability 20 under subsection (1) or (2). 21 (5) A corporation is not entitled to recover any amount for anything the 22 corporation did in contravention of subsection (2). 23 (6) A person may recover from a corporation, as a debt due to the person, 24 any amount the person paid to the corporation for anything the corporation 25 did in contravention of subsection (2). 26 28 Section 585 (Executive officers must ensure corporation complies with Act)

s 90 84 s 92 Legal Profession Bill 2004 90 Prohibition on corporations or directors etc. representing that 1 corporation is incorporated legal practice 2 (1) A corporation must not, without a reasonable excuse, represent or 3 advertise that the corporation is an incorporated legal practice unless a 4 notice in relation to the corporation has been given under section 89. 5 Maximum penalty--300 penalty units. 6 (2) A director, officer, employee or agent of a corporation must not, 7 without a reasonable excuse, represent or advertise that the corporation is 8 an incorporated legal practice unless a notice in relation to the corporation 9 has been given under section 89. 10 Maximum penalty--300 penalty units or 2 years imprisonment. 11 (3) A reference in this section to representing or advertising that a 12 corporation is an incorporated legal practice includes doing anything that 13 states or implies that the corporation is entitled to engage in legal practice. 14 91 Notice of termination of provision of legal services 15 A corporation must, within the period prescribed under a regulation after 16 it stops engaging in legal practice in this jurisdiction, give the law society 17 notice, in the law society approved form, of that fact. 18 Maximum penalty-- 19 (a) for a person guilty under the Criminal Code, chapter 2 of an 20 offence or for section 58529--20 penalty units; or 21 (b) for a corporation--100 penalty units. 22 Division 3--Legal practitioner directors, and other legal practitioners 23 employed by incorporated legal practices 24 92 Incorporated legal practice must have legal practitioner director 25 (1) An incorporated legal practice is required to have at least 1 legal 26 practitioner director who is validly appointed. 27 (2) Each legal practitioner director of an incorporated legal practice is, 28 for the purposes only of this Act, responsible for the management of the 29 29 Section 585 (Executive officers must ensure corporation complies with Act)

s 93 85 s 93 Legal Profession Bill 2004 legal services provided in this jurisdiction by the incorporated legal 1 practice. 2 (3) Each legal practitioner director of an incorporated legal practice must 3 ensure that appropriate management systems are implemented and 4 maintained to enable the provision of legal services by the practice-- 5 (a) under the professional obligations of Australian legal 6 practitioners and other obligations imposed under this Act; and 7 (b) so that the obligations of the Australian legal practitioners who 8 are officers or employees of the practice are not affected by other 9 officers or employees of the practice. 10 (4) If it ought reasonably to be apparent to a legal practitioner director of 11 an incorporated legal practice that the provision of legal services by the 12 practice will result in breaches of the professional obligations of an 13 Australian legal practitioner or other obligations imposed under this Act, 14 the director must take all reasonable action available to the director to 15 ensure that-- 16 (a) the breaches do not happen; and 17 (b) if a breach has happened--appropriate remedial action is taken 18 in relation to the breach. 19 (5) A contravention of subsection (3) or (4) or both by a legal 20 practitioner director is capable of constituting unsatisfactory professional 21 conduct or professional misconduct. 22 (6) Nothing in this part derogates from the obligations or liabilities of a 23 director of an incorporated legal practice under another law. 24 93 Obligations of legal practitioner director relating to misconduct 25 (1) Each of the following is capable of constituting unsatisfactory 26 professional conduct or professional misconduct by a legal practitioner 27 director-- 28 (a) unsatisfactory professional conduct or professional misconduct 29 of an Australian legal practitioner employed by the incorporated 30 legal practice; 31 (b) conduct of another director, not being an Australian legal 32 practitioner, of the incorporated legal practice that adversely 33 affects the provision of legal services by the practice; 34

s 94 86 s 94 Legal Profession Bill 2004 (c) the unsuitability of another director, not being an Australian legal 1 practitioner, of the incorporated legal practice to be a director of 2 a corporation that provides legal services. 3 (2) A legal practitioner director of an incorporated legal practice must 4 ensure that all reasonable action available to the legal practitioner director 5 is taken to deal with any unsatisfactory professional conduct or 6 professional misconduct of an Australian legal practitioner employed by 7 the practice. 8 (3) A contravention of subsection (2) is capable of constituting 9 unsatisfactory professional conduct or professional misconduct by the legal 10 practitioner director. 11 94 Incorporated legal practice without legal practitioner director 12 (1) An incorporated legal practice contravenes this subsection if it does 13 not have a legal practitioner director for the corporation for a period 14 exceeding 7 days. 15 (2) If an incorporated legal practice stops having a legal practitioner 16 director, the practice must give notice to the law society of that fact, in the 17 law society approved form, within 7 days after the practice stops having a 18 legal practitioner director. 19 Maximum penalty-- 20 (a) for a person guilty under the Criminal Code, chapter 2 of an 21 offence or for section 58530--60 penalty units; or 22 (b) for a corporation--300 penalty units. 23 (3) An incorporated legal practice that contravenes subsection (1) is 24 taken to be in default of legal practitioner director requirements under this 25 section for the period from the end of the period of 7 days until-- 26 (a) it has at least 1 legal practitioner director; or 27 (b) a person is appointed under this section, or the provisions of a 28 corresponding law, in relation to the practice. 29 (4) An incorporated legal practice must not provide legal services in this 30 jurisdiction during any period it is taken to be in default of legal 31 practitioner director requirements as mentioned in subsection (3). 32 30 Section 585 (Executive officers must ensure corporation complies with Act)

s 95 87 s 95 Legal Profession Bill 2004 Maximum penalty-- 1 (a) for a person guilty under the Criminal Code, chapter 2 of an 2 offence or for section 58531--180 penalty units; or 3 (b) for a corporation--900 penalty units. 4 (5) The law society may, if it considers it appropriate, appoint an 5 Australian legal practitioner who is an employee of the incorporated legal 6 practice, or another person nominated by the law society, in the absence of 7 a legal practitioner director, to perform or discharge the functions or duties 8 conferred or imposed on a legal practitioner director under this part. 9 (6) An Australian legal practitioner is not eligible to be appointed under 10 this section unless the practitioner holds an unrestricted practising 11 certificate. 12 (7) The appointment under this section of a person to perform or 13 discharge functions or duties of a legal practitioner director does not, for 14 any other purpose, confer or impose on the person any of the other 15 functions or duties of a director of the incorporated legal practice. 16 (8) An incorporated legal practice does not contravene subsection (1) 17 during any period during which a person holds an appointment under 18 subsection (5) in relation to the practice. 19 95 Obligations and privileges of an Australian legal practitioner who 20 is an officer or employee 21 (1) An Australian legal practitioner who provides legal services for an 22 incorporated legal practice in the capacity of an officer or employee of the 23 incorporated legal practice-- 24 (a) is not excused from compliance with the professional 25 obligations, or any obligations under any law, of an Australian 26 legal practitioner; and 27 (b) does not lose the professional privileges of an Australian legal 28 practitioner. 29 (2) For the purpose only of subsection (1), the professional obligations 30 and professional privileges of an Australian legal practitioner apply as if-- 31 (a) for an incorporated legal practice with 2 or more legal 32 practitioner directors--the practice were a partnership of the 33 31 Section 585 (Executive officers must ensure corporation complies with Act)

s 96 88 s 97 Legal Profession Bill 2004 legal practitioner directors and the employees of the practice 1 were employees of the legal practitioner directors; and 2 (b) for an incorporated legal practice with only 1 legal practitioner 3 director--the practice were a sole practitioner and the employees 4 of the practice were employees of the legal practitioner director. 5 (3) To remove any doubt, it is declared that the law relating to client legal 6 privilege, or other legal professional privilege, is not excluded or otherwise 7 affected because an Australian legal practitioner is acting in the capacity of 8 an officer or employee of an incorporated legal practice. 9 (4) The directors of an incorporated legal practice do not breach their 10 duties as directors merely because legal services are provided without fee 11 or reward by the Australian legal practitioners employed by the practice. 12 Division 4--Particular matters including application of other provisions 13 of relevant laws 14 96 Insurance obligations 15 (1) The provisions of this Act, including provisions of an administration 16 rule, relating to insurance apply with any necessary changes to 17 incorporated legal practices in relation to the provision of legal services in 18 the same way that the provisions apply to Australian legal practitioners. 19 (2) However, subsection (1) does not affect an obligation of an 20 Australian legal practitioner, who is an officer or employee of an 21 incorporated legal practice, to comply with the provisions of this Act or an 22 administration rule relating to insurance. 23 97 Conflicts of interest 24 (1) This section applies for the application of any law, including the 25 common law or a legal profession rule, relating to conflicts of interest to 26 the conduct of a legal practitioner director, or an Australian legal 27 practitioner who is an officer or employee of, an incorporated legal 28 practice. 29 (2) The interests of the incorporated legal practice or any related body 30 corporate are also taken to be those of the legal practitioner concerned, in 31 addition to any interests that the practitioner has apart from this subsection. 32

s 98 89 s 98 Legal Profession Bill 2004 (3) A legal profession rule may provide for additional duties and 1 obligations in connection with conflicts of interest arising out of the 2 conduct of an incorporated legal practice. 3 98 Disclosure obligations 4 (1) This section applies if a person engages an incorporated legal 5 practice to provide services that the person might reasonably assume to be 6 legal services, but does not apply if the practice provides only legal 7 services in this jurisdiction. 8 (2) Each legal practitioner director of the incorporated legal practice, and 9 any legal practitioner associate of the practice who provides the services 10 for the practice, must ensure that a disclosure that complies with the 11 requirements of this section and a regulation made for this section is made 12 to the person about the services. 13 Maximum penalty--100 penalty units. 14 (3) The disclosure must be made by giving the person a written notice-- 15 (a) setting out the services to be provided and identifying which of 16 those services are legal services; and 17 (b) stating whether or not all the legal services will be provided by 18 an Australian legal practitioner; and 19 (c) if some or all of the legal services to be provided will not be 20 provided by an Australian legal practitioner--identifying those 21 services and indicating the status or qualifications of the person 22 or persons who will provide those legal services; and 23 (d) stating that this Act applies to the provision of legal services but 24 not to the provision of the non-legal services. 25 (4) A regulation may provide for the following matters-- 26 (a) the way in which a disclosure is to be made; 27 (b) additional matters required to be disclosed in connection with the 28 provision of legal services or non-legal services by an 29 incorporated legal practice. 30 (5) Without limiting subsection (4), the additional matters may include 31 the kind of services provided by the incorporated legal practice and 32 whether those services are or are not covered by the provisions of this Act, 33 including, for example, provisions about insurance. 34

s 99 90 s 101 Legal Profession Bill 2004 (6) A disclosure under this section to a person about the provision of 1 legal services may relate to the provision of legal services on 1 occasion or 2 on more than 1 occasion. 3 99 Effect of non-disclosure on provision of particular services 4 (1) This section applies if-- 5 (a) section 98 applies to a service that is provided to a person who 6 has engaged an incorporated legal practice to provide the service 7 and that the person might reasonably assume to be a legal 8 service; and 9 (b) a disclosure has not been made under that section about the 10 service. 11 (2) The standard of care owed by the practice in relation to the service is 12 the standard that would be applicable if the service had been provided by 13 an Australian legal practitioner. 14 100 Application of a legal profession rule 15 A legal profession rule, so far as it applies to an Australian legal 16 practitioner, applies to an Australian legal practitioner who is an officer or 17 employee of an incorporated legal practice, unless the rule otherwise 18 provides. 19 101 Requirements relating to advertising 20 (1) A restriction imposed under this Act or another Act in connection 21 with advertising by Australian legal practitioners applies to advertising by 22 an incorporated legal practice in relation to the provision of legal services. 23 (2) If a restriction mentioned in subsection (1) is limited to a particular 24 branch of the legal profession or persons who practise in a particular style 25 of legal practice, the restriction applies only to the extent that the 26 incorporated legal practice carries on the business of that branch of the 27 legal profession or in that particular style of legal practice. 28 (3) An advertisement made in contravention of a restriction under this 29 section is, for the purposes of a disciplinary proceeding taken against an 30 Australian legal practitioner, taken to have been authorised by each legal 31 practitioner director of the incorporated legal practice. 32

s 102 91 s 103 Legal Profession Bill 2004 (4) This section does not apply if the provision by which the restriction is 1 imposed expressly excludes the application of the restriction to 2 incorporated legal practices. 3 102 Application of provisions of relevant laws relating to trust money 4 or trust accounts 5 (1) A provision under a relevant law relating to trust money or trust 6 accounts applies to an incorporated legal practice in the same way as the 7 provision applies to a solicitor within the meaning of the Trust Accounts 8 Act 1973. 9 (2) For subsection (1)-- 10 (a) the obligations and rights of a solicitor within the meaning of the 11 Trust Accounts Act 1973 under the provision of a relevant law 12 extend to an incorporated legal practice, but only in connection 13 with legal services provided by the practice; and 14 (b) money received by a solicitor within the meaning of the Trust 15 Accounts Act 1973 for another person in the course of legal 16 practice includes money received by any officer or employee of 17 the incorporated legal practice for another person in the course of 18 providing legal services. 19 (3) A regulation may provide that specified provisions under a relevant 20 law relating to trust money or trust accounts do not apply to incorporated 21 legal practices or apply with specified changes. 22 103 Application provisions about client agreements etc. to 23 incorporated legal practices 24 A regulation may provide that specified provisions of the Queensland 25 Law Society Act 1952, parts 4A and 4B32 do not apply to incorporated legal 26 practices or apply with specified changes. 27 32 Queensland Law Society Act 1952, parts 4A (Client agreements) and 4B (Payment for work)

s 104 92 s 106 Legal Profession Bill 2004 104 Extension to incorporated legal practice of vicarious liability 1 relating to failure to account and dishonesty 2 (1) This section applies to any of the following, being a proceeding 3 based on the vicarious liability of an incorporated legal practice-- 4 (a) a civil proceeding relating to a failure to account for, pay or 5 deliver money or other property received by, or entrusted to, the 6 practice or to any officer or employee of the practice in the 7 course of the provision of legal services by the practice, being 8 money or other property under the direct or indirect control of 9 the practice; 10 (b) a civil proceeding for any other debt owed, or damages payable, 11 to a client because of a dishonest act or omission by a legal 12 practitioner associate employed by the practice in connection 13 with the provision of legal services to the client. 14 (2) If the incorporated legal practice would not, apart from this section, 15 be vicariously liable for any acts or omissions of its officers and employees 16 in the proceeding, but would be liable for those acts or omissions if the 17 practice and those officers and employees were carrying on business in 18 partnership, the practice is taken to be vicariously liable for those acts or 19 omissions. 20 105 Sharing of receipts 21 (1) Nothing under this Act prevents an Australian legal practitioner from 22 sharing with an incorporated legal practice receipts arising from the 23 provision of legal services by the practitioner. 24 (2) This section does not extend to the sharing of receipts in 25 contravention of section 106, and has effect subject to section 217.33 26 106 Disqualified persons 27 (1) An incorporated legal practice commits an offence if a person who is 28 a disqualified person-- 29 (a) is an officer or employee of the incorporated legal practice, 30 whether or not the person provides legal services, or is an officer 31 or employee of a related body corporate of the practice; or 32 33 Section 217 (Particular provision about barristers rule)

s 107 93 s 107 Legal Profession Bill 2004 (b) is a partner of the incorporated legal practice in a business that 1 includes the provision of legal services; or 2 (c) shares the receipts of the provision of legal services by the 3 incorporated legal practice; or 4 (d) is engaged or paid for the provision of legal services by the 5 incorporated legal practice. 6 Maximum penalty-- 7 (a) for a person guilty under the Criminal Code, chapter 2 of an 8 offence or for section 58534--60 penalty units; or 9 (b) for a corporation--300 penalty units. 10 (2) Failure by a legal practitioner director of an incorporated legal 11 practice to ensure that the incorporated legal practice complies with 12 subsection (1) is capable of constituting professional misconduct. 13 Division 5--Ensuring compliance with this Act by incorporated legal 14 practices 15 107 Commissioner or law society may audit incorporated legal 16 practice 17 (1) An ILP authority may conduct an audit of an incorporated legal 18 practice about-- 19 (a) the compliance of the practice, and of its officers and employees, 20 with the requirements of-- 21 (i) this part; or 22 (ii) a regulation, a legal profession rule or an administration 23 rule, so far as it applies to incorporated legal practices; or 24 (iii) an incorporated legal practice rule; and 25 (b) the management of the provision of legal services by the 26 incorporated legal practice, including the supervision of officers 27 and employees providing the services. 28 34 Section 585 (Executive officers must ensure corporation complies with Act)

s 108 94 s 108 Legal Profession Bill 2004 (2) An audit may be conducted whether or not a complaint has been 1 made against a person in relation to the provision of legal services by the 2 incorporated legal practice. 3 (3) A report of the audit-- 4 (a) must be given to the incorporated legal practice concerned; and 5 (b) may be given to another ILP authority; and 6 (c) may be taken into account for-- 7 (i) a discipline application involving legal practitioner directors 8 or other persons; or 9 (ii) the grant, renewal, amendment, cancellation or suspension 10 of a practising certificate. 11 108 Banning of incorporated legal practices 12 (1) The Supreme Court may, on application of an ILP authority, make an 13 order disqualifying a corporation from providing legal services in this 14 jurisdiction for the period the court considers appropriate if the court is 15 satisfied that-- 16 (a) a ground for disqualifying the corporation under this section has 17 been established; and 18 (b) the disqualification is justified. 19 (2) If the Supreme Court considers it appropriate, an order under this 20 section may be made-- 21 (a) subject to conditions as to the conduct of the incorporated legal 22 practice; or 23 (b) subject to conditions as to when or in what circumstances the 24 order is to take effect; or 25 (c) together with orders to safeguard the interests of clients or 26 employees of the incorporated legal practice. 27 (3) Action may be taken against an incorporated legal practice on any of 28 the following grounds-- 29 (a) a legal practitioner director or an Australian legal practitioner 30 who is an officer or employee of the corporation is found guilty 31 of professional misconduct under a relevant law or a 32 corresponding law; 33

