LEGAL PROFESSION BILL 23 OF 2007

Tasmanian Bills

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

LEGAL PROFESSION BILL 23 OF 2007

TASMANIA __________ LEGAL PROFESSION BILL 2007 __________ CONTENTS CHAPTER 1 INTRODUCTION PART 1.1 PRELIMINARY 1. Short title 2. Commencement 3. Purposes PART 1.2 INTERPRETATION 4. Interpretation 5. Terms relating to lawyers 6. Terms relating to legal practitioners 7. Terms relating to associates and principals of law practices 8. Home jurisdiction 9. Suitability matters 10. Information notices 11. References to convictions for offences CHAPTER 2 GENERAL REQUIREMENTS FOR ENGAGING IN LEGAL PRACTICE PART 2.1 RESERVATION OF LEGAL WORK AND LEGAL TITLES Division 1 Preliminary 12. Purposes [Bill 23]-I

Division 2 General prohibitions on unqualified practice 13. Prohibition on engaging in legal practice when not entitled 14. Prohibition on representing or advertising entitlement to engage in legal practice when not entitled 15. Presumptions about taking or using name, title or description specified in regulations Division 3 Prohibitions regarding associates and non-legal partners 16. Definition 17. Associates who are disqualified or convicted persons 18. Appeal by law practice or lay associate 19. Prohibition on employment of certain lay associates 20. Proceedings on prohibition orders 21. Register of approvals and prohibition orders Division 4 General 22. Professional discipline PART 2.2 ADMISSION OF LOCAL LAWYERS Division 1 Preliminary 23. Purposes 24. Definitions Division 2 Eligibility and suitability for admission 25. Eligibility for admission 26. Suitability for admission 27. Early consideration of suitability 28. Binding effect of declaration or order 29. Entitlement to be represented, heard and make representations Division 3 Admission to the legal profession 30. Notice of intention to apply for admission 31. Admission 32. Objection to admission 33. Terms and conditions of admission 34. Oath on admission 2

35. Roll of local lawyers 36. Certificate of admission 37. Local lawyer is officer of Supreme Court Division 4 Admission rules 38. Admission rules PART 2.3 LEGAL PRACTICE BY AUSTRALIAN LEGAL PRACTITIONERS Division 1 Preliminary 39. Purposes Division 2 Legal practice in this jurisdiction by Australian legal practitioners 40. Entitlement of holder of Australian practising certificate to practise in this jurisdiction 41. Lawyers entitled to practise without practising certificate Division 3 Local practising certificates generally 42. Local practising certificates 43. Suitability to hold local practising certificate 44. Duration of local practising certificate 45. Requirement for professional indemnity insurance 46. Continuing obligation for professional indemnity insurance for local practising certificate 47. Local legal practitioner is officer of Supreme Court Division 4 Grant or renewal of local practising certificates 48. Application for grant or renewal of local practising certificate 49. Manner of application and fees 50. Advice relating to grant or renewal of local practising certificates 51. Timing of application for renewal of local practising certificate 52. Late fee 53. Grant or renewal of local practising certificate 54. Advice to Board of grant, renewal or refusal to grant or renew local practising certificate 3

Division 5 Conditions on local practising certificates 55. Conditions generally 56. Conditions imposed by prescribed authority 57. Imposition or variation of conditions pending criminal proceedings 58. Statutory condition regarding conditions imposed on interstate admission 59. Statutory condition regarding legal practice 60. Statutory condition regarding notification of offence 61. Conditions imposed by legal profession rules 62. Compliance with conditions Division 6 Amendment, suspension or cancellation of local practising certificates 63. Application of this Division 64. Grounds for amending, suspending or cancelling local practising certificate 65. Amending, suspending or cancelling local practising certificate 66. Advice to Board of decision to amend, suspend or cancel local practising certificate 67. Operation of amendment, suspension or cancellation of local practising certificate 68. Immediate suspension of local practising certificate 69. Advice to Board of immediate suspension of local practising certificate and revocation of suspension 70. Other ways of amending or cancelling local practising certificate 71. Relationship of this Division with Chapter 4 Division 7 Special powers in relation to local practising certificates show cause events 72. Applicant for local practising certificate show cause event 73. Holder of local practising certificate show cause event 74. Refusal, amendment, suspension or cancellation of local practising certificate failure to show cause 75. Restriction on making further applications 76. Relationship of this Division with Chapter 4 4