s 108 95 s 108 Legal Profession Bill 2004 (b) an ILP authority is satisfied, after conducting an audit of the 1 incorporated legal practice, that the incorporated legal practice 2 has failed to implement satisfactory management and supervision 3 of its provision of legal services; 4 (c) the incorporated legal practice, or a related body corporate, has 5 contravened section 8735 or a regulation made under that section; 6 (d) the incorporated legal practice has contravened section 106;36 7 (e) a person is acting in the management of the incorporated legal 8 practice who is the subject of an order-- 9 (i) under section 109 or provisions of a corresponding law that 10 correspond to that section; or 11 (ii) under section 13937 or provisions of a corresponding law 12 that correspond to that section. 13 (4) If a corporation is disqualified under this section, the ILP authority 14 that applied for the order must notify the corresponding authority of every 15 other jurisdiction. 16 (5) If a corporation is disqualified from providing legal services in 17 another jurisdiction under a corresponding law, the commissioner may 18 decide that the corporation is taken to be disqualified from providing legal 19 services in this jurisdiction for the same period, but nothing in this 20 subsection prevents an ILP authority from instead applying for an order 21 under this section. 22 (6) A corporation that provides legal services in contravention of a 23 disqualification under this section commits an offence. 24 Maximum penalty-- 25 (a) for a person guilty under the Criminal Code, chapter 2 of an 26 offence or for section 58538--180 penalty units; or 27 (b) for a corporation--900 penalty units. 28 (7) A corporation that is disqualified under this section ceases to be an 29 incorporated legal practice. 30 35 Section 87 (Non-legal services and businesses of incorporated legal practices) 36 Section 106 (Disqualified persons) 37 Section 139 (Prohibition on partnership with particular partner who is not an Australian legal practitioner) 38 Section 585 (Executive officers must ensure corporation complies with Act)

s 109 96 s 109 Legal Profession Bill 2004 (8) Conduct of an Australian legal practitioner who provides legal 1 services for a corporation in the capacity of an officer or employee of the 2 corporation is capable of being unsatisfactory professional conduct or 3 professional misconduct if the practitioner ought reasonably to have known 4 that the corporation is disqualified under this section. 5 (9) A regulation may provide for the publication and notification of 6 orders made under this section, including notification of corresponding 7 authorities of other jurisdictions. 8 109 Disqualification from managing incorporated legal practice 9 (1) The Supreme Court may, on application of an ILP authority, make an 10 order disqualifying a person from managing a corporation that is an 11 incorporated legal practice for the period the court considers appropriate if 12 the court is satisfied that-- 13 (a) the person is a person who could be disqualified under the 14 Corporations Act, section 206C, 206D, 206E or 206F39 from 15 managing corporations; and 16 (b) the disqualification is justified. 17 (2) The Supreme Court may, on application of a person subject to a 18 disqualification order under this section, revoke the order. 19 (3) A disqualification order made under subsection (1) has effect for the 20 purposes only of this Act and does not affect the application or operation of 21 the Corporations Act. 22 (4) A regulation may provide for the publication and notification of 23 orders made under this section. 24 (5) A person who is disqualified from managing a corporation under 25 provisions of a corresponding law that correspond to this section is taken to 26 be disqualified from managing a corporation under this section. 27 39 Corporations Act, section 206C (Court power of disqualification--contravention of civil penalty provision), 206D (Court power of disqualification--insolvency and non-payment of debts), 206E (Court power of disqualification--repeated contraventions of Act) or 206F (ASIC's power of disqualification)

s 110 97 s 111 Legal Profession Bill 2004 110 Disclosure of information to the Australian Securities and 1 Investments Commission 2 (1) This section applies if an ILP authority, in connection with 3 performing functions or exercising powers under this Act, acquired 4 information concerning a corporation that is or was an incorporated legal 5 practice. 6 (2) The ILP authority may disclose to the Australian Securities and 7 Investments Commission information concerning the corporation that is 8 relevant to the commission's functions. 9 (3) Information may be provided under subsection (2) despite any law 10 relating to secrecy or confidentiality, including any provisions of this Act. 11 Division 6--External administration 12 111 External administration proceedings under Corporations Act 13 (1) This section applies to a proceeding in any court under the 14 Corporations Act, chapter 540-- 15 (a) relating to a corporation that is an externally-administered body 16 corporate under that Act and that is or was an incorporated legal 17 practice; or 18 (b) relating to a corporation that is or was an incorporated legal 19 practice becoming an externally-administered body corporate 20 under that Act. 21 (2) Each ILP authority is entitled to intervene in the proceeding, unless 22 the court decides that the proceeding does not concern or affect the 23 provision of legal services by the incorporated legal practice. 24 (3) The court may, when exercising its jurisdiction in the proceeding, 25 have regard to the interests of the clients of the incorporated legal practice 26 who have been or are to be provided with legal services by the practice. 27 (4) Subsection (3) does not authorise the court to make any decision that 28 is contrary to a specific provision of the Corporations Act. 29 40 Corporations Act, chapter 5 (External administration)

s 112 98 s 113 Legal Profession Bill 2004 (5) Subsections (2) and (3) are declared to be Corporations legislation 1 displacement provisions for the purposes of the Corporations Act, 2 section 5G in relation to the provisions of chapter 5 of that Act. 3 4 Note-- 5 The Corporations Act, section 5G, provides that if a State law declares a provision of a 6 State law to be a Corporations legislation displacement provision, any provision of the 7 Corporations legislation with which the State provision would otherwise be 8 inconsistent does not apply to the extent necessary to avoid the inconsistency. 112 External administration proceedings under other legislation 9 (1) This section applies to a proceeding for the external administration, 10 however expressed, of an incorporated legal practice but does not apply to a 11 proceeding to which section 111 applies. 12 (2) Each ILP authority is entitled to intervene in the proceeding, unless 13 the court decides that the proceeding does not concern or affect the 14 provision of legal services by the incorporated legal practice. 15 (3) The court may, when exercising its jurisdiction in the proceeding, 16 have regard to the interests of the clients of the incorporated legal practice 17 who have been or are to be provided with legal services by the practice. 18 (4) Subsection (3) does not authorise the court to make any decision that 19 is contrary to a specific provision of any legislation applicable to the 20 incorporated legal practice. 21 113 Incorporated legal practice that is subject to receivership under 22 this Act and external administration under Corporations Act 23 (1) This section applies if an incorporated legal practice is the subject of 24 both-- 25 (a) the appointment of a QLS receiver; and 26 (b) the appointment of a Corporations Act administrator. 27 (2) The QLS receiver is under a duty to notify the Corporations Act 28 administrator of the appointment of the QLS receiver, whether the 29 appointment precedes, follows or is contemporaneous with the 30 appointment of the Corporations Act administrator. 31 (3) The QLS receiver or the Corporations Act administrator, or both of 32 them jointly, may apply to the Supreme Court for the resolution of issues 33 arising from or in connection with the dual appointments and their 34

s 114 99 s 114 Legal Profession Bill 2004 respective powers, except if a proceeding mentioned in section 111 has 1 been started. 2 (4) The Supreme Court may make any orders it considers appropriate, 3 and no liability attaches to the QLS receiver or the Corporations Act 4 administrator for any act or omission done by the receiver or administrator 5 in good faith for the purpose of carrying out or acting under the orders. 6 (5) Each ILP authority is entitled to intervene in the proceeding, unless 7 the court decides that the proceeding does not concern or affect the 8 provision of legal services by the incorporated legal practice. 9 (6) The provisions of subsections (3) and (4) are declared to be 10 Corporations legislation displacement provisions for the purposes of the 11 Corporations Act, section 5G in relation to the provisions of chapter 5 of 12 that Act. 13 (7) In this section-- 14 "Corporations Act administrator" means-- 15 (a) a receiver, receiver and manager, liquidator (including a 16 provisional liquidator), controller, administrator or deed 17 administrator appointed under the Corporations Act; or 18 (b) a person who is appointed to exercise powers under that Act and 19 who is prescribed under a regulation for this definition. 20 "QLS receiver" means a receiver appointed under section 333.41 21 114 Incorporated legal practice that is subject to receivership under 22 this Act and external administration under other legislation 23 (1) This section applies if an incorporated legal practice is the subject of 24 both-- 25 (a) the appointment of a QLS receiver; and 26 (b) the appointment of an external administrator. 27 (2) The QLS receiver is under a duty to notify the external administrator 28 of the appointment of the QLS receiver, whether the appointment precedes, 29 follows or is contemporaneous with the appointment of the external 30 administrator. 31 41 Section 333 (Appointment of receiver)

s 115 100 s 116 Legal Profession Bill 2004 (3) The QLS receiver or the external administrator, or both of them 1 jointly, may apply to the Supreme Court for the resolution of issues arising 2 from or in connection with the dual appointments and their respective 3 powers. 4 (4) The Supreme Court may make any orders it considers appropriate, 5 and no liability attaches to the QLS receiver or the external administrator 6 for any act or omission done by the receiver or administrator in good faith 7 for the purpose of carrying out or acting under the orders. 8 (5) Each ILP authority is entitled to intervene in the proceeding, unless 9 the court decides that the proceeding does not concern or affect the 10 provision of legal services by the incorporated legal practice. 11 (6) In this section-- 12 "external administrator" means a person who is-- 13 (a) appointed to exercise powers under an Act other than a relevant 14 law, or under an Act of the Commonwealth or another 15 jurisdiction; and 16 (b) prescribed under a regulation for this definition. 17 "QLS receiver" means a receiver appointed under section 333. 18 Division 7--Miscellaneous 19 115 Cooperation between courts 20 Courts of this jurisdiction may make arrangements for communicating 21 and cooperating with other courts or tribunals in connection with the 22 exercise of powers under this part. 23 116 Relationship of Act to constitution of incorporated legal practice 24 A provision under a relevant law that applies in relation to an 25 incorporated legal practice prevails, to the extent of any inconsistency, over 26 the constitution or other constituent documents of the practice. 27

s 117 101 s 119 Legal Profession Bill 2004 117 Relationship of Act to legislation establishing incorporated legal 1 practice 2 (1) This section applies to a corporation, established by or under a law 3 whether or not of this jurisdiction, that is an incorporated legal practice but 4 is not a company under the Corporations Act. 5 (2) The provisions of this Act that apply to an incorporated legal practice 6 prevail, to the extent of any inconsistency, over provisions of the legislation 7 under which the corporation is established or regulated that are prescribed 8 under a regulation. 9 118 Relationship of Act to Corporations legislation and certain other 10 instruments 11 (1) A regulation may declare a provision under a relevant law that relates 12 to an incorporated legal practice to be a Corporations legislation 13 displacement provision for the purposes of the Corporations Act, 14 section 5G.42 15 (2) A regulation may declare a matter relating to an incorporated legal 16 practice that is prohibited, required, authorised or permitted under a 17 relevant law to be an excluded matter for the purposes of the Corporations 18 Act, section 5F,43 in relation to-- 19 (a) the whole of the Corporations legislation; or 20 (b) a specified provision of the Corporations legislation; or 21 (c) the Corporations legislation other than a specified provision; or 22 (d) the Corporations legislation other than to a specified extent. 23 (3) In this section-- 24 "matter" includes act, omission, body, person or thing. 25 119 Undue influence 26 A person, whether or not an officer or employee of an incorporated legal 27 practice, must not cause or induce an Australian legal practitioner who 28 42 Corporations Act, section 5G (Avoiding direct inconsistency arising between the Corporations legislation and State and Territory laws) 43 Corporations Act, section 5F (Corporations legislation does not apply to matters declared by State or Territory law to be an excluded matter)

s 120 102 s 121 Legal Profession Bill 2004 provides legal services for the practice, to contravene this Act or the 1 practitioner's professional obligations as an Australian legal practitioner. 2 Maximum penalty--300 penalty units. 3 120 Obligations of individual practitioners not affected 4 Except as provided by this part, nothing in this part affects an obligation 5 imposed on a legal practitioner director of an incorporated legal practice, or 6 a legal practitioner associate of the practice who provides legal services for 7 the practice, under this Act or another Act in his or her capacity as an 8 Australian legal practitioner. 9 121 Regulation may require training requirement for legal 10 practitioner director 11 (1) A regulation may provide for the following-- 12 (a) that a legal practitioner director of an incorporated legal practice 13 must undertake training as required by the regulation; 14 (b) the legal services provided by incorporated legal practices; 15 (c) other services provided by incorporated legal practices in 16 circumstances where a conflict of interest relating to the 17 provision of legal services may arise. 18 (2) Without limiting subsection (1)(a), the regulation may provide that a 19 person who has a qualification or experience of a type prescribed under the 20 regulation need not undertake that training. 21 (3) A regulation may provide that a breach of a provision of the 22 regulation is capable of constituting unsatisfactory professional conduct or 23 professional misconduct by a legal practitioner director, or by the 24 Australian legal practitioner responsible for the breach, or both. 25

s 122 103 s 124 Legal Profession Bill 2004 PART 6--LEGAL PRACTICE BY 1 MULTI-DISCIPLINARY PARTNERSHIPS 2 Division 1--Preliminary 3 122 Main purpose of ch 2, pt 6 4 The main purpose of this part is to regulate the provision of legal 5 services by multi-disciplinary partnerships in this jurisdiction, whether or 6 not the legal services are provided in conjunction with other services. 7 123 Meaning of "multi-disciplinary partnership" 8 (1) A partnership is a "multi-disciplinary partnership" if it is a 9 partnership between 1 or more Australian legal practitioners and 1 or more 10 other persons who are not Australian legal practitioners, if the partnership 11 business includes the provision of legal services in this jurisdiction as well 12 as other services. 13 (2) However, a partnership consisting only of 1 or more Australian legal 14 practitioners and 1 or more Australian-registered foreign lawyers is not a 15 multi-disciplinary partnership. 16 (3) Nothing in this part affects or applies to the provision by a 17 multi-disciplinary partnership of legal services in 1 or more other 18 jurisdictions. 19 Division 2--Multi-disciplinary partnerships providing legal services 20 124 Conduct of multi-disciplinary partnerships 21 (1) An Australian legal practitioner may be in partnership with a person 22 who is not an Australian legal practitioner, if the partnership business 23 includes the provision of legal services. 24 (2) Subsection (1) does not prevent an Australian legal practitioner from 25 being in partnership with a person who is not an Australian legal 26 practitioner, if the partnership business does not include the provision of 27 legal services. 28

s 125 104 s 126 Legal Profession Bill 2004 (3) A regulation may prohibit an Australian legal practitioner from being 1 in partnership with a person providing a service or conducting a business of 2 a kind specified under the regulation, if the partnership business includes 3 the provision of legal services. 4 125 Notice of intention to start practice in multi-disciplinary 5 partnership 6 (1) Before an Australian legal practitioner starts to provide legal services 7 in this jurisdiction as a partner in a multi-disciplinary partnership, the 8 practitioner must give the law society notice, in the law society approved 9 form, of his or her intention to do so. 10 Maximum penalty--100 penalty units. 11 (2) A regulation may prescribe the particulars to be included in the law 12 society approved form. 13 Division 3--Legal practitioner partners and other legal practitioners 14 employed by multi-disciplinary partnerships 15 126 General obligations of legal practitioner partners 16 (1) Each legal practitioner partner of a multi-disciplinary partnership is, 17 for the purposes only of this Act, responsible for the management of the 18 legal services provided in this jurisdiction by the partnership. 19 (2) Each legal practitioner partner must ensure that appropriate 20 management systems are implemented and maintained to enable the 21 provision of legal services by the multi-disciplinary partnership-- 22 (a) under the professional obligations of Australian legal 23 practitioners and other obligations imposed under this Act; and 24 (b) so that the obligations of legal practitioner partners, and legal 25 practitioner associates who are employed by the practice, are not 26 affected by other partners and employees of the partnership. 27 (3) A contravention of subsection (2) by a legal practitioner partner is 28 capable of constituting unsatisfactory professional conduct or professional 29 misconduct. 30

s 127 105 s 128 Legal Profession Bill 2004 127 Obligations of legal practitioner partner relating to misconduct 1 (1) Each of the following is capable of constituting unsatisfactory 2 professional conduct or professional misconduct by a legal practitioner 3 partner of a multi-disciplinary partnership-- 4 (a) unsatisfactory professional conduct or professional misconduct 5 of an Australian legal practitioner employed by the 6 multi-disciplinary partnership; 7 (b) conduct of another partner, not being an Australian legal 8 practitioner, of the multi-disciplinary partnership that adversely 9 affects the provision of legal services by the partnership; 10 (c) the unsuitability of another partner, not being an Australian legal 11 practitioner, of the multi-disciplinary partnership to be a member 12 of a partnership that provides legal services. 13 (2) A legal practitioner partner of a multi-disciplinary partnership must 14 ensure that all reasonable action available to the legal practitioner partner is 15 taken to deal with any unsatisfactory professional conduct or professional 16 misconduct of an Australian legal practitioner employed by the partnership. 17 (3) A contravention of subsection (2) is capable of constituting 18 unsatisfactory professional conduct or professional misconduct by the legal 19 practitioner partner. 20 128 Actions of partner who is not an Australian legal practitioner 21 (1) A partner of a multi-disciplinary partnership who is not an Australian 22 legal practitioner does not contravene a provision of this Act merely 23 because of any of the following-- 24 (a) the partner is a member of a partnership and the partnership 25 business includes the provision of legal services; 26 (b) the partner receives a fee, gain or reward for business of the 27 partnership that is the business of an Australian legal practitioner; 28 (c) the partner holds out, advertises or represents himself or herself 29 as a member of a partnership where the partnership business 30 includes the provision of legal services; 31 (d) the partner shares with another partner the receipts of business of 32 the partnership that is the business of an Australian legal 33 practitioner. 34