Division 8 Further provisions relating to local practising certificates 77. Surrender and cancellation of local practising certificate 78. Return of local practising certificate Division 9 Interstate legal practitioner 79. Requirement for professional indemnity insurance 80. Extent of entitlement of interstate legal practitioner to practise in this jurisdiction 81. Additional conditions on practice of interstate legal practitioners 82. Special provisions about interstate legal practitioner engaging in unsupervised legal practice in this jurisdiction 83. Interstate legal practitioner is an officer of Supreme Court Division 10 Appeals 84. Appeal against decisions about local practising certificates 85. Appeal against decisions about interstate legal practitioners Division 11 Miscellaneous 86. Protocols 87. Consideration and investigation of applicants or holders 88. Register of local practising certificates 89. Holders of local practising certificates as barristers 90. Supreme Court orders about conditions 91. Government lawyers of other jurisdictions 92. Fees 93. Refund of fees PART 2.4 INTER-JURISDICTIONAL PROVISIONS REGARDING ADMISSION AND PRACTISING CERTIFICATES Division 1 Preliminary 94. Purpose 95. Definition 96. Other requirements not affected 5

Division 2 Notifications to be given by local authorities to interstate authorities 97. Official notification to other jurisdictions of applications for admission and associated matters 98. Official notification to other jurisdictions of removal from local roll 99. Prescribed authority to notify other jurisdictions of certain matters Division 3 Notifications to be given by lawyers to local authorities 100. Lawyer to give notice of removal in another jurisdiction 101. Lawyer to give notice of interstate orders 102. Lawyer to give notice of foreign regulatory action 103. Provisions relating to requirement to notify Division 4 Taking of action by local authorities in response to notifications received 104. Peremptory removal of local lawyer's name from local roll following removal in another jurisdiction 105. Peremptory cancellation of local practising certificate following removal of name from interstate roll 106. Show cause procedure for removal of lawyer's name from local roll following foreign regulatory action 107. Show cause procedure for cancellation of local practising certificate following foreign regulatory action 108. Order for non-removal of name or non-cancellation of local practising certificate 109. Local authority may give information to other local authorities PART 2.5 INCORPORATED LEGAL PRACTICES AND MULTI- DISCIPLINARY PARTNERSHIPS Division 1 Preliminary 110. Purposes 111. Definitions Division 2 Incorporated legal practices 112. Nature of incorporated legal practice 113. Non-legal services and businesses of incorporated legal practices 6

114. Corporations eligible to be incorporated legal practices 115. Notice of intention to start providing legal services 116. Prohibition on representations that corporation is incorporated legal practice 117. Notice of termination of provision of legal services 118. Incorporated legal practice must have legal practitioner director 119. Obligations of legal practitioner director relating to misconduct 120. Incorporated legal practice without legal practitioner director 121. Obligations and privileges of practitioners who are officers or employees 122. Conflicts of interest 123. Disclosure obligations 124. Effect of non-disclosure of provision of certain services 125. Application of legal profession rules 126. Requirements relating to advertising 127. Extension of vicarious liability relating to failure to account, pay or deliver and dishonesty to incorporated legal practices 128. Sharing of receipts, revenue or other income 129. Disqualified persons 130. Audit of incorporated legal practices 131. Application of Chapter 6 132. Banning of incorporated legal practices 133. Disqualification from managing incorporated legal practice 134. Disclosure of information to Australian Securities and Investments Commission 135. External administration proceedings under Corporations Act 2001 of the Commonwealth 136. External administration proceedings under other legislation 137. Incorporated legal practice that is subject to receivership under this Act and external administration under Corporations Act 2001 of the Commonwealth 138. Incorporated legal practice that is subject to receivership under this Act and external administration under other legislation 7

139. Co-operation between courts 140. Relationship of Act to constitution of incorporated legal practice 141. Relationship of Act to legislation establishing incorporated legal practice 142. Relationship of Act to Corporations legislation 143. Undue influence Division 3 Multi-disciplinary partnerships 144. Nature of multi-disciplinary partnership 145. Conduct of multi-disciplinary partnerships 146. Notice of intention to start practice in multi-disciplinary partnership 147. General obligations of legal practitioner partners 148. Obligations of legal practitioner partner relating to misconduct 149. Actions of partner who is not an Australian legal practitioner 150. Obligations and privileges of practitioners who are partners or employees 151. Conflicts of interest 152. Disclosure obligations 153. Effect of non-disclosure of provision of certain services 154. Application of legal profession rules 155. Requirements relating to advertising 156. Sharing of receipts, revenue or other income 157. Disqualified persons 158. Prohibition on partnerships with certain partners who are not Australian legal practitioners 159. Undue influence Division 4 Miscellaneous 160. Obligations of individual practitioners not affected 161. Regulations PART 2.6 LEGAL PRACTICE BY FOREIGN LAWYERS Division 1 Preliminary 162. Purpose 8

163. Definitions 164. This Part does not apply to Australian legal practitioners Division 2 Practice of foreign law 165. Requirement for registration 166. Entitlement of Australian-registered foreign lawyer to practise in this jurisdiction 167. Scope of practice 168. Form of practice 169. Application of Australian professional ethical and practice standards 170. Designation 171. Letterhead and other identifying documents 172. Advertising 173. Foreign lawyer employing Australian legal practitioner 174. Trust money and trust accounts 175. Professional indemnity insurance 176. Guarantee Fund Division 3 Local registration of foreign lawyers generally 177. Local registration of foreign lawyers 178. Duration of registration 179. Locally registered foreign lawyer is not officer of Supreme Court Division 4 Applications for grant or renewal of local registration 180. Application for grant or renewal of registration 181. Manner of application 182. Requirements regarding applications for grant or renewal of registration Division 5 Grant or renewal of registration 183. Grant or renewal of registration 184. Requirement to grant or renew registration if criteria satisfied 185. Refusal to grant or renew registration 9

Division 6 Amendment, suspension or cancellation of local registration 186. Application of this Division 187. Grounds for amending, suspending or cancelling registration 188. Amending, suspending or cancelling registration 189. Operation of amendment, suspension or cancellation of registration 190. Other ways of amending or cancelling registration 191. Relationship of this Division with Chapter 4 Division 7 Special powers in relation to local registration show cause events 192. Applicant for local registration show cause event 193. Locally registered foreign lawyer show cause event 194. Refusal, amendment, suspension or cancellation of local registration failure to show cause 195. Restriction on making further applications 196. Relationship of this Division with Chapter 4 Division 8 Further provisions relating to local registration 197. Immediate suspension of registration 198. Surrender of local registration certificate and cancellation of registration 199. Automatic cancellation of registration on grant of practising certificate 200. Suspension or cancellation of registration not to affect disciplinary processes 201. Return of local registration certificate on amendment, suspension or cancellation of registration Division 9 Conditions on registration 202. Conditions generally 203. Conditions imposed by domestic registration authority 204. Imposition or variation of conditions pending criminal proceedings 205. Statutory condition regarding notification of offence 206. Conditions imposed by legal profession rules 10

207. Compliance with conditions Division 10 Interstate-registered foreign lawyers 208. Extent of entitlement of interstate-registered foreign lawyer to practise in this jurisdiction 209. Additional conditions on practice of interstate-registered foreign lawyers Division 11 Miscellaneous 210. Consideration and investigation of applicants and locally registered foreign lawyers 211. Register of locally registered foreign lawyers 212. Publication of information about locally registered foreign lawyers 213. Supreme Court orders about conditions 214. Exemption by domestic registration authority 215. Membership of professional association 216. Refund of fees 217. Appeals PART 2.7 COMMUNITY LEGAL CENTRES 218. Community legal centres 219. Application of legal profession rules CHAPTER 3 CONDUCT OF LEGAL PRACTICE PART 3.1 LEGAL PROFESSION RULES Division 1 Preliminary 220. Purpose Division 2 Rules for Australian legal practitioners and Australian- registered foreign lawyers 221. Rules for Australian legal practitioners 222. Rules for Australian-registered foreign lawyers 223. Subject matter of legal profession rules 224. Prior consultation with professional associations and Board 225. Public notice of proposed legal profession rules 11