s 129 106 s 131 Legal Profession Bill 2004 (2) Subsection (1) is subject to any other provision that expressly applies 1 to a partner of a multi-disciplinary partnership who is not an Australian 2 legal practitioner. 3 129 Obligations and privileges of Australian legal practitioner who is 4 partner or employee 5 (1) An Australian legal practitioner who provides legal services in the 6 capacity of a partner or an employee of a multi-disciplinary partnership-- 7 (a) is not excused from compliance with the professional 8 obligations, or other obligations under any law, of an Australian 9 legal practitioner; and 10 (b) does not lose the professional privileges of an Australian legal 11 practitioner. 12 (2) To remove any doubt, it is declared that the law relating to client legal 13 privilege, or other legal professional privilege, is not excluded or otherwise 14 affected because an Australian legal practitioner is acting in the capacity of 15 a partner or employee of a multi-disciplinary partnership. 16 130 Conflicts of interest 17 (1) This section applies for the application of any law, including the 18 common law or a legal profession rule, relating to conflicts of interest to 19 the conduct of an Australian legal practitioner who is a legal practitioner 20 partner or employee of a multi-disciplinary partnership. 21 (2) The interests of the multi-disciplinary partnership, or any partner of 22 the multi-disciplinary partnership, are also taken to be the interests of the 23 legal practitioner concerned, in addition to any interests that the 24 practitioner has apart from this subsection. 25 (3) A legal profession rule may provide for additional duties and 26 obligations in connection with conflicts of interest arising out of the 27 conduct of a multi-disciplinary partnership. 28 131 Disclosure obligations 29 (1) This section applies if a person engages a multi-disciplinary 30 partnership to provide services that the person might reasonably assume to 31 be legal services. 32

s 132 107 s 132 Legal Profession Bill 2004 (2) Each legal practitioner partner of the multi-disciplinary partnership, 1 and any employee of the partnership who is an Australian legal practitioner 2 and who provides the services on behalf of the partnership, must ensure 3 that a disclosure that complies with the requirements of this section and a 4 regulation made for this section is made to the person about the services. 5 Maximum penalty--100 penalty units. 6 (3) The disclosure must be made by giving the person a written notice-- 7 (a) setting out the services to be provided and identifying which of 8 those services are legal services; and 9 (b) stating whether or not all the legal services will be provided by 10 an Australian legal practitioner; and 11 (c) if some or all of the legal services to be provided will not be 12 provided by an Australian legal practitioner--identifying those 13 services and indicating the status or qualifications of the person 14 or persons who will provide those legal services; and 15 (d) stating that this Act applies to the provision of legal services but 16 not to the provision of the non-legal services. 17 (4) A regulation may provide for the following matters-- 18 (a) the way in which a disclosure is to be made; 19 (b) additional matters required to be disclosed in connection with the 20 provision of legal services or non-legal services by a 21 multi-disciplinary partnership. 22 (5) Without limiting subsection (4), the additional matters may include 23 the kind of services provided by the multi-disciplinary partnership and 24 whether those services are or are not covered by the provisions of this Act, 25 including, for example, provisions about insurance. 26 (6) A disclosure under this section to a person about the provision of 27 legal services may relate to the provision of legal services on 1 occasion or 28 on more than 1 occasion. 29 132 Effect of non-disclosure on provision of particular services 30 (1) This section applies if-- 31 (a) section 131 applies in relation to a service that is provided to a 32 person who has engaged a multi-disciplinary partnership to 33

s 133 108 s 134 Legal Profession Bill 2004 provide the service and that the person might reasonably assume 1 to be a legal service; and 2 (b) a disclosure has not been made under that section in relation to 3 the service. 4 (2) The standard of care owed by the multi-disciplinary partnership in 5 relation to the service is the standard that would be applicable if the service 6 had been provided by an Australian legal practitioner. 7 133 Application of a legal profession rule 8 A legal profession rule, so far as it applies to an Australian legal 9 practitioner, applies to the following unless the rule otherwise provides-- 10 (a) an Australian legal practitioner who is a legal practitioner partner 11 of a multi-disciplinary partnership; 12 (b) an Australian legal practitioner who is an employee of the 13 multi-disciplinary partnership. 14 134 Requirements relating to advertising 15 (1) A restriction imposed under this Act or another Act in connection 16 with advertising by Australian legal practitioners applies to advertising by a 17 multi-disciplinary partnership in relation to the provision of legal services. 18 (2) If a restriction mentioned in subsection (1) is limited to a particular 19 branch of the legal profession or persons who practise in a particular style 20 of legal practice, the restriction applies only to the extent that the 21 multi-disciplinary partnership carries on the business of that branch of the 22 legal profession or that particular style of legal practice. 23 (3) An advertisement by a multi-disciplinary partnership about the 24 provision of services that include legal services is, for the purposes of a 25 disciplinary proceeding against an Australian legal practitioner, taken to 26 have been authorised by each legal practitioner partner of the 27 multi-disciplinary partnership. 28 (4) This section does not apply if the provision by which the restriction is 29 imposed expressly excludes its application to multi-disciplinary 30 partnerships. 31

s 135 109 s 137 Legal Profession Bill 2004 135 Requirements relating to trust accounts and particular moneys 1 (1) A provision under a relevant law relating to trust money or trust 2 accounts applies to a multi-disciplinary partnership in the same way as the 3 provision applies to a solicitor within the meaning of the Trust Accounts 4 Act 1973. 5 (2) For subsection (1)-- 6 (a) the obligations and rights of a solicitor within the meaning of the 7 Trust Accounts Act 1973 under the provision of a relevant law 8 extend to a multi-disciplinary partnership, but only in connection 9 with legal services provided by the partnership; and 10 (b) money received by a solicitor within the meaning of the Trust 11 Accounts Act 1973 for another person in the course of legal 12 practice includes money received by any officer or employee of 13 the multi-disciplinary partnership for another person in the 14 course of providing legal services. 15 (3) A regulation may provide that specified provisions under a relevant 16 law relating to trust money or trust accounts do not apply to a 17 multi-disciplinary partnership or apply with specified changes. 18 136 Application of provisions about client agreements etc. to 19 multi-disciplinary partnerships 20 A regulation may provide that specified provisions of the Queensland 21 Law Society Act 1952, parts 4A and 4B44 do not apply to multi-disciplinary 22 partnerships or apply with specified changes. 23 137 Sharing of receipts 24 (1) Nothing under this Act prevents a legal practitioner partner of a 25 multi-disciplinary partnership, or an Australian legal practitioner who is an 26 employee of a multi-disciplinary partnership, from sharing with a partner 27 of the partnership who is not an Australian legal practitioner, receipts 28 arising from the provision of legal services by the partner or practitioner. 29 44 Queensland Law Society Act 1952, parts 4A (Client agreements) and 4B (Payment for work)

s 138 110 s 139 Legal Profession Bill 2004 (2) This section does not extend to the sharing of receipts in 1 contravention of section 138, and has effect subject to section 217.45 2 138 Disqualified persons 3 (1) A legal practitioner partner of a multi-disciplinary partnership must 4 not knowingly-- 5 (a) be a partner of a disqualified person in the multi-disciplinary 6 partnership; or 7 (b) share with a disqualified person the receipts of the provision of 8 legal services by the multi-disciplinary partnership; or 9 (c) employ or pay a disqualified person in connection with the 10 provision of legal services by the multi-disciplinary partnership. 11 (2) A contravention of subsection (1) by a legal practitioner partner of a 12 multi-disciplinary partnership is capable of constituting unsatisfactory 13 professional conduct or professional misconduct. 14 139 Prohibition on partnership with particular partner who is not an 15 Australian legal practitioner 16 (1) This section applies to a person who-- 17 (a) is not an Australian legal practitioner; and 18 (b) is or was a partner of an Australian legal practitioner. 19 (2) The Supreme Court may make an order prohibiting an Australian 20 legal practitioner from being a partner of a person to whom this section 21 applies and who is specified in the order in relation to a business that 22 includes the provision of legal services if the court is satisfied that-- 23 (a) the person is not a fit and proper person to be a partner; or 24 (b) the person has been found guilty of conduct that, if the person 25 were an Australian legal practitioner, would have constituted 26 unsatisfactory professional conduct or professional misconduct; 27 or 28 45 Section 217 (Particular provision about barristers rule)

s 140 111 s 141 Legal Profession Bill 2004 (c) for a corporation--the corporation has, under section 108,46 been 1 disqualified from providing legal services in this jurisdiction or 2 there are grounds for disqualifying the corporation from 3 providing legal services in this jurisdiction. 4 (3) An order made under this section may be revoked by the Supreme 5 Court on application by the law society, the commissioner or by the person 6 against whom the order was made. 7 (4) The death of an Australian legal practitioner does not prevent an 8 application being made for, or the making of, an order under this section in 9 relation to a person who was a partner of the practitioner. 10 (5) The Supreme Court may make an order under subsection (2) on 11 application by the commissioner or the law society or on its own initiative. 12 (6) A regulation may make provision about the publication and 13 notification of orders made under this section. 14 140 Undue influence 15 A person, whether or not a partner or employee of a multi-disciplinary 16 partnership, must not cause or induce either of the following persons to 17 contravene this Act or the person's professional obligations as an 18 Australian legal practitioner-- 19 (a) a legal practitioner partner of a multi-disciplinary partnership; 20 (b) an employee of a multi-disciplinary partnership who provides 21 legal services and who is an Australian legal practitioner. 22 Maximum penalty--300 penalty units. 23 141 Obligations of practitioners not affected 24 Except as provided by this part, nothing in this part affects an obligation 25 imposed on a legal practitioner partner of, or an Australian legal 26 practitioner who is an employee of, a multi-disciplinary partnership under 27 this Act or another Act in his or her capacity as an Australian legal 28 practitioner. 29 46 Section 108 (Banning of incorporated legal practices)

s 142 112 s 144 Legal Profession Bill 2004 142 Regulations 1 (1) A regulation may provide for the following-- 2 (a) the legal services provided by legal practitioner partners or 3 employees of multi-disciplinary partnerships; 4 (b) other services provided by legal practitioner partners or 5 employees of multi-disciplinary partnerships in circumstances in 6 which a conflict of interest relating to the provision of legal 7 services may arise. 8 (2) A regulation may provide that a breach of a provision of the 9 regulation is capable of constituting unsatisfactory professional conduct or 10 professional misconduct by a legal practitioner partner of a 11 multi-disciplinary partnership, or by the Australian legal practitioner 12 responsible for the breach, or both. 13 PART 7--FIDELITY COVER 14 Division 1--Preliminary 15 143 Purpose of ch 2, pt 7 16 The purpose of this part is to establish and maintain a fund to provide a 17 source of compensation for defaults by law practices arising from acts or 18 omissions of associates of the law practices. 19 144 Definitions for ch 2, pt 7 20 In this part-- 21 "capping and sufficiency provisions" means-- 22 (a) for this jurisdiction--sections 182 and 183;47 or 23 (b) for another jurisdiction--the provisions of the corresponding law 24 of that jurisdiction that correspond to those sections. 25 47 Sections 182 (Caps on payments) and 183 (Sufficiency of fidelity fund)

s 145 113 s 145 Legal Profession Bill 2004 "claim" means a claim, under this part, against the fidelity fund about a 1 default of a law practice. 2 "claimant" means a person who makes a claim. 3 "concerted interstate default" means a default of a law practice that 4 arises from an act or omission-- 5 (a) that was committed jointly by 2 or more associates of the 6 practice; or 7 (b) parts of which were committed by different associates of the 8 practice or different combinations of associates of the practice; 9 if this jurisdiction is the relevant jurisdiction for at least 1 of the 10 associates and another jurisdiction is the relevant jurisdiction for at 11 least 1 other of the associates. 12 "default", in relation to a law practice, means-- 13 (a) a failure of the practice to pay or deliver trust money or trust 14 property that was received by the practice, or an associate of the 15 practice, in the course of legal practice by the practice or an 16 associate, if the failure arises from an act or omission of an 17 associate that involves dishonesty; or 18 (b) a fraudulent dealing with trust property that was received by the 19 law practice, or an associate of the practice, in the course of legal 20 practice by the practice or an associate, if the fraudulent dealing 21 is constituted by or arises from an act or omission of an associate 22 that involves dishonesty. 23 "pecuniary loss", in relation to a default of a law practice, means-- 24 (a) the amount of trust money, or the value of trust property, that is 25 not paid or delivered; or 26 (b) the amount of money that a person loses or is deprived of, or the 27 loss of value of trust property, as a result of a fraudulent dealing. 28 145 Application of pt 7 defaults of particular barristers 29 (1) This part does not apply to a default of a local legal practitioner who 30 holds a current local practising certificate granted or renewed by the bar 31 association. 32

s 146 114 s 147 Legal Profession Bill 2004 (2) Also a regulation may provide whether or not, and if so to what 1 extent, this part applies or does not apply to a default of an interstate legal 2 practitioner. 3 146 Time of default 4 (1) A default of a law practice is taken to have happened when the act or 5 omission giving rise to, or constituting, the default happened. 6 (2) An omission is taken to have happened on-- 7 (a) the date on or by which the act not performed ought reasonably 8 to have been performed; or 9 (b) if a date can not be decided under paragraph (a)--on another date 10 decided under a regulation. 11 (3) Subsections (1) and (2) are relevant to decide the following-- 12 (a) which jurisdiction's law applies to a default of a law practice by 13 reference to when the default happened; 14 (b) whether the law practice was a law practice at the time when the 15 default happened. 16 (4) However, subsection (3) does not limit the other purposes for which 17 subsections (1) and (2) may be relevant. 18 Division 2--Fidelity fund 19 147 Establishment of fidelity fund 20 (1) The Legal Practitioners' Fidelity Guarantee Fund established under 21 the Queensland Law Society Act 1952, section 12, as in force immediately 22 before the commencement of this section, is continued in existence under 23 this Act. 24 (2) The fidelity fund continues to be vested in the law society. 25 (3) Subject to section 154,48 the law society must manage and administer 26 the fidelity fund. 27 48 Section 154 (Law society may delegate its powers in relation to the fidelity fund to a committee of management)

s 148 115 s 150 Legal Profession Bill 2004 148 Insurance 1 (1) The law society may arrange with an insurer for insurance in relation 2 to claims, and liabilities arising out of claims, against the fidelity fund. 3 (2) Without limiting subsection (1), the law society may arrange for 4 insurance relating to particular claims or particular classes of claims. 5 (3) The proceeds paid under a policy of insurance against particular 6 claims or particular classes of claims are to be paid into the fidelity fund, 7 and a claimant is not entitled to have direct recourse to the proceeds or any 8 part of the proceeds. 9 (4) No liability, including liability in defamation, is incurred by a 10 protected person in relation to anything done or omitted to be done in good 11 faith for the purpose of arranging for insurance under this section. 12 (5) In this section-- 13 "protected person" means-- 14 (a) the law society or a council member; or 15 (b) a person acting at the direction of the law society or a council 16 member. 17 149 Limitation on borrowing powers of law society for fidelity fund 18 (1) Despite the Statutory Bodies Financial Arrangements Act 1982, the 19 law society can not borrow money for the purposes of the fidelity fund. 20 (2) Subsection (1) does not apply to an advance to the fund by the law 21 society under section 158.49 22 150 Fund to be kept in separate account 23 All moneys constituting the fund must, pending the investment or 24 application of the amount of that money under this Act or another Act, be 25 paid or transferred into a financial institution to the credit of a separate 26 account to be called `The Legal Practitioners' Fidelity Guarantee Fund 27 Account'. 28 49 Section 158 (Law society may advance moneys from its general funds to fidelity fund)

s 151 116 s 152 Legal Profession Bill 2004 151 Moneys payable into fidelity fund 1 The fidelity fund consists of the following-- 2 (a) all amounts paid to or on account of the fund by Australian legal 3 practitioners under this Act as contributions or levies; 4 (b) the interest accruing from the investment of the amount of all or 5 part of the fund under the Statutory Bodies Financial 6 Arrangements Act 1982; 7 (c) all amounts given or advanced to the fund by the law society 8 under section 158;50 9 (d) all amounts properly payable to the fund and recovered for the 10 law society in the exercise of any right of action conferred under 11 this Act; 12 (e) all other amounts that may be lawfully paid into the fund. 13 152 Expenditure from fund 14 Subject to this Act, the following may be paid out of the fund as 15 required-- 16 (a) the amount of all claims, including costs and interest allowed or 17 established against the fund under this Act; 18 (b) all legal expenses and costs incurred in defending claims made 19 against the fund or otherwise incurred in relation to the fund; 20 (c) all premiums payable in relation to contracts of insurance entered 21 into by the law society under section 148;51 22 (d) the expenses incurred in the administration of the fund; 23 (e) the amount of repayments for amounts given or advanced to the 24 fund by the law society under section 158;52 25 50 Section 158 (Law society may advance moneys from its general funds to fidelity fund) 51 Section 148 (Insurance) 52 Section 158 (Law society may advance moneys from its general funds to fidelity fund)