Division 3 Rules for incorporated legal practices and multi-disciplinary partnerships 226. Rules Division 4 General 227. Binding nature of legal profession rules 228. Availability of rules 229. Rule-making procedure PART 3.2 TRUST MONEY AND TRUST ACCOUNTS Division 1 Preliminary 230. Purposes 231. Interpretation 232. Money involved in financial services or investments 233. Determinations about status of money 234. Application of Part to law practices and trust money 235. Protocols for determining where trust money is received 236. When money is received 237. Discharge by legal practitioner associate of obligations of law practice 238. Liability of principals of law practice 239. Former practices, principals and associates 240. Barristers not to receive money on behalf of other person Division 2 Trust accounts and trust money 241. Maintenance of general trust account 242. Certain trust money to be deposited in general trust account 243. Holding, disbursing and accounting for trust money 244. Manner of withdrawal of trust money from general trust account 245. Controlled money 246. Manner of withdrawal of controlled money from controlled money account 247. Transit money 248. Trust money subject to specific powers 12

249. Trust money received in the form of cash 250. Protection of trust money 251. Intermixing money 252. Dealing with trust money: legal costs and unclaimed money 253. Deficiency in trust account 254. Reporting certain irregularities and suspected irregularities 255. Keeping trust records 256. False names Division 3 Unclaimed money 257. Register of unclaimed money 258. Unclaimed money 259. Claims for unclaimed money Division 4 Investigations 260. Appointment of investigators 261. Investigations 262. Application of Chapter 6 263. Investigator's report 264. When costs of investigation are debt Division 5 External examinations 265. Designation of external examiners 266. Trust records to be externally examined 267. Examination of affairs in connection with examination of trust records 268. Designation and appointment of associates as external examiners 269. Final examination of trust records 270. Carrying out examination 271. External examiner's report 272. Law practice liable for costs of examination Division 6 Provisions relating to ADIs 273. Approval of ADIs 274. ADI not subject to certain obligations and liabilities 13

275. Reports, records and information Division 7 Miscellaneous provisions 276. Restrictions on receipt of trust money 277. Application of Part to incorporated legal practices and multi- disciplinary partnerships 278. Application of Part to community legal centres 279. Disclosure to clients money not received or held as trust money 280. Disclosure of accounts used to hold money entrusted to law practice or legal practitioner associate 281. Regulations PART 3.3 COSTS DISCLOSURE AND ASSESSMENT Division 1 Preliminary 282. Purposes 283. Definitions 284. Terms relating to third party payers Division 2 Application of this Part 285. Application of Part first instructions rule 286. Part also applies by agreement or at client's election 287. Displacement of Part 288. How and where does a client first instruct a law practice? 289. How and when does a matter have a substantial connection with this jurisdiction? 290. What happens when different laws apply to a matter? Division 3 Costs disclosure 291. Disclosure of costs to clients 292. Disclosure of other information to clients 293. Disclosure if another law practice is to be retained 294. How and when must disclosure be made? 295. Exceptions to requirement for disclosure 296. Additional disclosure settlement of litigious matters 297. Additional disclosure uplift fees 14

298. Form of disclosure 299. Ongoing obligation to disclose 300. Effect of failure to disclose 301. Progress reports 302. Disclosure to associated third party payers Division 4 Legal costs generally 303. On what basis are legal costs recoverable? 304. Security for legal costs 305. Interest on unpaid legal costs Division 5 Costs agreements 306. Making costs agreements 307. Conditional costs agreements 308. Conditional costs agreements involving uplift fees 309. Contingency fees prohibited 310. Effect of costs agreement 311. Certain costs agreements void 312. Setting aside costs agreements Division 6 Billing 313. Legal costs cannot be recovered unless bill has been given 314. Bills 315. Notification of client's rights 316. Request for itemised bill 317. Interim bills Division 7 Costs assessment 318. Definition 319. Application by clients or third party payers for costs assessment 320. Application for costs assessment by law practice retaining another law practice 321. Application for costs assessment by law practice giving bill 322. How to make an application for costs assessment 323. Consequences of application 15

324. Persons to be notified of application 325. Procedure on assessment 326. Powers of costs assessor 327. Criteria for assessment 328. Assessment of costs by reference to costs agreement 329. Assessment of costs by reference to scale of costs 330. Outcome of assessment 331. Costs of assessment 332. Referral for disciplinary action 333. Objections to outcome of assessment 334. Review of costs assessor's decision by Supreme Court 335. Interim certificate 336. Enforcement of certificate of assessment 337. Interest on amount outstanding 338. Contracting out of Division by sophisticated clients 339. Regulations Division 8 Miscellaneous 340. Application of Part to incorporated legal practices and multi- disciplinary partnerships 341. Imputed acts, omission or knowledge PART 3.4 PROFESSIONAL INDEMNITY INSURANCE 342. Purpose 343. Law practices required to insure 344. Barristers required to insure 345. Australian-registered foreign lawyers required to insure 346. Exemption from insurance requirements 347. Indemnity rules 348. Rule-making procedure 16

PART 3.5 SOLICITORS' GUARANTEE FUND Division 1 Preliminary 349. Purpose 350. Definitions 351. Time of default Division 2 Solicitors' Trust income 352. Deposit of trust money into designated trust deposit account 353. Withdrawals 354. Claim on trust deposit account 355. Interest on trust account 356. Division does not apply to controlled money accounts 357. Trust to invest interest Division 3 Solicitors' Guarantee Fund 358. Solicitors' Guarantee Fund 359. Minister to approve funding 360. Insurance 361. Application to Minister for payment from Guarantee Fund 362. Borrowing 363. Investment of funds of Guarantee Fund Division 4 Defaults to which this Part applies 364. Meaning of "relevant jurisdiction" 365. Defaults to which this Part applies 366. Defaults relating to financial services or investments Division 5 Prohibition on withdrawal of property 367. Prohibition on withdrawal of certain property 368. Appeal against prohibition on withdrawal of certain property Division 6 Claims about defaults 369. Default order 370. Advertisements 371. Claims about defaults 372. Time limit for making claims 17

373. Time limit for making claims following advertisement 374. Claims not affected by certain matters 375. Vesting of rights in Trust 376. Investigation of claims 377. Advance payments Division 7 Determination of claims 378. Determination of claims 379. Claimant required to pursue claims, &c. 380. Maximum amount allowable 381. Costs 382. Interest 383. Reduction of claim because of other benefits 384. Subrogation 385. Repayment of certain amounts 386. Notification of delay in making decision 387. Notification of decision 388. Appeal against decision on claim 389. Appeal against failure to determine claim 390. Court proceedings Division 8 Payments from Guarantee Fund for defaults 391. Payments for defaults 392. Caps on payments 393. Sufficiency of Guarantee Fund 394. Law practice to reimburse Guarantee Fund Division 9 Claims by law practices or associates 395. Claims by law practices or associates about defaults 396. Claims by law practices or associates about notional defaults Division 10 Defaults involving interstate elements 397. Concerted interstate defaults 398. Defaults involving interstate elements where committed by one associate only 18

Division 11 Inter-jurisdictional provisions 399. Protocols 400. Forwarding of claims 401. Investigation of defaults to which this Part applies 402. Investigation of defaults to which a corresponding law applies 403. Investigation of concerted interstate defaults and other defaults involving interstate elements 404. Recommendations by Trust to corresponding authorities 405. Recommendations to and decisions by Trust after receiving recommendations from corresponding authorities 406. Request to another jurisdiction to investigate aspects of claim 407. Request from another jurisdiction to investigate aspects of claim 408. Co-operation with other authorities Division 12 Miscellaneous 409. Interstate legal practitioner becoming authorised to withdraw from local trust account 410. Application of Part to incorporated legal practices 411. Application of Part to multi-disciplinary partnerships 412. Application of Part to sole practitioner whose practising certificate lapses PART 3.6 MORTGAGE INVESTMENT SCHEMES 413. Prohibition regarding mortgage schemes 414. Mortgage investment schemes do not form part of law practice 415. Involvement of Australian legal practitioners in mortgage investment schemes 416. Regulations and rules CHAPTER 4 COMPLAINTS AND DISCIPLINE PART 4.1 COMPLAINTS AND DISCIPLINE INTRODUCTION AND APPLICATION Division 1 Preliminary 417. Purposes 418. Definitions 19