s 153 117 s 155 Legal Profession Bill 2004 (f) all unpaid charges on the fund, and liabilities of the fund, as 1 mentioned in section 183;53 2 (g) all other moneys payable out of the fund under this Act. 3 153 Audit of accounts 4 (1) This section applies in addition to the Financial Administration and 5 Audit Act 1977, section 73.54 6 (2) At least once a year, the auditor-general must audit the accounts of 7 the fidelity fund separately to the audit of the law society. 8 (3) However, the auditor-general may audit the accounts more often than 9 required under subsection (2). 10 (4) For an audit of the accounts of the fidelity fund, the auditor-general 11 may perform the functions and exercise the powers of the auditor-general 12 under the Financial Administration and Audit Act 1977, part 6. 13 154 Law society may delegate its powers in relation to the fidelity fund 14 to a committee of management 15 (1) This section applies if the law society establishes a committee of 16 management for the fidelity fund and delegates any or all of its powers in 17 relation to the fidelity fund to the committee of management. 18 (2) The committee must consist of not less than 3 nor more than 19 5 council members. 20 (3) The majority of members of the committee must be council 21 members. 22 155 Minister may require report about fund 23 (1) This section applies if, at any time, the Minister believes that the 24 fidelity fund is not sufficient to satisfy the liabilities of the fund at or about 25 that time. 26 53 Section 183 (Sufficiency of fidelity fund) 54 Financial Administration and Audit Act 1977, section 73 (Auditor-general to audit consolidated fund and public sector entities unless exempted)

s 156 118 s 157 Legal Profession Bill 2004 (2) The Minister may, by written notice to the council, require the law 1 society to give the Minister a written report about the fund on the matters 2 stated in the notice. 3 (3) The law society must comply with the requirement within 14 days 4 after receiving the notice or within the further time allowed by the 5 Minister. 6 156 Contribution to fidelity fund 7 (1) A person who applies to the law society for the grant or renewal of a 8 local practising certificate in relation to a financial year must pay a 9 contribution for the financial year to the fidelity fund under an 10 administration rule of the law society. 11 (2) A payment of a contribution under this section is in addition to all 12 other fees payable in relation to the application. 13 (3) Without limiting section 226,55 an administration rule of the law 14 society may provide for different contributions to be payable by different 15 classes of local legal practitioners. 16 (4) This section does not apply to-- 17 (a) a government legal officer whose local practising certificate is 18 subject to a condition that the officer is not to engage in legal 19 practice other than as a government legal officer engaged in 20 government work; or 21 (b) local legal practitioners of a particular class prescribed under a 22 regulation. 23 157 Levy for benefit of fidelity fund 24 (1) This section applies if, at a particular time, the law society believes 25 that the fidelity fund is not sufficient to satisfy the liabilities of the fidelity 26 fund at or about that time. 27 (2) The law society may, by resolution, impose on each local legal 28 practitioner who must pay a contribution under section 156 for the relevant 29 financial year, or local legal practitioners of a particular class, a levy of an 30 amount that the law society considers reasonable. 31 55 Section 226 (Rules other than legal professional rule)

s 158 119 s 159 Legal Profession Bill 2004 (3) Without limiting section 226,56 an administration rule of the law 1 society may provide for different levies to be payable by different classes 2 of local legal practitioners. 3 (4) The amount of the levy is payable into the fidelity fund by a date and 4 in a way stated in the resolution. 5 158 Law society may advance moneys from its general funds to fidelity 6 fund 7 The law society may, from its general funds, give or advance on terms as 8 the law society considers reasonable an amount for the fidelity fund. 9 Division 3--Defaults to which this part applies 10 159 Meaning of "relevant jurisdiction" 11 (1) The "relevant jurisdiction", for an associate of a law practice whose 12 act or omission, whether alone or with 1 or more other associates of the 13 practice, gives rise to a default of the practice, is the relevant jurisdiction 14 decided under this section. 15 (2) For a default involving trust money received in Australia, whether or 16 not it was paid into an Australian trust account, the relevant jurisdiction for 17 the associate is-- 18 (a) if the trust money was paid into an Australian trust account and 19 the associate, whether alone or with a co-signatory, was 20 authorised to withdraw any or all of the trust money from the 21 only or last Australian trust account in which the trust money was 22 held before the default--the jurisdiction under whose law that 23 trust account was kept; or 24 (b) otherwise--the associate's home jurisdiction. 25 (3) For a default involving trust money received outside Australia and 26 paid into an Australian trust account, the relevant jurisdiction for the 27 associate is-- 28 (a) if the associate, whether alone or with a co-signatory, was 29 authorised to withdraw any or all of the trust money from the 30 56 Section 226 (Rules other than legal professional rule)

s 160 120 s 161 Legal Profession Bill 2004 only or last Australian trust account in which the trust money was 1 held before the default--the jurisdiction under whose law that 2 trust account was kept; or 3 (b) otherwise--the associate's home jurisdiction. 4 (4) For a default involving trust property received in Australia, or 5 received outside Australia and brought into Australia, the relevant 6 jurisdiction for the associate is the associate's home jurisdiction. 7 8 Note-- 9 Section 18757 provides that the law society may treat the default as consisting of 2 or 10 more defaults for the purpose of deciding the liability of the fidelity fund. 160 Defaults to which this part applies 11 (1) This part applies to a default of a law practice arising from an act or 12 omission of 1 or more associates of the practice, if this jurisdiction is the 13 relevant jurisdiction for the only associate or 1 or more of the associates 14 involved. 15 (2) Each of the following is immaterial-- 16 (a) the jurisdiction where the default happened; 17 (b) that the act or omission giving rise to a default does not constitute 18 a crime or other offence under the law of this jurisdiction, the 19 Commonwealth or another jurisdiction; 20 (c) that a proceeding has not been started, or if started has not ended, 21 in relation to a crime or other offence of that kind. 22 161 Defaults relating to financial services or investments 23 (1) This part does not apply to a default of a law practice to the extent 24 that the default happens in relation to money or property that is entrusted to 25 the practice in connection with-- 26 (a) a financial service provided by the practice, or an associate of the 27 practice, in circumstances where the practice or associate-- 28 (i) is required to hold an Australian financial services licence 29 covering the provision of the service, whether or not an 30 57 Section 187 (Defaults involving interstate elements if committed by 1 associate only)

s 161 121 s 161 Legal Profession Bill 2004 Australian financial services licence is held at any relevant 1 time; or 2 (ii) provides the service as a representative of another person 3 who carries on a financial services business; or 4 (b) a managed investment scheme, or mortgage financing, 5 undertaken by the practice; or 6 (c) another purpose that is an investment purpose, whether on the 7 practice's own account or as agent. 8 (2) However, this part does apply to a default of a law practice if the 9 default happens in relation to money or property that was not placed with 10 the practice for investment purposes unless-- 11 (a) the money or property was entrusted to or held by the practice-- 12 (i) in the ordinary course of legal practice in relation to a 13 matter; and 14 (ii) primarily in connection with the provision of legal services 15 to or at the direction of the client for that matter; and 16 (b) the investment is or is to be made-- 17 (i) in the ordinary course of legal practice; and 18 (ii) for the ancillary purpose of maintaining or enhancing the 19 value of the money or property pending completion of the 20 matter or further stages of the matter or pending payment or 21 delivery of the money or property to or at the direction of 22 the client. 23 (3) In this section-- 24 "Australian financial services licence" has the same meaning as in the 25 Corporations Act, chapter 7.58 26 "financial service" has the same meaning as in the Corporations Act, 27 chapter 7. 28 "financial services business" has the same meaning as in the Corporations 29 Act, chapter 7. 30 "representative" has the same meaning as in the Corporations Act, 31 chapter 7. 32 58 Corporations Act, chapter 7 (Financial services and markets)

s 162 122 s 163 Legal Profession Bill 2004 Division 4--Claims about defaults 1 162 Claims about defaults 2 (1) A person who suffers pecuniary loss because of a default of a law 3 practice to which this part applies may make a claim against the fidelity 4 fund to the law society about the default. 5 (2) The claim must be made in the law society approved form. 6 (3) The law society may require the person who makes a claim to do 7 either or both of the following-- 8 (a) to give further information about the claim or any dispute to 9 which the claim relates; 10 (b) to verify the claim, or any further information, by statutory 11 declaration. 12 163 Time limit for making claims 13 (1) A claim does not lie against the fidelity fund unless the prospective 14 claimant notifies the law society of the default concerned-- 15 (a) within 6 months after the prospective claimant becomes aware of 16 the default; or 17 (b) within a further period allowed by the law society; or 18 (c) if, on appeal to the Supreme Court against the refusal of the law 19 society to allow a further period for the claim, the court allows a 20 further period for making the claim--within the period allowed 21 by the court. 22 (2) The Supreme Court or law society may allow a further period 23 mentioned in subsection (1) only if it is satisfied that-- 24 (a) it would be reasonable to do so after taking into account all 25 ascertained and contingent liabilities of the fidelity fund; and 26 (b) it would be appropriate to do so in the particular case having 27 regard to matters the Supreme Court or law society considers 28 relevant. 29

s 164 123 s 164 Legal Profession Bill 2004 (3) A claim may be made under section 16559 even though the claim does 1 not lie under subsection (1). 2 164 Advertisements 3 (1) If the law society considers that there has been, or may have been, a 4 default of a law practice, it may publish either or both of the following-- 5 (a) a notice that seeks information about the default; 6 (b) a notice that invites claims relating to the default and fixes a final 7 date after which claims relating to the default can not be made. 8 (2) The final date fixed by the notice must be a date that is-- 9 (a) at least 3 months after the date of the first or only publication of 10 the notice; and 11 (b) not more than 1 year after the date of that first or only 12 publication. 13 (3) The notice must be published-- 14 (a) in a newspaper circulating generally throughout Australia; and 15 (b) in a newspaper circulating generally in each jurisdiction where 16 the law society believes the law practice has an office or, at any 17 relevant time, had an office; and 18 (c) on the law society Internet site. 19 (4) The law society may provide information to persons making 20 inquiries in response to the notice. 21 (5) Apart from extending the period during which claims can be made 22 under this part, if relevant, publication of the notice under this section does 23 not confer any entitlements in relation to any claim, or the default to which 24 it relates, or provide any grounds affecting the decision of any claim. 25 (6) Neither the publication in good faith of the notice under this section, 26 nor the provision of information in good faith under this section, subjects a 27 protected person to any liability including liability in defamation. 28 (7) In this section-- 29 "protected person" means-- 30 59 Section 165 (Time limit for making claims following advertisement)

s 165 124 s 166 Legal Profession Bill 2004 (a) the law society or a council member; or 1 (b) the proprietor, editor or publisher of a newspaper; or 2 (c) an Internet service provider or Internet content host; or 3 (d) a person acting at the direction of a person or entity mentioned in 4 paragraph (a), (b) or (c). 5 165 Time limit for making claims following advertisement 6 (1) This section applies if the law society publishes a notice under 7 section 164 fixing a final date after which claims relating to a default of a 8 law practice can not be made. 9 (2) A claim may be made-- 10 (a) up to and including the final date fixed under the notice; or 11 (b) within a further period allowed by the law society; or 12 (c) if the Supreme Court allows a further period after the law society 13 refuses to do so--within the period allowed by the court. 14 (3) A claim may be made under subsection (2) even though it would have 15 been barred under section 16360 had the notice not been published. 16 (4) The Supreme Court or law society may allow a further period 17 mentioned in subsection (2) only if it is satisfied that-- 18 (a) it would be reasonable to do so after taking into account all 19 ascertained and contingent liabilities of the fidelity fund; and 20 (b) it would be appropriate to do so in the particular case having 21 regard to matters the Supreme Court or law society considers 22 relevant. 23 166 Claims not affected by certain matters 24 (1) A claim may be made about a law practice's default despite a change 25 in the status of the practice or the associate concerned after the happening 26 of the act or omission from which the default arose. 27 (2) A claim that has been made is not affected by a later change in the 28 status of the practice or associate. 29 60 Section 163 (Time limit for making claims)

s 167 125 s 168 Legal Profession Bill 2004 (3) For this section, a change in status includes-- 1 (a) for a partnership--a change in the membership or staffing of, or 2 the dissolution of, the partnership; and 3 (b) for an incorporated legal practice--a change in the directorship 4 or staffing of, or the winding up or dissolution of, the practice; 5 and 6 (c) for an associate who was an Australian legal practitioner--the 7 fact that the associate has ceased to practise or to hold an 8 Australian practising certificate; and 9 (d) for an associate who was an individual--the associate's death. 10 167 Investigation of claims 11 The law society may investigate a claim made to it in the same way it 12 may investigate a complaint. 13 Division 5--Deciding claims 14 168 Law society to decide claim 15 (1) The law society may decide a claim by entirely or partly allowing or 16 disallowing it. 17 (2) The law society may disallow a claim to the extent that the claim 18 does not relate to a default of a law practice for which the fidelity fund is 19 liable. 20 (3) The law society may entirely or partly disallow a claim, or reduce a 21 claim, to the extent that-- 22 (a) the claimant knowingly assisted in or contributed towards, or was 23 a party or accessory to, the act or omission giving rise to the 24 claim; or 25 (b) the conduct of the transaction with the law practice in relation to 26 which the claim is made was illegal, and the claimant knew or 27 ought reasonably to have known of that illegality; or 28 (c) proper and usual records were not brought into existence during 29 the conduct of the transaction, or were destroyed, and the 30

s 169 126 s 170 Legal Profession Bill 2004 claimant knew or ought reasonably to have known that records of 1 that kind would not be kept or would be destroyed; or 2 (d) the claimant has unreasonably refused to disclose information or 3 documents to or cooperate with-- 4 (i) the law society in the investigation of the claim; or 5 (ii) another entity in the investigation of the claim, including, 6 for example, an investigator or a police officer. 7 (4) Subsections (2) and (3) do not limit the law society's power to 8 disallow a claim on another ground. 9 (5) Without limiting subsection (2) or (3), the law society may reduce the 10 amount otherwise payable on a claim to the extent the law society 11 considers appropriate if satisfied that the claimant-- 12 (a) assisted in or contributed towards, or was a party or accessory to, 13 the act or omission giving rise to the claim; or 14 (b) unreasonably failed to mitigate losses arising from the act or 15 omission giving rise to the claim; or 16 (c) has unreasonably hindered the investigation of the claim. 17 (6) The law society must, in allowing a claim, specify the amount 18 payable. 19 169 Maximum amount allowable 20 (1) The amount payable in relation to a default of a law practice must not 21 be more than the pecuniary loss resulting from the default. 22 (2) This section does not apply to costs payable under section 170 or to 23 interest payable under section 171. 24 170 Costs 25 (1) If the law society entirely or partly allows a claim, it must order 26 payment of the claimant's reasonable legal costs involved in making and 27 proving the claim, unless the law society considers that special 28 circumstances exist warranting-- 29 (a) a reduction in the amount of costs; or 30 (b) a decision that no amount should be paid for costs. 31

s 171 127 s 172 Legal Profession Bill 2004 (2) If the law society entirely disallows a claim, the law society may 1 order payment of the whole or part of the claimant's reasonable legal costs 2 involved in making and attempting to prove the claim, if the law society 3 considers it is appropriate to make the order. 4 (3) The costs are payable from the fidelity fund. 5 171 Interest 6 (1) In deciding the amount of pecuniary loss resulting from a default of a 7 law practice, the law society is to add interest on the amount payable 8 (excluding interest), unless it considers that special circumstances exist 9 warranting-- 10 (a) a reduction in the amount of interest; or 11 (b) a decision that no amount should be paid by way of interest. 12 (2) The interest is to be calculated from the date on which the claim was 13 made to the date the law society notifies the claimant that the claim has 14 been allowed at the rate specified in or prescribed under a regulation. 15 (3) To the extent a regulation does not provide for a rate for 16 subsection (2), interest is to be calculated at the rate of 5% per year. 17 172 Reduction of claim because of other benefits 18 (1) A person is not entitled to recover from the fidelity fund any amount 19 equal to amounts, or to the value of other benefits, from other sources 20 relating to the pecuniary loss to which a claim relates-- 21 (a) that have already been paid to or received by the person; or 22 (b) that have already been decided and are payable to or receivable 23 by the person; or 24 (c) that the law society believes are likely to be paid to or received 25 by the person; or 26 (d) that the law society believes might, but for neglect or failure on 27 the person's part, have been paid or payable to or received or 28 receivable by the person. 29

s 173 128 s 173 Legal Profession Bill 2004 (2) The law society may, at its absolute discretion, pay to a person the 1 whole or part of an amount mentioned in subsection (1)(c) if satisfied that 2 payment is warranted to alleviate hardship, but nothing in this subsection 3 affects section 175.61 4 173 Subrogation 5 (1) On payment from the fidelity fund of a claim, the law society is 6 subrogated to the rights and remedies of the claimant against any person in 7 relation to the default to which the claim relates. 8 (2) Without limiting subsection (1), that subsection extends to a right or 9 remedy against-- 10 (a) the associate about whom the claim is made; or 11 (b) the person authorised to administer the estate of the associate 12 about whom the claim is made and who is deceased or an 13 insolvent under administration. 14 (3) Subsection (1) does not apply to a right or remedy against an 15 associate if, had the associate been a claimant in relation to the default, the 16 claim would not be disallowable, entirely or partly, on any of the grounds 17 set out in section 168(3).62 18 (4) The law society may exercise its rights and remedies under this 19 section in its own name or in the name of the claimant. 20 (5) If the law society brings a proceeding under this section in the name 21 of the claimant, it must indemnify the claimant against any costs awarded 22 against the claimant in the proceeding. 23 (6) The law society may exercise its rights and remedies under this 24 section even though any limitation periods under this part have expired. 25 (7) The law society must pay into the fidelity fund any money recovered 26 in exercising its rights and remedies under this section. 27 61 Section 175 (Repayment of surplus amount) 62 Section 168 (Law society to decide claim)