419. Application of Chapter to lawyers, former lawyers and former practitioners 420. Unsatisfactory professional conduct 421. Professional misconduct 422. Conduct capable of constituting unsatisfactory professional conduct or professional misconduct Division 2 Application of Chapter 423. Practitioners to whom this Chapter applies 424. Conduct to which this Chapter applies generally 425. Conduct to which this Chapter applies insolvency, serious offences and tax offences PART 4.2 COMPLAINTS ABOUT AUSTRALIAN LEGAL PRACTITIONERS 426. Complaints 427. Making of complaints 428. Complaints made more than 3 years after conduct concerned 429. Further information and verification 430. Practitioner to be notified of complaint 431. Submissions by practitioner 432. Board to advise prescribed authority of complaint 433. Summary dismissal of complaints 434. Withdrawal of complaints 435. Board to advise prescribed authority of dismissal or withdrawal PART 4.3 MEDIATION 436. Mediation of complaints 437. Facilitation of mediation 438. Admissibility of evidence and documents 439. Protection from liability PART 4.4 INVESTIGATION OF COMPLAINTS 440. Complaints to be investigated 441. Timeframe for investigation of complaints 20

442. Appointment of investigator 443. Application of Chapter 6 (Investigatory powers) 444. Report to complainant 445. Referral of matters relating to professional misconduct 446. Interim order for suspension or non-issue of practising certificate 447. Board to advise prescribed authority of outcome of investigation 448. Other investigations 449. Referral of matters for costs assessment PART 4.5 COMPLAINTS 450. Powers of Board after investigation 451. Dismissal of complaint 452. Board to advise prescribed authority of decision 453. Hearings of Board under this Chapter 454. Determination of Board 455. Application to Tribunal relating to compensation orders 456. Procedure for less serious complaint 457. Notice of determination 458. Application against determinations 459. Record of decision PART 4.6 GENERAL PROCEDURAL MATTERS 460. Rules of procedural fairness 461. Duty to deal with complaints efficiently and expeditiously 462. Complainant and practitioner to be informed of action taken PART 4.7 PROCEEDINGS IN DISCIPLINARY TRIBUNAL Division 1 Preliminary 463. Definitions Division 2 Applications and procedure 464. Applications to Tribunal 465. Further information and verification 466. Powers of Tribunal 21

467. Procedure at hearing of application 468. Evidence of conviction and sentence 469. Early termination of proceedings before Tribunal Division 3 Orders of Tribunal 470. Orders of Tribunal generally 471. Orders of Tribunal requiring official implementation in this jurisdiction 472. Orders of Tribunal requiring official implementation in another jurisdiction 473. Orders of Tribunal requiring compliance by practitioner 474. Ancillary or other orders of Tribunal 475. Alternative finding of Tribunal 476. Fines ordered by Tribunal 477. Reprimands 478. Interlocutory and interim orders of Tribunal 479. Consent orders 480. Compliance with determinations and orders of Tribunal 481. Cost orders of Tribunal Division 4 Miscellaneous 482. Notification of result of proceedings, &c., before Tribunal 483. Other remedies not affected Division 5 Appeals 484. Appeals against orders of Tribunal 485. Hearing and determination of appeal PART 4.8 DISCIPLINARY PROCEEDINGS BEFORE SUPREME COURT 486. Applications to Supreme Court 487. Determination of application 488. Orders pending determination of complaint 489. Supreme Court to notify Board 22

PART 4.9 COMPENSATION 490. Request by complainant for compensation order 491. Compensation orders 492. Prerequisites to making of compensation orders 493. Making of compensation orders 494. Enforcement of compensation orders 495. Other remedies not affected PART 4.10 PUBLICISING DISCIPLINARY ACTION 496. Definitions 497. Register of Disciplinary Action 498. Other means of publicising disciplinary action 499. Quashing of disciplinary action 500. Liability for publicising disciplinary action 501. Disciplinary action taken where infirmity, injury or illness is involved 502. General PART 4.11 INTER-JURISDICTIONAL PROVISIONS 503. Protocols 504. Request to another jurisdiction to investigate complaint 505. Request from another jurisdiction to investigate complaint 506. Sharing of information with corresponding authorities 507. Co-operation with other authorities 508. Compliance with recommendations or orders made under corresponding laws 509. Other functions or powers not affected PART 4.12 COMPLAINTS AND DISCIPLINE MISCELLANEOUS 510. Jurisdiction of Supreme Court 511. Information about complaints procedure 512. Referral of matter involving crimes 513. Failure to comply with orders 23