s 174 129 s 176 Legal Profession Bill 2004 174 Proceedings brought under right of subrogation 1 In any proceeding brought in a court under section 173-- 2 (a) evidence of any admission or confession by, or other evidence 3 that would be admissible against, an Australian legal practitioner 4 or other person in relation to an act or omission giving rise to a 5 claim is admissible to prove the act or omission despite the fact 6 that the practitioner or other person is not a defendant in, or a 7 party to, the proceeding; and 8 (b) any defence that would have been available to the practitioner or 9 other person is available to the law society. 10 175 Repayment of surplus amount 11 (1) This section applies if a claimant-- 12 (a) receives a payment from the fidelity fund relating to a claim for a 13 default of a law practice; and 14 (b) receives or recovers from another source or sources a payment on 15 account of the pecuniary loss in relation to the default; and 16 (c) there is a surplus after deducting the amount of the pecuniary 17 loss from the total amount received or recovered by the claimant 18 from both or all sources. 19 (2) The amount of the surplus is a debt payable by the claimant to the 20 fidelity fund. 21 (3) However, the amount payable by the claimant can not be more than 22 the amount the claimant received from the fidelity fund in relation to the 23 claim for the pecuniary loss. 24 176 Notification of delay in making decision 25 (1) If the law society considers that a claim is not likely to be decided 26 within 1 year after the claim was made, the law society must give written 27 notice to the claimant that the claim is not likely to be decided within 28 1 year after the claim was made. 29 (2) The notice must contain a brief statement of reasons for the delay. 30

s 177 130 s 178 Legal Profession Bill 2004 177 Notification of decision 1 After the law society makes a decision mentioned in this division in 2 relation to a claim, the law society must give the claimant an information 3 notice about the decision. 4 Division 6--Appeals 5 178 Appeal against decision on claim 6 (1) A claimant may appeal to the Supreme Court against either of the 7 following decisions of the law society but not a decision to limit the 8 amount payable, or to decline to pay an amount, made under the capping 9 and sufficiency provisions of this jurisdiction-- 10 (a) a decision to entirely or partly disallow a claim; 11 (b) a decision to reduce the amount allowed in relation to a claim. 12 (2) An appeal against a decision must be lodged within 30 days of 13 receiving the information notice about the decision. 14 (3) On an appeal under this section-- 15 (a) the appellant must establish that all or part of the amount sought 16 to be recovered from the fidelity fund is not reasonably available 17 from other sources, unless the law society waives that 18 requirement; and 19 (b) the court may, on application by the law society, stay the appeal 20 pending further action being taken to seek recovery of that 21 amount from other sources. 22 (4) The Supreme Court may review the merits of the law society's 23 decision. 24 (5) The Supreme Court may-- 25 (a) affirm the decision; or 26 (b) if satisfied there are reasons for varying or setting aside the law 27 society's decision-- 28 (i) vary the decision; or 29 (ii) set aside the decision and make a decision in substitution for 30 the decision set aside; or 31

s 179 131 s 179 Legal Profession Bill 2004 (iii) set aside the decision and remit the matter for 1 reconsideration by the law society under a direction or 2 recommendation of the court. 3 (6) For subsection (5), the Supreme Court may make other orders as it 4 considers appropriate. 5 (7) However, an order for costs is not to be made on an appeal under this 6 section unless the Supreme Court is satisfied that an order for costs should 7 be made in the interests of justice. 8 179 Appeal against failure to decide claim within 1 year 9 (1) A claimant may appeal to the Supreme Court against a failure of the 10 law society to decide a claim after 1 year after the claim was made. 11 (2) An appeal against a failure to decide a claim may be made at any time 12 after the period of 1 year after the claim was made and while the failure 13 continues. 14 (3) On an appeal under this section-- 15 (a) the appellant must establish that all or part of the amount sought 16 to be recovered from the fidelity fund is not reasonably available 17 from other sources, unless the law society waives that 18 requirement; and 19 (b) the Supreme Court may, on application by the law society, stay 20 the appeal pending further action being taken to seek recovery of 21 that amount from other sources. 22 (4) The Supreme Court may decide the appeal-- 23 (a) by giving directions to the law society to decide the matter 24 expeditiously and-- 25 (i) if the court is satisfied that there has been unreasonable 26 delay--ordering that interest be paid at a specified rate that 27 is higher than the rate applicable under section 171,63 until 28 further order or the decision for the claim; or 29 (ii) otherwise--ordering that, if delay continues in 30 circumstances of a specified kind, interest be paid for a 31 specified period at a specified rate that is higher than the rate 32 63 Section 171 (Interest)

s 180 132 s 182 Legal Profession Bill 2004 applicable under section 171, until further order or the 1 decision for the claim; or 2 (b) by deciding not to give a direction or make an order under 3 paragraph (a). 4 (5) An order for costs must not be made on an appeal under this section 5 unless the Supreme Court is satisfied that an order for costs should be made 6 in the interests of justice. 7 180 Proceedings on appeal 8 In any proceeding brought in a court under section 178-- 9 (a) evidence of any admission or confession by, or other evidence 10 that would be admissible against, an Australian legal practitioner 11 or other person in relation to an act or omission giving rise to a 12 claim is admissible to prove the act or omission despite the fact 13 that the practitioner or other person is not a defendant in, or a 14 party to, the proceeding; and 15 (b) any defence that would have been available to the practitioner or 16 other person is available to the law society. 17 Division 7--Payments from fidelity fund for defaults 18 181 Payments for defaults 19 (1) The fidelity fund is to be applied by the law society for compensating 20 claimants in relation to claims allowed under this part for defaults of law 21 practices to which this part applies. 22 (2) An amount payable from the fidelity fund in relation to a claim is 23 payable to-- 24 (a) the claimant; or 25 (b) another person at the claimant's direction. 26 182 Caps on payments 27 (1) A regulation may fix either or both of the following-- 28

s 183 133 s 183 Legal Profession Bill 2004 (a) the maximum amounts, or the method of calculating maximum 1 amounts, that may be paid from the fidelity fund for individual 2 claims or classes of individual claims; 3 (b) the maximum aggregate amount, or the method of calculating the 4 maximum aggregate amount, that may be paid from the fidelity 5 fund for all claims made in relation to individual law practices or 6 classes of law practices. 7 (2) Amounts must not be paid from the fidelity fund that are more than 8 the amounts fixed, or calculated by a method fixed, under subsection (1). 9 (3) Payments from the fidelity fund under subsection (2) are made in full 10 and final settlement of the claims concerned. 11 (4) Despite subsection (2), the law society may authorise payment of a 12 larger amount if satisfied that it would be reasonable to do so after taking 13 into account the position of the fidelity fund and the circumstances of the 14 particular case. 15 (5) No proceeding can be brought, by way of appeal or otherwise, to 16 require the payment of a larger amount or to require the law society to 17 consider payment of a larger amount. 18 183 Sufficiency of fidelity fund 19 (1) If the law society believes that the fidelity fund is likely to be 20 insufficient to meet the fund's ascertained and contingent liabilities, it may 21 do any or all of the following-- 22 (a) postpone all payments relating to all or any class of claims out of 23 the fund; 24 (b) impose a levy under section 157;64 25 (c) make partial payments of the amounts of 1 or more allowed 26 claims out of the fund with payment of the balance being a 27 charge on the fund; 28 (d) make partial payments of the amounts of 2 or more allowed 29 claims out of the fund on a pro rata basis, with payment of the 30 balance ceasing to be a liability of the fund. 31 (2) In deciding whether to do any or all of the things mentioned in 32 subsection (1), the law society-- 33 64 Section 157 (Levy for benefit of fidelity fund)

s 184 134 s 185 Legal Profession Bill 2004 (a) must have regard to cases of hardship if it knows relevant 1 information; and 2 (b) must endeavour to treat outstanding claims equally and equitably, 3 but may make special adjustments in cases of hardship. 4 (3) If the law society declares that a decision is made under 5 subsection (1)(d)-- 6 (a) the balance specified in the declaration ceases to be a liability of 7 the fidelity fund; and 8 (b) the law society may, but need not, revoke the declaration in 9 relation to either all or a specified part of the balance, and the 10 balance or that part of the balance again becomes a liability of 11 the fund. 12 (4) A decision of the law society made under this section is final and not 13 subject to appeal or review. 14 Division 8--Claims by law practices or associates 15 184 Claims by law practices or associates about defaults 16 (1) This section applies to a default of a law practice arising from an act 17 or omission of an associate of the practice. 18 (2) A claim may be made under section 16265 by-- 19 (a) the law practice, if the practice is an incorporated legal practice 20 and it suffers pecuniary loss because of the default; or 21 (b) another associate of the law practice, if the other associate suffers 22 pecuniary loss because of the default. 23 185 Claims by law practices or associates about notional defaults 24 (1) This section applies if a default of a law practice arising from an act 25 or omission of an associate of the practice was avoided, remedied or 26 reduced by a financial contribution made by the practice or by 1 or more 27 other associates. 28 65 Section 162 (Claims about defaults)

s 186 135 s 186 Legal Profession Bill 2004 (2) The default, to the extent that it was avoided, remedied or reduced, is 1 a "notional default". 2 (3) This part applies to a notional default in the same way as it applies to 3 other defaults of law practices, but only the law practice or the other 4 associate or associates concerned are eligible to make claims about the 5 notional default. 6 Division 9--Defaults involving interstate elements 7 186 Concerted interstate defaults 8 (1) The law society may treat a concerted interstate default as if the 9 default consisted of 2 or more separate defaults-- 10 (a) 1 of which is a default to which this part applies, if this 11 jurisdiction is the relevant jurisdiction for 1 or more of the 12 associates involved; and 13 (b) the other or others of which are defaults to which this part does 14 not apply, if another jurisdiction or jurisdictions are the relevant 15 jurisdictions for 1 or more of the associates involved. 16 (2) The law society may treat a claim about a concerted interstate default 17 as if the claim consisted of-- 18 (a) 1 or more claims made under this part; and 19 (b) 1 or more claims made under a corresponding law or laws. 20 (3) A claim about a concerted interstate default is to be assessed on the 21 basis that the fidelity funds of the relevant jurisdictions involved are to 22 contribute-- 23 (a) in equal shares in relation to the default, regardless of the number 24 of associates involved in each of those jurisdictions, and 25 disregarding the capping and sufficiency provisions of those 26 jurisdictions; or 27 (b) in other shares as agreed by the law society and the 28 corresponding authority or authorities involved. 29 (4) Subsection (3) does not affect the application of the capping and 30 sufficiency requirements of this jurisdiction in relation to the amount 31 payable from the fidelity fund after the claim has been assessed. 32

s 187 136 s 187 Legal Profession Bill 2004 187 Defaults involving interstate elements if committed by 1 associate 1 only 2 (1) This section applies to a default of a law practice that arises from an 3 act or omission that was committed by only 1 associate of the practice, if 4 the default involves more than 1 of the cases mentioned in section 159(2) 5 to (4).66 6 (2) The law society may treat the default to which this section applies as 7 if the default consisted of 2 or more separate defaults-- 8 (a) 1 of which is a default to which this part applies, if this 9 jurisdiction is the relevant jurisdiction; and 10 (b) the other or others of which are defaults to which this part does 11 not apply, if another jurisdiction or jurisdictions are the relevant 12 jurisdictions. 13 (3) The law society may treat a claim about the default to which this 14 section applies as if the claim consisted of-- 15 (a) 1 or more claims made under this part; and 16 (b) 1 or more claims made under a corresponding law or laws. 17 (4) A claim about a default to which this section applies is to be assessed 18 on the basis that the fidelity funds of the relevant jurisdictions involved are 19 to contribute-- 20 (a) in equal shares in relation to the default, and disregarding the 21 capping and sufficiency provisions of those jurisdictions; or 22 (b) in other shares as agreed by the law society and the 23 corresponding authority or authorities involved. 24 (5) Subsection (4) does not affect the application of the capping and 25 sufficiency requirements of this jurisdiction in relation to the amount 26 payable from the fidelity fund after the claim has been assessed. 27 66 Section 159 (Meaning of "relevant jurisdiction")

s 188 137 s 189 Legal Profession Bill 2004 Division 10--Inter-jurisdictional provisions 1 188 Protocols 2 (1) A regulation may authorise the law society to enter into arrangements 3 ("fidelity protocols") with corresponding authorities in relation to matters 4 to which this part relates. 5 (2) Without limiting subsection (1), a regulation may authorise the 6 making of a fidelity protocol that provides that the law society is taken to 7 have-- 8 (a) requested a corresponding authority to act as agent of the law 9 society in specified classes of cases; or 10 (b) agreed to act as agent of a corresponding authority in specified 11 classes of cases. 12 (3) A regulation may provide for the amendment, revocation or 13 replacement of a fidelity protocol. 14 (4) A fidelity protocol, or an amendment, revocation or replacement of a 15 fidelity protocol, has effect in this jurisdiction only to the extent it is 16 approved under a regulation. 17 189 Forwarding claims to corresponding authority in another 18 jurisdiction 19 (1) If a claim is made to the law society about a default of a law practice 20 that appears to be a default to which a corresponding law applies, the law 21 society must give the claim or a copy of it to a corresponding authority of 22 the jurisdiction concerned. 23 (2) If a claim is made to a corresponding authority about a default that 24 appears to be a default to which this part applies and the claim or a copy of 25 it is given under a corresponding law to the law society by the 26 corresponding authority, the claim is taken-- 27 (a) to have been made under this part; and 28 (b) to have been so made when the claim was received by the 29 corresponding authority. 30

s 190 138 s 192 Legal Profession Bill 2004 190 Investigation of defaults to which this part applies 1 (1) This section applies if a default of a law practice appears to be a 2 default to which this part applies and to have happened-- 3 (a) solely in another jurisdiction; or 4 (b) in more than 1 jurisdiction; or 5 (c) in circumstances in which it can not be decided precisely in 6 which jurisdiction the default happened. 7 (2) The law society may request a corresponding authority of another 8 jurisdiction, or corresponding authorities of other jurisdictions, to act as 9 agent or agents for the law society, for processing or investigating a claim 10 about the default or aspects of the claim. 11 191 Investigation of defaults to which a corresponding law applies 12 (1) This section applies if a default of a law practice appears to be a 13 default to which a corresponding law applies and to have-- 14 (a) happened solely in this jurisdiction; or 15 (b) happened in more than 1 jurisdiction including this jurisdiction; 16 or 17 (c) happened in circumstances in which it can not be decided 18 precisely in which jurisdiction the default happened. 19 (2) The law society may act as agent of a corresponding authority of 20 another jurisdiction, if requested to do so by the corresponding authority, 21 for the purpose of processing or investigating a claim about the default or 22 aspects of the claim. 23 (3) If the law society agrees to act as agent of a corresponding authority 24 under subsection (2), the law society may exercise any of its functions or 25 powers in relation to processing or investigating the claim or aspects of the 26 claim as if the claim had been made under this part. 27 192 Investigation of concerted interstate defaults 28 (1) This section applies if a concerted interstate default appears to have 29 happened. 30 (2) The law society may request a corresponding authority of another 31 jurisdiction, or corresponding authorities of other jurisdictions, to act as 32

s 193 139 s 194 Legal Profession Bill 2004 agent or agents for the law society, for processing or investigating a claim 1 about the default or aspects of the claim. 2 (3) The law society may act as agent of a corresponding authority of 3 another jurisdiction, if requested to do so by the corresponding authority, 4 for processing or investigating a claim about the default or aspects of the 5 claim. 6 (4) If the law society agrees to act as agent of a corresponding authority 7 under subsection (3), the law society may perform and exercise any of its 8 functions and powers in relation to processing or investigating the claim or 9 aspects of the claim as if the claim had been made entirely under this part. 10 193 Recommendations by law society to corresponding authority 11 If the law society is acting as agent of a corresponding authority in 12 relation to a claim made under a corresponding law, the law society may 13 make recommendations about the decision that the corresponding authority 14 might make about the claim. 15 194 Recommendations to and decisions by law society after receiving 16 recommendations from corresponding authority 17 (1) If a corresponding authority makes recommendations about the 18 decision the law society might make about a claim in relation to which the 19 corresponding authority was acting as agent of the law society, the law 20 society may-- 21 (a) make its decision about the claim in conformity with the 22 recommendations, whether with or without further consideration, 23 investigation or inquiry; or 24 (b) disregard the recommendations. 25 (2) A corresponding authority can not, as agent of the law society, make 26 a decision about the claim under division 5.67 27 67 Division 5 (Deciding claims)

s 195 140 s 197 Legal Profession Bill 2004 195 Request to another jurisdiction to investigate aspects of claim 1 (1) The law society may request a corresponding authority to arrange for 2 the investigation of any aspect of a claim being dealt with by the law 3 society and to provide a report on the result of the investigation. 4 (2) A report on the result of the investigation received from either of the 5 following may be used and taken into consideration by the law society in 6 the course of dealing with the claim under this part-- 7 (a) the corresponding authority; 8 (b) a person or entity authorised, under a corresponding law, by the 9 corresponding authority to conduct the investigation. 10 196 Request from another jurisdiction to investigate aspects of claim 11 (1) If a request, made under a corresponding law, is received by the law 12 society from a corresponding authority to arrange for the investigation of 13 any aspect of a claim being dealt with under a corresponding law, the law 14 society may conduct the investigation. 15 (2) The provisions of this part relating to the investigation of a claim 16 apply, with any necessary changes, in relation to the investigation of the 17 relevant aspect of the claim that is the subject of the request. 18 (3) The law society must provide a report on the result of the 19 investigation to the corresponding authority. 20 197 Cooperation with other authorities 21 (1) When dealing with a claim under this part involving an Australian 22 legal practitioner, the law society may consult and cooperate with an entity 23 that has functions or powers under the corresponding law of another 24 jurisdiction in relation to the practitioner. 25 (2) For subsection (1), the law society and the entity may exchange 26 information concerning the claim. 27

s 198 141 s 199 Legal Profession Bill 2004 Division 11--Miscellaneous 1 198 Interstate legal practitioner becoming authorised to withdraw 2 from local trust account 3 (1) This section applies to an interstate legal practitioner who, whether 4 alone or with a co-signatory, becomes authorised to withdraw money from 5 a local trust account. 6 (2) A regulation may do either or both of the following-- 7 (a) require the practitioner to notify the law society of the 8 authorisation; 9 (b) require the practitioner to make contributions and levies to the 10 fidelity fund as if the practitioner were a local legal practitioner, 11 including the way a contribution or levy is to be paid. 12 (3) Without limiting subsection (2), a regulation may provide for 13 deciding the way in which the notice is to be given and the information or 14 material that is to be included in or to accompany the notice. 15 (4) A contravention of a requirement under this section is capable of 16 constituting unsatisfactory professional conduct or professional 17 misconduct. 18 199 Application of part to incorporated legal practices 19 (1) A regulation may provide that specified provisions of this part, and 20 other provisions of this Act, do not apply to incorporated legal practices or 21 apply with specified changes. 22 (2) For the application to an incorporated legal practice of the provisions 23 of this part and other provisions of this Act, a reference in those provisions 24 to a default of a law practice extends to a default of an incorporated legal 25 practice, but only if it happens in connection with the provision of legal 26 services. 27 (3) Nothing in this section affects any obligation of an Australian legal 28 practitioner who is an officer or employee of an incorporated legal practice 29 to comply with this Act. 30 (4) An incorporated legal practice is required to make payments to or on 31 account of the fidelity fund under this Act as if it were an Australian lawyer 32 applying for or holding a local practising certificate from the law society. 33

s 200 142 s 201 Legal Profession Bill 2004 (5) The incorporated legal practice must not engage in legal practice in 1 this jurisdiction if any payment is not made by the due date and while the 2 practice remains in default of subsection (4). 3 (6) The law society may suspend the local practising certificate of a legal 4 practitioner director of the practice if any payment is not made by the due 5 date. 6 (7) The amounts payable to the fidelity fund by an incorporated legal 7 practice may be decided by reference to the total number of Australian 8 legal practitioners employed by the practice and other relevant matters. 9 200 Application of part to multi-disciplinary partnerships 10 (1) A regulation may provide that specified provisions of this part, and 11 other provisions of this Act, do not apply to multi-disciplinary partnerships 12 or apply with specified changes. 13 (2) For the application to a multi-disciplinary partnership of the 14 provisions of this part and other provisions of this Act, a reference in those 15 provisions to a default of a law practice extends to a default of a 16 multi-disciplinary partnership, or a partner or employee of a 17 multi-disciplinary partnership, whether or not any person involved is an 18 Australian legal practitioner, but only if it happens in connection with the 19 provision of legal services. 20 (3) Nothing in this section affects any obligation of an Australian legal 21 practitioner who is a partner or employee of a multi-disciplinary 22 partnership to comply with this Act. 23 (4) The amounts payable to the fidelity fund by the legal practitioner 24 partners of a multi-disciplinary partnership may be decided by reference to 25 the total number of Australian legal practitioners employed by the 26 partnership and other relevant matters. 27 201 Application of part to Australian lawyers whose practising 28 certificates have lapsed 29 (1) This section applies if an Australian lawyer is not an Australian legal 30 practitioner because his or her Australian practising certificate has lapsed, 31 but does not apply where-- 32 (a) the certificate has been suspended or cancelled under this Act or 33 a corresponding law; or 34

s 202 143 s 202 Legal Profession Bill 2004 (b) the lawyer's application for the grant or renewal of an Australian 1 practising certificate has been refused under this Act or a 2 corresponding law and the lawyer would be an Australian legal 3 practitioner had it been granted. 4 (2) For other provisions of this part, the practising certificate is taken not 5 to have lapsed, and accordingly the lawyer is taken to continue to be an 6 Australian legal practitioner. 7 (3) Subsection (2) ceases to apply whenever the first of the following 8 happens-- 9 (a) the end of 6 months after the practising certificate actually 10 lapses; 11 (b) the lawyer's application for the grant or renewal of an Australian 12 practising certificate is refused under this Act or a corresponding 13 law. 14 PART 8--FINANCIAL ARRANGEMENTS FOR THOSE 15 WHO MAY ENGAGE IN LEGAL PRACTICE IN THIS 16 JURISDICTION 17 Division 1--Preliminary 18 202 Main purposes of ch 2, pt 8 19 The main purposes of this part are as follows-- 20 (a) to provide for the making of a regulation requiring particular 21 solicitors to deposit amounts into prescribed accounts; 22 (b) to allow the chief executive to enter into agreements with 23 financial institutions, with whom solicitors have deposited 24 amounts under a regulation, for the payment of interest on the 25 trust accounts; 26 (c) to establish the Legal Practitioner Interest on Trust Accounts 27 Fund into which amounts received as interest must be paid; 28

s 203 144 s 205 Legal Profession Bill 2004 (d) to ensure the interest paid into the fund, and other moneys 1 received for the fund, do not become part of the consolidated 2 fund; 3 (e) to provide for persons to whom or purposes for which amounts 4 may be paid from the fund. 5 203 Definitions for ch 2, pt 8 6 In this part-- 7 "fund" means the Legal Practitioner Interest on Trust Accounts Fund 8 established under section 208.68 9 "prescribed account" means an account prescribed under a regulation as 10 an account into which a solicitor must deposit moneys. 11 "solicitor" means a solicitor to whom the Trust Accounts Act 1973 applies. 12 "trust account" means a trust account kept by a solicitor under the Trust 13 Accounts Act 1973. 14 204 Relationship with other laws 15 The Trust Accounts Act 1973 provides for the audit of solicitors' trust 16 accounts. 17 Division 2--Prescribed accounts 18 205 Regulation for prescribed account 19 (1) A regulation may make provision for, and for matters relating to, 20 prescribed accounts. 21 (2) Without limiting subsection (1), the regulation may prescribe as 22 follows-- 23 (a) a solicitor to whom the regulation applies must deposit an 24 amount into a prescribed account; 25 (b) the way to work out an amount mentioned in paragraph (a), 26 including, for example, on the basis of the minimum amount held 27 68 Section 208 (Establishment of fund)

s 206 145 s 208 Legal Profession Bill 2004 by a solicitor in the solicitor's trust account for a calendar month 1 or year; 2 (c) the way in which amounts may be paid to a solicitor from a 3 prescribed account; 4 (d) the way in which the law society may supervise compliance with 5 the regulation. 6 (3) If a solicitor contravenes a regulation as mentioned in 7 subsection (2)(a), it is capable of constituting unsatisfactory professional 8 conduct or professional misconduct. 9 206 Deposits to prescribed account 10 (1) No action at law or in equity may lie against any solicitor relating to 11 a matter or thing done by the solicitor for complying with a regulation as 12 mentioned in section 205 that applied to the solicitor. 13 (2) However, this section does not affect in any way the rights and 14 remedies of a claimant against the solicitor in the event of negligence or 15 dishonesty of the solicitor in relation to trust money. 16 Division 3--Interest on trust accounts paid to department 17 207 Arrangement with financial institution 18 The chief executive may enter into an arrangement with a financial 19 institution about the financial institution paying interest to the department 20 on-- 21 (a) prescribed accounts; and 22 (b) trust accounts kept by solicitors. 23 Division 4--Legal Practitioner Interest on Trust Accounts Fund 24 208 Establishment of fund 25 (1) The Legal Practitioner Interest on Trust Accounts Fund is 26 established. 27

s 209 146 s 209 Legal Profession Bill 2004 (2) Accounts for the fund must be kept as part of the departmental 1 accounts of the department. 2 (3) Amounts received for the fund must be deposited in a departmental 3 financial-institution account of the department used only for amounts 4 received for the fund. 5 (4) Amounts received for the fund include-- 6 (a) all interest payable to the department under an arrangement 7 entered into under section 207; and 8 (b) other amounts payable for the fund under an Act. 9 (5) For the Financial Administration and Audit Act 1977, the amounts 10 received for the fund are not received or held for the State. 11 12 Note-- 13 The amounts are other moneys under the Financial Administration and Audit Act 1977. (6) An amount is payable from the fund only under section 209. 14 (7) In this section-- 15 "departmental accounts", of a department, means the accounts of the 16 department kept under the Financial Administration and Audit 17 Act 1977, section 12.69 18 "departmental financial-institution account", of a department, means an 19 account of the department kept under the Financial Administration 20 and Audit Act 1977, section 18.70 21 209 Payments from fund 22 (1) The chief executive may make payments from the fund to or for any 23 of the following-- 24 (a) Legal Aid Queensland; 25 (b) the fidelity fund; 26 (c) the Supreme Court Library; 27 (d) the commissioner; 28 69 Financial Administration and Audit Act 1977, section 12 (Departmental accounts) 70 Financial Administration and Audit Act 1977, section 18 (Departmental financial-institution accounts)

s 210 147 s 210 Legal Profession Bill 2004 (e) a disciplinary body; 1 (f) the board; 2 (g) part of the cost of the regulatory functions of the law society or 3 bar association; 4 (h) grants approved by the Minister for any of the following 5 purposes-- 6 (i) the advancement of law reform; 7 (ii) the collection, assessment and dissemination of information 8 concerning legal education, the law, the legal system, law 9 reform, the legal profession and legal services; 10 (iii) facilitating access to the legal system, legal information and 11 education and legal services for members of the community, 12 particularly economically or socially disadvantaged 13 members of the community; 14 (i) the department for the cost of administering this part and for 15 liabilities of the department attributable to the costs and expenses 16 relating to the fund before or after the commencement of this 17 section. 18 (2) Also, the chief executive may make payments from the fund for a 19 grant or matter mentioned in the following if the law society incurred a 20 liability for the grant or matter before the commencement of this section-- 21 (a) a grant approved under the Queensland Law Society Act 1952, 22 section 36N; 23 (b) a matter approved by the Minister under section 36E(b)(iii) of 24 that Act.71 25 (3) The chief executive must not make a payment under subsection (1) 26 or (2) unless the Minister has decided the amount may be paid and has 27 given written authority to the chief executive to pay the amount. 28 210 Minister to decide distribution 29 (1) The Minister must decide-- 30 (a) whether a payment is to be made under section 209; and 31 71 Queensland Law Society Act 1952, section 36N (Functions of grants committee) and section 36E (Distributions from contribution fund)

s 211 148 s 212 Legal Profession Bill 2004 (b) if the Minister decides a payment is to be made, the amount of 1 the payment and any conditions applicable to the payment. 2 (2) For subsection (1), the chief executive must make recommendations 3 to the Minister. 4 (3) The amount used for each of the following must not be more than the 5 amount prescribed for it under a regulation for this subsection-- 6 (a) the fidelity fund as mentioned in section 209(1)(b); 7 (b) grants approved by the Minister as mentioned in 8 section 209(1)(h). 9 211 Submission of budgets 10 (1) To help the Minister in making decisions under section 210, the chief 11 executive may ask a potential beneficiary to prepare and submit a budget to 12 the chief executive, for the period the chief executive directs, concerning 13 the income and expenditure of the potential beneficiary, including 14 projected income and expenditure. 15 (2) The budget is to include the information the chief executive directs. 16 (3) In particular, the chief executive may require the provision of 17 information about the administration of the potential beneficiary. 18 (4) In this section-- 19 "potential beneficiary", of a payment, means the entity to which or in 20 relation to which a payment would be paid for a purpose mentioned in 21 section 209(1). 22 PART 9--RULES ABOUT THOSE WHO MAY ENGAGE 23 IN LEGAL PRACTICE IN THIS JURISDICTION 24 Division 1--Preliminary 25 212 Main purposes of ch 2, pt 9 26 The main purposes of this part are as follows-- 27

s 213 149 s 215 Legal Profession Bill 2004 (a) to promote the maintenance of high standards of professional 1 conduct by providing for legal profession rules to regulate 2 persons who may engage in legal practice, or the practice of 3 foreign law, in this jurisdiction; 4 (b) to allow each regulatory authority to provide for administrative 5 matters by providing for administration rules. 6 213 Power to make rules not limited to specific references to provision 7 in other chapters or parts 8 (1) The power to make a legal profession rule or an administration rule is 9 not limited to matters for which this Act specifically authorises the making 10 of a legal profession rule or an administration rule. 11 (2) However, the power to make the rule may be limited by an express 12 provision of this part limiting the power. 13 214 Definition for ch 2, pt 9 14 In this part-- 15 "legal profession rule" means-- 16 (a) a solicitors rule; or 17 (b) a barristers rule; or 18 (c) an incorporated legal practice rule. 19 Division 2--Legal profession rules 20 215 Rules to be made by Governor in Council 21 (1) The Governor in Council may make the following-- 22 (a) a rule under this Act (a "solicitors rule") for any aspect of legal 23 practice, including standards of conduct expected of persons who 24 engage or intend to engage-- 25 (i) in legal practice in this jurisdiction as a solicitor; or 26 (ii) in legal practice in this jurisdiction as a multi-disciplinary 27 partnership; or 28

s 216 150 s 217 Legal Profession Bill 2004 (iii) in the practice in this jurisdiction of foreign law as an 1 Australian-registered foreign lawyer; 2 (b) a rule under this Act for any aspect of legal practice, including 3 standards of conduct expected of persons who engage, or intend 4 to engage, in legal practice as a barrister in this jurisdiction (a 5 "barristers rule"); 6 (c) a rule under this Act for any aspect of legal practice, including 7 standards of conduct expected of incorporated legal practices, 8 legal practitioner directors of the practices and employees of the 9 practices who are Australian legal practitioners engaged in 10 providing legal services for the practices (an "incorporated 11 legal practice rule"). 12 (2) A legal profession rule may be made in relation to a matter that may 13 be the subject of an administration rule or a society rule. 14 216 Rule may apply to persons generally or by using a defined term 15 involving a legal title 16 (1) A solicitors rule or barristers rule may apply to a person generally or 17 by reference to whether the person is any of the following-- 18 (a) a local legal practitioner, interstate legal practitioner or 19 Australian legal practitioner; 20 (b) a local lawyer, interstate lawyer or Australian lawyer. 21 (2) An incorporated legal practice rule may apply to an incorporated 22 legal practice, a legal practitioner director of the practice or an employee of 23 the practice who is an Australian legal practitioner engaged in providing 24 legal services for the practice. 25 (3) Only a solicitors rule may apply to multi-disciplinary partnerships or 26 Australian-registered foreign lawyers except as mentioned in section 217. 27 217 Particular provision about barristers rule 28 A barristers rule may provide for a barrister to be prohibited from any or 29 all of the following-- 30 (a) engaging in legal practice-- 31 (i) otherwise than as a sole practitioner; or 32 (ii) in partnership with any person; or 33

s 218 151 s 220 Legal Profession Bill 2004 (iii) as the employee of an entity; 1 (b) holding office as a legal practitioner director of an incorporated 2 legal practice. 3 218 Solicitors rule or barristers rule may apply to government legal 4 officer 5 A solicitors rule and barristers rule may provide that a rule applies to a 6 government legal officer. 7 219 Incorporated legal practice rule can not provide for particular 8 matters 9 An incorporated legal practice rule can not-- 10 (a) regulate any services that an incorporated legal practice may 11 provide or regulate conduct, other than services or conduct in 12 connection with-- 13 (i) the provision of legal services; or 14 (ii) other services in circumstances where a conflict of interest 15 relating to the provision of legal services may arise; or 16 (b) regulate the conduct of officers or employees of an incorporated 17 legal practice, other than conduct in connection with-- 18 (i) the provision of legal services; or 19 (ii) other services in circumstances where a conflict of interest 20 relating to the provision of legal services may arise. 21 220 Recommendations to the Minister about legal profession rules 22 (1) The law society may make a recommendation to the Minister in 23 relation to-- 24 (a) a solicitors rule; and 25 (b) an incorporated legal practice rule. 26 (2) The bar association may make a recommendation to the Minister in 27 relation to a barristers rule. 28