514. Complainant does not incur personal liability 515. Protection from liability 516. Confidentiality of client communications 517. Claims of privilege 518. Waiver of privilege or duty of confidentiality CHAPTER 5 EXTERNAL INTERVENTION PART 5.1 EXTERNAL INTERVENTION PRELIMINARY 519. Purpose 520. Interpretation 521. Application of Chapter to Australian-registered foreign lawyers 522. Application of Chapter to other persons PART 5.2 INITIATION OF EXTERNAL INTERVENTION 523. Circumstances warranting external intervention 524. Determination regarding external intervention PART 5.3 SUPERVISORS OF TRUST MONEY 525. Appointment of supervisor of trust money 526. Notice of appointment 527. Effect of service of notice of appointment 528. Role of supervisor of trust money 529. Records of and dealing with trust money of law practice under supervision 530. Termination of supervisor's appointment PART 5.4 MANAGERS 531. Appointment of manager 532. Notice of appointment 533. Effect of service of notice of appointment 534. Role of manager 535. Records and accounts of law practice under management and dealings with trust money 536. Deceased estates 24

537. Termination of manager's appointment PART 5.5 RECEIVERS 538. Appointment of receiver by Supreme Court 539. Notice of appointment 540. Effect of service of notice of appointment 541. Role of receiver 542. Records and accounts of law practice under receivership and dealings with trust money 543. Power of receiver to take possession of regulated property 544. Power of receiver to take delivery of regulated property 545. Power of receiver to deal with regulated property 546. Power of receiver to require documents or information 547. Examinations 548. Lien for costs on regulated property 549. Regulated property not to be attached 550. Recovery of regulated property where there has been a breach of trust, &c. 551. Improperly destroying property, &c. 552. Deceased estates 553. Termination of receiver's appointment PART 5.6 EXTERNAL INTERVENTION GENERAL 554. Conditions on appointment of external intervener 555. Status of acts of external intervener 556. Eligibility for reappointment or authorisation 557. Appeal against appointment 558. Directions of Supreme Court 559. Manager and receiver appointed for law practice 560. ADI disclosure requirements 561. Fees, legal costs and expenses 562. Reports by external intervener 563. Confidentiality 25

564. Provisions relating to requirements under this Part 565. Obstruction of external intervener 566. Protection from liability 567. Report to Board of disciplinary matters CHAPTER 6 INVESTIGATORY POWERS PART 6.1 PRELIMINARY 568. Purpose 569. Interpretation PART 6.2 REQUIREMENTS RELATING TO DOCUMENTS, INFORMATION AND OTHER ASSISTANCE 570. Application of Part 571. Requirements that may be imposed for investigations, examinations and audits under Parts 2.5 and 3.2 572. Requirements that may be imposed for investigations under Chapter 4 573. Provisions relating to requirements under this Part PART 6.3 ENTRY AND SEARCH OF PREMISES 574. Application of Part 575. Investigator's power to enter premises 576. Search warrants 577. Powers of investigator while on premises PART 6.4 ADDITIONAL INVESTIGATORY POWERS IN RELATION TO INCORPORATED LEGAL PRACTICES 578. Application of Part 579. Investigative powers relating to investigations and audits 580. Examination of persons 581. Inspection of books 582. Power to hold hearings 583. Failure to comply with investigation 26

PART 6.5 INVESTIGATIONS MISCELLANEOUS 584. Obstruction of investigator 585. Destruction of evidence 586. Obligation of Australian lawyers 587. Permitted disclosure of confidential information 588. Report to Board of disciplinary matters CHAPTER 7 REGULATORY AUTHORITIES PART 7.1 LEGAL PROFESSION BOARD OF TASMANIA Division 1 The Board 589. Establishment of Legal Profession Board of Tasmania 590. Membership of Board Division 2 Functions and powers of Board 591. Functions of Board 592. Powers of Board 593. Delegation by Board 594. Contracts 595. Committees 596. Employees Division 3 Rules of Board 597. General rules Division 4 Finance and reports 598. Funds of Board 599. Accounts 600. Audit 601. Annual report Division 5 Miscellaneous 602. Confidentiality 603. Protection from liability PART 7.2 BOARD OF LEGAL EDUCATION 604. Board of Legal Education 27