s 221 152 s 222 Legal Profession Bill 2004 (3) Without limiting subsection (1)(b), the law society's 1 recommendation about an incorporated legal practice rule may provide for 2 the following-- 3 (a) matters that relate to the provision of legal services by or in 4 connection with an incorporated legal practice; 5 (b) professional obligations relating to legal services provided by or 6 in connection with an incorporated legal practice; 7 (c) the provision of other services by an incorporated legal practice 8 in circumstances in which a conflict of interest relating to the 9 provision of legal services may arise. 10 221 Monitoring role of committee 11 (1) The committee may make a recommendation to the Minister in 12 relation to any legal profession rule. 13 14 Note-- 15 The committee is the Legal Practice Committee established under section 451. (2) For subsection (1), the committee is-- 16 (a) to monitor the adequacy of each legal profession rule; and 17 (b) to consider any particular matter about which the Minister asks 18 the committee to make a recommendation for a legal profession 19 rule. 20 222 Public notice of proposed legal profession rule 21 (1) A regulatory authority that proposes to make a recommendation 22 about a legal profession rule must ensure that a notice is published in a 23 daily newspaper circulating in this jurisdiction-- 24 (a) explaining the object of the proposed rule; and 25 (b) advising where or how a copy of the proposed rule may be 26 accessed, obtained or inspected; and 27 (c) inviting comments and submissions within a stated period of not 28 less than 21 days from the date of first publication of the notice. 29 (2) The regulatory authority must ensure that a copy of the proposed rule 30 is given to the Minister before the notice is published. 31

s 223 153 s 225 Legal Profession Bill 2004 (3) The regulatory authority must not make a recommendation about the 1 rule before the end of the period stated in the notice for making comments 2 and submissions and must ensure that any comments and submissions 3 received within that period are appropriately considered. 4 (4) Subsections (1) to (3) do not apply to a proposed rule that the 5 Minister considers does not warrant publication because of its urgent 6 nature or its minor or technical nature. 7 223 Binding nature of each legal profession rule 8 (1) Each provision of a legal profession rule is binding on a person to 9 whom the provision applies. 10 (2) Failure to comply with the provision of the legal profession rule by a 11 person to whom the provision applies-- 12 (a) is capable of constituting unsatisfactory professional conduct or 13 professional misconduct; but 14 (b) is not a breach of this Act unless a provision of this Act otherwise 15 provides. 16 224 Relationship of legal profession rule to this Act and regulation 17 (1) A regulation may be made in relation to any matter for which a legal 18 profession rule may be made. 19 (2) A provision of a legal profession rule does not have effect to the 20 extent that it is inconsistent with this Act or a regulation. 21 225 Relationship of legal profession rule and administration rule 22 (1) A legal profession rule may identify a provision of an administration 23 rule as a provision that the holder of a practising certificate, granted or 24 renewed by the regulatory authority that made the administration rule, must 25 comply with. 26 (2) If a provision of an administration rule is identified as mentioned in 27 subsection (1), a contravention of the provision is capable of constituting 28 unsatisfactory professional conduct or professional misconduct. 29

s 226 154 s 226 Legal Profession Bill 2004 Division 3--Administration rules 1 226 Rules other than legal profession rule 2 (1) To the extent a regulatory authority does not have power under 3 another Act or otherwise to make rules for a matter mentioned in 4 subsection (2) and another Act does not prevent a rule being made about 5 the matter, the regulatory authority may make a rule about the matter that 6 applies to-- 7 (a) Australian legal practitioners, including interstate legal 8 practitioners practising in this jurisdiction; and 9 (b) if the regulatory authority is the law society--an incorporated 10 legal practice or Australian-registered foreign lawyers. 11 (2) The matters about which a regulatory authority may make rules are 12 as follows-- 13 (a) types of practising certificates that the regulatory authority may 14 grant or renew, including, for example, practising certificates for 15 supervised legal practice or unsupervised legal practice by 16 solicitors; 17 (b) the courses of study that an Australian lawyer is required to 18 complete for the following-- 19 (i) for the grant of a practising certificate by the law society for 20 unsupervised legal practice; 21 (ii) for the grant of a practising certificate by the bar association 22 for practice as a barrister; 23 (c) matters relating to the courses of study mentioned in 24 paragraph (b) including enrolment procedures, fees payable, 25 minimum course attendance requirements, examinations, 26 assessments and procedures for the review of assessments and 27 appeals against assessments; 28 (d) exempting a person who applies for a practising certificate from 29 the requirement to have completed a course of study mentioned 30 in paragraph (b) given the length and nature of the person's 31 experience in unsupervised practice or practice as a barrister; 32 (e) the legal practice by a person that may constitute supervised legal 33 practice, having regard to-- 34

s 226 155 s 226 Legal Profession Bill 2004 (i) the length and nature of the legal practice engaged in by the 1 person; and 2 (ii) the length and nature of the legal practice engaged in by the 3 person, if any, who supervised the person's legal practice; 4 (f) approved forms to be used for an application to the regulatory 5 authority and the way an approved form is to be given to the 6 authority, including the time for giving the form to it; 7 (g) the payment of fees, levies and contributions authorised under 8 the administration rules, including the timing of those payments 9 and the way of making those payments; 10 (h) matters relating to other matters that may be approved by the 11 regulatory authority under this Act; 12 (i) matters relating to indemnity against loss arising from claims in 13 relation to every description of civil liability incurred by a local 14 legal practitioner or former local legal practitioner, including a 15 person who was a solicitor at any time before the commencement 16 of this section, in connection with practitioner's practice or in 17 connection with any trust of which the practitioner was a trustee. 18 (3) A rule about a matter mentioned in subsection (2) is an 19 "administration rule", whether or not the rule is made-- 20 (a) under this section; or 21 (b) if the regulatory authority has power under another Act or 22 otherwise to make the rule for the matter--under that other Act 23 or otherwise. 24 (4) An administration rule about a matter mentioned in subsection (2)(i) 25 is an "indemnity rule". 26 (5) This division does not affect a regulatory authority's power under 27 another Act or otherwise to make a rule but a rule made under another Act 28 or otherwise that is an administration rule is taken to be made under this 29 Act. 30 31 Example for subsection (5)-- 32 If a provision of this Act provides that the right to engage in legal practice is subject to 33 provisions under this Act, the right of practice is subject to a relevant administration 34 rule.

s 227 156 s 227 Legal Profession Bill 2004 227 Indemnity rule 1 (1) An indemnity rule-- 2 (a) may authorise or require the regulatory authority to establish and 3 maintain a fund or funds; or 4 (b) may authorise or require the regulatory authority to take out and 5 keep insurance with insurers carrying on insurance business and 6 approved by the authority for the purposes of the insurance; or 7 (c) may require local legal practitioners holding practising 8 certificates granted or renewed by the authority, or a class of 9 certificate holders, to take out and keep insurance with insurers 10 carrying on insurance business and approved by the authority for 11 the purposes of the insurance. 12 (2) An indemnity rule-- 13 (a) may specify the terms and conditions on which indemnity is to 14 be available and any circumstances in which the right to 15 indemnity is to be excluded or modified; and 16 (b) may provide for the management, administration and protection 17 of any fund established and maintained under the indemnity rule, 18 and require certificate holders of practising certificates granted or 19 renewed by the authority, or a class of certificate holders, to make 20 payments to a fund; and 21 (c) may require certificate holders of practising certificates granted 22 or renewed by the authority, or a class of certificate holders, to 23 make payments by way of premium on any insurance policy 24 taken out and maintained by the authority under the indemnity 25 rule; and 26 (d) may require a local legal practitioner to disclose information 27 about professional indemnity insurance to clients or prospective 28 clients; and 29 (e) may prescribe terms and conditions with which an insurance 30 policy, required by the indemnity rule made for the purposes of 31 subsection (1)(c), must comply; and 32 (f) may authorise the authority to decide the amount of a payment 33 required by the indemnity rule, subject to limits or under the rule; 34 and 35 (g) may authorise the authority or insurer to take a proceeding 36 against a certificate holder or former certificate holder for 37

s 228 157 s 229 Legal Profession Bill 2004 amounts paid by way of indemnity in connection with a matter in 1 relation to which he or she has failed to comply with the 2 indemnity rule, and may specify circumstances in which the 3 proceeding may be taken; and 4 (h) may empower the regulatory authority to take steps as it 5 considers necessary or expedient to find out whether or not the 6 indemnity rule is being complied with. 7 (3) This section does not limit section 226(2)(i). 8 228 Relationship of administration rule to this Act and regulation 9 (1) A regulation may be made in relation to any matter mentioned in 10 section 226(2) for which an administration rule may be made. 11 (2) A provision of a regulatory authority's administration rule does not 12 have effect to the extent that it is inconsistent with this Act, a regulation or 13 a legal profession rule relevant to the authority. 14 (3) Despite another Act, an administration rule can not provide that 15 contravention of the rule-- 16 (a) is an offence; or 17 (b) is capable of constituting unsatisfactory professional conduct or 18 professional misconduct. 19 20 Note-- 21 Under the Statutory Instruments Act 1992, section 2372 a regulation may apply, adopt or 22 incorporate an administration rule. 229 Availability of an administration rule 23 A regulatory authority must ensure that an up-to-date version of each 24 administration rule is available for public inspection-- 25 (a) at the authority's principal place of business; and 26 (b) on the authority's Internet site or an Internet site identified on the 27 authority's Internet site. 28 72 Statutory Instruments Act 1992, section 23 (Statutory instrument may make provision by applying another document)

s 230 158 s 232 Legal Profession Bill 2004 PART 10--INTER-JURISDICTIONAL PROVISIONS 1 REGARDING ADMISSION AND PRACTISING 2 CERTIFICATES 3 Division 1--Preliminary 4 230 Main purpose of ch 2, pt 10 5 The main purpose of this part is to provide for the notification of and 6 response to action taken by courts and other regulatory authorities in 7 relation to the admission of persons to the legal profession and their right to 8 engage in legal practice in Australia. 9 231 Relationship of this part with ch 3 10 This part does not affect a function or power under chapter 3.73 11 Division 2--Notifications to be given to interstate authorities 12 232 Notification to other jurisdictions about application for admission 13 (1) This section applies to each application for admission. 14 (2) The board may give the corresponding authority of another 15 jurisdiction written notice of any of the following to the extent that it is 16 relevant to the corresponding authority's functions or powers-- 17 (a) the making of the application; 18 (b) the board's recommendation under section 3374 in relation to the 19 application; 20 (c) the withdrawal of the application after an investigation or inquiry 21 is made or started, or a suitability report is sought or obtained, in 22 relation to the application or the applicant; 23 (d) the refusal of the Supreme Court to admit the applicant as a legal 24 practitioner under this Act. 25 73 Chapter 3 (Complaints, investigation matters and discipline) 74 Section 33 (Role of the board relating to application for admission)

s 233 159 s 234 Legal Profession Bill 2004 (3) The notice must state the applicant's name and address as last known 1 to the board and may contain other relevant information. 2 233 Notification to other jurisdictions about removal from local roll 3 (1) This section applies if a local lawyer's name is removed from the 4 local roll, except if the removal happens under section 238.75 5 (2) The Brisbane registrar must give the corresponding authority of each 6 other jurisdiction, and the registrar or other proper officer of the High Court 7 of Australia, written notice of the removal. 8 (3) The notice must state the following-- 9 (a) the lawyer's name and address as last known to the Brisbane 10 registrar; 11 (b) the date the lawyer's name was removed from the roll; 12 (c) the reason for removing the lawyer's name; 13 (d) other information prescribed under a regulation for this section. 14 234 Law society and bar association to notify other jurisdictions about 15 actions by it 16 (1) Subsection (2) applies if-- 17 (a) a regulatory authority takes any of the following actions in 18 relation to an Australian lawyer-- 19 (i) a refusal to grant or renew a local practising certificate for 20 the lawyer; 21 (ii) a cancellation or suspension of the lawyer's local practising 22 certificate; or 23 (b) the lawyer successfully appeals against the taking of an action 24 mentioned in paragraph (a). 25 (2) The regulatory authority must give the regulatory authorities of other 26 jurisdictions written notice of the action taken or the result of the appeal. 27 75 Section 238 (Peremptory removal of local lawyer's name from local roll following removal in another jurisdiction)

s 235 160 s 236 Legal Profession Bill 2004 (3) The notice must state each of the following-- 1 (a) the lawyer's name and address as last known to the regulatory 2 authority for this jurisdiction; 3 (b) particulars of-- 4 (i) the action taken and the reasons for it; or 5 (ii) the result of the appeal; 6 (c) other relevant information that the authority considers should be 7 included in the notice. 8 (4) The regulatory authority may give the regulatory authorities of other 9 jurisdictions written notice of a condition imposed on an Australian 10 lawyer's local practising certificate. 11 Division 3--Notifications to be given by lawyers to local authorities 12 235 Lawyer to give notice of removal in another jurisdiction 13 (1) If a local lawyer's name has been removed from an interstate roll, the 14 lawyer must give the Brisbane registrar written notice of the removal. 15 Maximum penalty--100 penalty units. 16 (2) If a local legal practitioner's name has been removed from an 17 interstate roll, the practitioner must give the relevant regulatory authority 18 written notice of the removal. 19 Maximum penalty--100 penalty units. 20 (3) This section does not apply if the name has been removed from an 21 interstate roll under a corresponding law to section 238. 22 236 Lawyer to give notice of removal in foreign country 23 (1) If a local lawyer's name has been removed from a foreign roll, the 24 lawyer must give each regulatory authority written notice of the removal. 25 Maximum penalty--200 penalty units. 26 (2) If a local legal practitioner's name has been removed from a foreign 27 roll, the practitioner must give the relevant regulatory authority written 28 notice of the removal. 29 Maximum penalty for subsection (2)--200 penalty units. 30

s 237 161 s 238 Legal Profession Bill 2004 237 Provisions relating to requirement to notify 1 (1) A notice to be given under this division by a local lawyer or local 2 legal practitioner must-- 3 (a) state his or her name and address; and 4 (b) identify the roll from which his or her name has been removed; 5 and 6 (c) state the date of the removal; and 7 (d) be accompanied by a copy of any official notification given to 8 him or her in connection with the removal. 9 (2) A contravention of section 235 or 236, including failing to comply 10 with subsection (1) in relation to the notice for those sections, is capable of 11 constituting unsatisfactory professional conduct or professional 12 misconduct. 13 Division 4--Taking of action by local authorities in response to 14 notifications received 15 238 Peremptory removal of local lawyer's name from local roll 16 following removal in another jurisdiction 17 (1) This section applies if the Brisbane registrar is satisfied that-- 18 (a) a local lawyer's name has been removed from an interstate roll; 19 and 20 (b) no order under section 240(1)(a) is, at the time of that removal, in 21 force in relation to the lawyer's name. 22 (2) The Brisbane registrar must remove, or arrange with another registrar 23 for the removal of, the lawyer's name from the local roll. 24 (3) The Brisbane registrar may, but need not, give the lawyer written 25 notice of the date on which the registrar proposes to remove the name from 26 the local roll. 27 (4) The Brisbane registrar must give the former local lawyer written 28 notice of the removal of the name from the local roll, unless notice of the 29 date of the proposed removal was previously given. 30

s 239 162 s 240 Legal Profession Bill 2004 (5) The name of the former local lawyer is, on his or her application to 1 the Brisbane registrar or on the registrar's own initiative, to be restored to 2 the local roll if the name is restored to the interstate roll. 3 (6) Nothing in this section prevents the former local lawyer from 4 afterwards applying for admission under section 32.76 5 239 Peremptory cancellation of local practising certificate following 6 removal of name from interstate roll 7 (1) This section applies if-- 8 (a) a person's name is removed from an interstate roll; and 9 (b) the person is the holder of a local practising certificate; and 10 (c) no order under section 240(1)(b) is, at the time of that removal, in 11 force in relation to the person's local practising certificate. 12 (2) The relevant regulatory authority must cancel the local practising 13 certificate. 14 (3) The relevant regulatory authority may, but need not, give the person 15 notice of the date on which it proposes to cancel the local practising 16 certificate. 17 (4) The relevant regulatory authority must give the person notice of the 18 cancellation, unless notice of the date of the proposed cancellation was 19 previously given. 20 (5) Nothing in this section prevents the former local lawyer from 21 applying for a local practising certificate at a later time. 22 240 Order for non-removal of name or non-cancellation of practising 23 certificate 24 (1) If an Australian lawyer reasonably expects that the lawyer's name 25 will be removed from an interstate roll, the lawyer may apply to the 26 Supreme Court for either or both of the following orders (each of which is 27 a "prevention order")-- 28 (a) an order that the lawyer's name not be removed from the local 29 roll under section 238; 30 76 Section 32 (Application for admission under this Act as a legal practitioner)

s 241 163 s 241 Legal Profession Bill 2004 (b) an order that the lawyer's local practising certificate not be 1 cancelled under section 239. 2 (2) After hearing the application, the Supreme Court may-- 3 (a) refuse to make the prevention order; or 4 (b) make the prevention order if it is satisfied that-- 5 (i) the lawyer's name is likely to be removed from the interstate 6 roll; and 7 (ii) the reason for the removal of the lawyer's name from the 8 interstate roll will not involve disciplinary action or the 9 possibility of disciplinary action. 10 (3) A prevention order may be made subject to any conditions the court 11 considers appropriate and remains in force for the period stated in it. 12 (4) The court may revoke a prevention order, including on its own 13 initiative. 14 (5) If a prevention order is revoked, either or both of sections 238 15 and 239, as relevant, apply as if the lawyer's name were removed from the 16 interstate roll on the day the revocation takes effect. 17 (6) Nothing in this section affects action being taken in relation to the 18 lawyer under another provision of this Act. 19 241 Show cause procedure for removal of local lawyer's name from 20 local roll following removal in foreign country 21 (1) This section applies if a local lawyer's name has been removed from 22 a foreign roll and the name has not been restored. 23 (2) The relevant regulatory authority may serve on the local lawyer a 24 notice stating that the authority will apply to the Supreme Court for a order 25 that the lawyer's name be removed from the local roll unless the lawyer 26 shows cause to the authority why his or her name should not be removed. 27 (3) If the local lawyer does not satisfy the regulatory authority that the 28 lawyer's name should not be removed from the local roll, the authority may 29 apply to the Supreme Court for an order that the lawyer's name be removed 30 from the local roll. 31 (4) On hearing the application made under this section, the Supreme 32 Court may order the local lawyer's name be removed from the local roll or 33 refuse to make the order. 34

s 242 164 s 243 Legal Profession Bill 2004 (5) The local lawyer is entitled to appear before and be heard by the 1 Supreme Court at a hearing about an application under this section. 2 242 Local authority may give information to other local authority 3 (1) A local authority that receives information from an authority of 4 another jurisdiction under provisions of a corresponding law that 5 correspond to this part may give the information to any other local 6 authority. 7 (2) In this section-- 8 "local authority" means an entity relevant to this jurisdiction that has 9 functions or powers under this Act. 10 CHAPTER 3--COMPLAINTS, INVESTIGATION 11 MATTERS AND DISCIPLINE 12 PART 1--PRELIMINARY 13 Division 1--Preliminary 14 243 Main purposes of ch 3 15 The main purposes of this chapter are as follows-- 16 (a) to provide for the discipline of the legal profession; 17 (b) to promote and enforce the professional standards, competence 18 and honesty of the legal profession; 19 (c) to provide a means of redress for complaints by consumers of the 20 services of the legal profession. 21

s 244 165 s 245 Legal Profession Bill 2004 Division 2--Key concepts 1 244 Meaning of "unsatisfactory professional conduct" 2 "Unsatisfactory professional conduct" includes conduct of an 3 Australian legal practitioner happening in connection with the practice of 4 law that falls short of the standard of competence and diligence that a 5 member of the public is entitled to expect of a reasonably competent 6 Australian legal practitioner. 7 8 Note-- 9 See section 61477 for how this term is defined for complaints made under the 10 Queensland Law Society Act 1952 that are to be dealt with under this Act. 245 Meaning of "professional misconduct" 11 (1) "Professional misconduct" includes-- 12 (a) unsatisfactory professional conduct of an Australian legal 13 practitioner, if the conduct involves a substantial or consistent 14 failure to reach or maintain a reasonable standard of competence 15 and diligence; and 16 (b) conduct of an Australian legal practitioner, whether happening in 17 connection with the practice of law or happening otherwise than 18 in connection with the practice of law that would, if established, 19 justify a finding that the practitioner is not a fit and proper person 20 to engage in legal practice. 21 (2) For finding that an Australian legal practitioner is not a fit and proper 22 person to engage in legal practice as mentioned in subsection (1), regard 23 may be had to the suitability matters that would be considered if the 24 practitioner were an applicant for admission or for the grant or renewal of a 25 local practising certificate. 26 27 Note-- 28 See section 614 for how this term is defined for complaints made under the Queensland 29 Law Society Act 1952 that are to be dealt with under this Act. 77 Section 614 (Basis of complaint mentioned in ss 256 or 613(2))

s 246 166 s 247 Legal Profession Bill 2004 246 Conduct capable of constituting unsatisfactory professional 1 conduct or professional misconduct 2 Without limiting section 244 or 245, the following conduct is capable of 3 constituting unsatisfactory professional conduct or professional 4 misconduct-- 5 (a) conduct consisting of a contravention of a relevant law; 6 (b) charging of excessive legal costs in connection with the practice 7 of law; 8 (c) conduct for which a court has convicted an Australian lawyer 9 of-- 10 (i) a serious offence; or 11 (ii) a tax offence; or 12 (iii) an offence involving dishonesty; 13 (d) conduct of an Australian legal practitioner as or in becoming an 14 insolvent under administration; 15 (e) conduct of an Australian legal practitioner in becoming 16 disqualified from managing or being involved in the management 17 of any corporation under the Corporations Act. 18 247 Meaning of "respondent" 19 A "respondent" is any of the following-- 20 (a) if a complaint is made about an Australian legal practitioner to 21 whom this chapter applies--the practitioner; 22 (b) if a complaint is made about a law practice employee in relation 23 to conduct to which this chapter applies--the law practice 24 concerned and the law practice employee; 25 (c) otherwise--a person to whom this chapter applies and about 26 whom the commissioner, on his or her own initiative, starts an 27 investigation under section 265.78 28 78 Section 265 (Referral by commissioner to law society or bar association)

s 248 167 s 250 Legal Profession Bill 2004 Division 3--Application of this chapter 1 248 Application of chapter to lawyers, former lawyers and former 2 practitioners 3 (1) This chapter applies to Australian lawyers and former Australian 4 lawyers in relation to conduct happening while they were Australian 5 lawyers but not Australian legal practitioners in the same way as it applies 6 to Australian legal practitioners and former Australian legal practitioners, 7 and so applies with any necessary changes. 8 (2) This chapter applies to former Australian legal practitioners in 9 relation to conduct happening while they were Australian legal 10 practitioners in the same way as it applies to persons who are Australian 11 legal practitioners, and so applies with any necessary changes. 12 (3) In this section-- 13 "former Australian legal practitioner" includes a person who was a 14 solicitor or barrister in this jurisdiction before the commencement of 15 this section but is not a local legal practitioner on the commencement. 16 249 Practitioners to whom this chapter applies 17 This chapter applies to an Australian legal practitioner for conduct to 18 which this chapter applies, whether or not-- 19 (a) the practitioner is a local lawyer; or 20 (b) the practitioner holds a local practising certificate; or 21 (c) the practitioner holds an interstate practising certificate; or 22 (d) the practitioner resides or has an office in this jurisdiction; or 23 (e) if a complaint is made about the practitioner--the complainant 24 resides, works or has an office in this jurisdiction. 25 250 Conduct to which this chapter applies--generally 26 (1) Subject to subsection (3), this chapter applies to conduct of an 27 Australian legal practitioner happening in this jurisdiction whether before 28 or after the commencement of this section. 29

s 250 168 s 250 Legal Profession Bill 2004 (2) Also, this chapter applies to an Australian legal practitioner's conduct 1 happening outside this jurisdiction, whether or not the conduct was 2 engaged in before or after the commencement of this section, but only-- 3 (a) if the conduct is part of a course of conduct that happened partly 4 in this jurisdiction and partly in another jurisdiction, and either-- 5 (i) the corresponding authority of each other jurisdiction in 6 which the conduct happened consents to it being dealt with 7 under this Act; or 8 (ii) the practitioner and, if a complaint is made by a person 9 about the practitioner, the complainant consent to it being 10 dealt with under this Act; or 11 (b) if the conduct happened in Australia but entirely outside this 12 jurisdiction and the practitioner is a local lawyer or a local legal 13 practitioner, and either-- 14 (i) the corresponding authority of each jurisdiction in which 15 the conduct happened consents to it being dealt with under 16 this Act; or 17 (ii) the practitioner and, if a complaint is made by a person 18 about the practitioner, the complainant consent to it being 19 dealt with under this Act; or 20 (c) if the conduct happened entirely or partly outside Australia and 21 the practitioner is a local lawyer or a local legal practitioner. 22 (3) This chapter does not apply to conduct happening in this jurisdiction 23 if-- 24 (a) the commissioner consents to the conduct being dealt with under 25 a corresponding law; or 26 (b) the Australian legal practitioner and, if a complaint is made by a 27 person about the practitioner, the complainant consent to the 28 conduct being dealt with under a corresponding law. 29 (4) Subsection (3) does not apply if the conduct is not capable of being 30 dealt with under a corresponding law. 31 (5) The commissioner may give consent for subsection (3)(a), and may 32 do so conditionally or unconditionally. 33 34 Note-- 35 Although this Act may deal with conduct that happened before the commencement, if 36 the matter had started to be heard by the solicitors complaints tribunal before the

s 251 169 s 252 Legal Profession Bill 2004 1 commencement of the Queensland Law Society Act 1952, section 5P, that section 2 provides that the hearing continues under provisions of that Act. 251 Conduct to which this chapter applies--insolvent under 3 administration, serious offences and tax offences 4 (1) This chapter applies to the following conduct of a local legal 5 practitioner whether happening in Australia or elsewhere or whether 6 engaged in before or after the commencement of this section-- 7 (a) conduct for which a court has convicted the practitioner for-- 8 (i) a serious offence; or 9 (ii) a tax offence; or 10 (iii) an offence involving dishonesty; 11 (b) conduct of the practitioner as or in becoming an insolvent under 12 administration; 13 (c) conduct of the practitioner in becoming disqualified from 14 managing or being involved in the management of any 15 corporation under the Corporations Act. 16 (2) This section has effect despite anything in section 250. 17 252 Chapter also applies to law practice employees 18 This chapter applies to the conduct of a law practice employee in relation 19 to the relevant practice whether or not-- 20 (a) the conduct is part of a course of conduct that happened partly in 21 this jurisdiction and partly in another jurisdiction; or 22 (b) the conduct was engaged in before or after the commencement of 23 this section. 24

s 253 170 s 255 Legal Profession Bill 2004 Division 4--Commissioner's obligations for complaints 1 253 Duty to deal with complaints efficiently and expeditiously 2 The commissioner must, under this Act, deal with complaints as 3 efficiently and expeditiously as is practicable.79 4 254 Duty to inform complainant about action taken for complaint 5 (1) The commissioner must keep a complainant informed about the way 6 the complaint is dealt with. 7 (2) Without limiting subsection (1), the commissioner must give the 8 complainant-- 9 (a) notice of the receipt of the complaint by the commissioner; and 10 (b) a copy of any discipline application made because of the 11 complaint; and 12 (c) written notice of a decision of a disciplinary body relating to the 13 complaint. 14 (3) This section is subject to section 480.80 15 PART 2--MAKING COMPLAINTS 16 255 Conduct about which complaint may be made 17 (1) A complaint may be made under this chapter about-- 18 (a) an Australian legal practitioner's conduct to which this chapter 19 applies; or 20 (b) the conduct of a law practice employee to which this chapter 21 applies. 22 79 See section 261 (Commissioner may delay dealing with complaint). 80 Section 480 (Prohibited publication about hearing of a disciplinary application)

s 256 171 s 257 Legal Profession Bill 2004 (2) A complaint may be made under this chapter about conduct 1 happening outside this jurisdiction, but the complaint must not be dealt 2 with under this chapter unless this chapter is or becomes applicable to the 3 conduct. 4 256 Making a complaint 5 (1) Subject to subsection (4), an entity may make a complaint in the 6 approved form to the commissioner about the conduct of an Australian 7 legal practitioner or law practice employee, including, for example, an 8 entity that-- 9 (a) is or was a client of the law practice; or 10 (b) is the relevant regulatory authority. 11 (2) However for a government legal officer, only the following entities 12 may make a complaint about the conduct of the officer in relation to the 13 government work engaged in by the officer-- 14 (a) an Australian legal practitioner; 15 (b) a relevant regulatory authority; 16 (c) the chief executive officer, however expressed, of the department 17 or agency in which the officer is a government legal officer or, if 18 the chief executive officer may delegate that power, a delegate. 19 (3) The complaint must-- 20 (a) identify the complainant; and 21 (b) if possible, identify the person about whom the complaint is 22 made; and 23 (c) describe the alleged conduct the subject of the complaint. 24 (4) The approved form for a complaint may only be approved by the 25 commissioner. 26 (5) The commissioner may accept a complaint made in writing other 27 than in the approved form. 28 257 Further information and verification 29 (1) The commissioner may, by written notice to a complainant, require 30 the complainant to do 1 or more of the following-- 31

s 258 172 s 258 Legal Profession Bill 2004 (a) give further information about the complaint; 1 (b) verify the complaint, or any further information, by statutory 2 declaration; 3 (c) sign an approved form that acknowledges the waiver of legal 4 professional privilege as mentioned in section 313.81 5 (2) The notice must state a date, that is reasonable, by which the 6 complainant must comply with the notice. 7 (3) The commissioner may extend the time for the complainant to 8 comply with subsection (1) on application by the complainant whether 9 before or after the date stated in the notice. 10 258 Complaints made over 3 years after conduct concerned 11 (1) This section applies if a complaint is received by the commissioner 12 more than 3 years after the conduct happened that is the subject of the 13 complaint, including conduct that happened before the commencement of 14 this section. 15 (2) The commissioner may-- 16 (a) refer the complaint to mediation; or 17 (b) dismiss the complaint unless the commissioner decides that-- 18 (i) it is just and fair to deal with the complaint having regard to 19 the extent of, and reasons for, the delay; or 20 (ii) the complaint involves conduct of the following type and it 21 is in the public interest to deal with the complaint-- 22 (A) conduct of an Australian legal practitioner that the 23 commissioner considers may be professional 24 misconduct; or 25 (B) conduct of a law practice employee that the 26 commissioner considers may be misconduct of the 27 employee in relation to the relevant practice. 28 (3) The commissioner must give an information notice to-- 29 81 Section 313 (Waiver of legal professional privilege or benefit of duty of confidentiality)

s 259 173 s 259 Legal Profession Bill 2004 (a) if the commissioner dismisses the complaint--the complainant; 1 or 2 (b) if the commissioner makes a decision mentioned in 3 subsection (2)(b)(i) or (ii)--the respondent. 4 (4) For working out whether it is more than 3 years since conduct that is 5 the subject of the complaint happened, the commissioner must calculate 6 from the last day that the conduct happened. 7 (5) This section does not limit the commissioner's power to dismiss a 8 complaint under section 259. 9 (6) This section is subject to 614.82 10 259 Summary dismissal of complaints 11 (1) The commissioner may dismiss a complaint for 1 or more of the 12 following reasons-- 13 (a) the commissioner has given the complainant a notice under 14 section 257 and, within the time stated in the notice or under an 15 extension under that section, the complainant has not complied 16 with the notice; 17 (b) the complaint does not disclose conduct that the commissioner 18 considers may be-- 19 (i) conduct to which this chapter applies; or 20 (ii) unsatisfactory professional conduct or professional 21 misconduct of an Australian legal practitioner or 22 misconduct of a law practice employee in relation to the 23 relevant practice; 24 (c) the commissioner considers the complaint is vexatious, 25 misconceived, frivolous or lacking in substance; 26 (d) the conduct complained about has been the subject of a previous 27 complaint that has been dismissed or dealt with, and the 28 commissioner considers that the complaint discloses no reason to 29 reconsider the matter; 30 (e) it is not in the public interest to deal with the complaint having 31 regard to the fact that the name of the Australian legal 32 82 Section 614 (Basis of complaint mentioned in ss 256 or 613(2))

s 260 174 s 260 Legal Profession Bill 2004 practitioner to whom the complaint relates has already been 1 removed from each Australian roll in which he or she was 2 enrolled. 3 (2) The commissioner may dismiss a complaint under this section 4 without completing an investigation if, having considered the complaint, 5 the commissioner forms the view that the complaint requires no further 6 investigation. 7 (3) If a complaint is dismissed for the reason mentioned in 8 subsection (1)(a), the dismissal does not prevent the complainant from 9 making a fresh complaint under section 256.83 10 (4) In this section-- 11 "previous complaint" includes-- 12 (a) a complaint under the Queensland Law Society Act 1952 if the 13 complaint was made under that Act before the commencement of 14 this definition; and 15 (b) a complaint made to the bar association if the complaint was 16 made before that commencement. 17 260 Withdrawal of complaints 18 (1) The complainant may withdraw the complaint by notice to the 19 commissioner. 20 (2) If the notice about the withdrawal is oral, the commissioner must do 21 each of the following unless the complainant gives the commissioner 22 written confirmation of the withdrawal-- 23 (a) make a written record of the withdrawal; 24 (b) give the complainant a copy of the record, or send a copy of it 25 addressed to the complainant at the complainant's address last 26 known to the commissioner. 27 (3) However, the withdrawal of the complaint does not prevent action 28 being taken on a complaint by another person, or by the commissioner on 29 the commissioner's own initiative. 30 83 Section 256 (Making a complaint)

s 261 175 s 262 Legal Profession Bill 2004 (4) In this section-- 1 "withdrawal" of a complaint includes withdrawal of some only or part 2 only of the matters that form the subject of the complaint. 3 261 Commissioner may delay dealing with complaint 4 (1) The commissioner may delay dealing with a complaint for 1 or more 5 of the following reasons-- 6 (a) the complainant has asked for a delay and the commissioner 7 considers the request reasonable; 8 (b) for a complaint about an Australian legal practitioner--the 9 practitioner is under investigation in this jurisdiction or another 10 jurisdiction and, under this Act or a corresponding law of that 11 other jurisdiction, the practitioner's name may be removed from 12 the local roll or interstate roll; 13 (c) the matter that is the subject of the complaint is being or about to 14 be dealt with in another way; 15 (d) the commissioner considers that it is in the public interest to 16 delay dealing with the complaint. 17 (2) Subsection (1) applies despite sections 18 and 253.84 18 PART 3--MEDIATION FOR COMPLAINTS INVOLVING 19 CONSUMER DISPUTE 20 262 Definition for ch 3, pt 3 21 In this part-- 22 "consumer dispute" means a dispute between a person and a law practice 23 about conduct of-- 24 (a) an Australian legal practitioner to the extent the commissioner 25 considers that the dispute does not involve an issue of 26 84 Sections 18 (Timing for doing things) and 253 (Duty to deal with complaints efficiently and expeditiously)

s 263 176 s 264 Legal Profession Bill 2004 unsatisfactory professional conduct or professional misconduct; 1 or