605. Membership of Board of Legal Education 606. Functions and powers of Board of Legal Education 607. Secretary of Board of Legal Education 608. Rules of Board of Legal Education 609. Rule-making procedure PART 7.3 DISCIPLINARY TRIBUNAL 610. Disciplinary Tribunal 611. Composition of Tribunal for proceedings 612. Change in composition 613. Immunity of members of Tribunal 614. Confidentiality 615. General functions and powers of Tribunal 616. Secretary to Tribunal 617. Report of Tribunal PART 7.4 THE LAW SOCIETY OF TASMANIA 618. The Law Society 619. Membership of Law Society 620. Functions of Law Society PART 7.5 THE COUNCIL OF THE LAW SOCIETY 621. The Council 622. Functions and powers of Council 623. Executive committee 624. Records of Council proceedings 625. Inspection of records of Council proceedings 626. Delegation 627. Power of Council to make by-laws 628. Procedure relating to making of by-laws 629. Executive Director and other employees 630. Institution of proceedings on behalf of Law Society 631. Law Society entitled to appear in certain proceedings 28

632. Protection from liability PART 7.6 SOLICITORS' TRUST 633. Solicitors' Trust 634. Membership of Trust 635. Functions and powers of Trust 636. Trust deposit accounts 637. Application of funds in trust deposit accounts 638. Accounts, reports and audit CHAPTER 8 MISCELLANEOUS PART 8.1 NOTICES AND EVIDENTIARY MATTERS 639. Service of notices on local legal practitioners, locally registered foreign lawyers and law practices 640. Service on the Board or prescribed authority 641. Service of notices on other persons 642. When is service effective? 643. Evidentiary matters PART 8.2 GENERAL 644. Liability of principals 645. Injunctions 646. Disclosure of information by local regulatory authorities 647. Confidentiality of personal information 648. Professional privilege or duty of confidence does not affect validity of or compliance with certain requirements 649. Duty to report suspected offences 650. Destruction of documents 651. Change of name 652. Approved forms 653. Prescribed authority to report to Board 654. Request for information, &c. 655. Confidentiality of prescribed authority 29

656. Protection from liability for prescribed authority 657. Regulations 658. Administration of Act 659. Savings and transitional provisions 660. Repeal and rescission SCHEDULE 1 PROVISIONS WITH RESPECT TO HEARINGS OF BOARD UNDER CHAPTER 4 SCHEDULE 2 PROVISIONS WITH RESPECT TO MEMBERSHIP OF BOARD SCHEDULE 3 PROVISIONS WITH RESPECT TO MEETINGS OF BOARD SCHEDULE 4 PROVISIONS WITH RESPECT TO MEMBERS OF BOARD OF LEGAL EDUCATION SCHEDULE 5 PROVISIONS WITH RESPECT TO MEETINGS OF BOARD OF LEGAL EDUCATION SCHEDULE 6 PROVISIONS WITH RESPECT TO MEMBERSHIP OF TRIBUNAL SCHEDULE 7 PROVISIONS WITH RESPECT TO MEMBERSHIP OF TRUST SCHEDULE 8 PROVISIONS WITH RESPECT TO MEETINGS OF TRUST SCHEDULE 9 SAVINGS AND TRANSITIONAL PROVISIONS 30

LEGAL PROFESSION BILL 2007 (Brought in by the Minister for Justice and Workplace Relations, the Honourable Steven Kons) A BILL FOR An Act to provide for the regulation of legal practice in Tasmania and to facilitate the regulation of legal practice on a national basis, to repeal the Legal Profession Act 1993 and for other purposes Be it enacted by His Excellency the Governor of Tasmania, by and with the advice and consent of the Legislative Council and House of Assembly, in Parliament assembled, as follows: CHAPTER 1 INTRODUCTION PART 1.1 PRELIMINARY 1. Short title This Act may be cited as the Legal Profession Act 2007. 2. Commencement The provisions of this Act commence on a day or days to be proclaimed. [Bill 23] 31

Legal Profession Act 2007 Act No. of s. 3 Part 1.1 Preliminary 3. Purposes The purposes of this Act are as follows: (a) to provide for the regulation of legal practice in this jurisdiction in the interests of the administration of justice and for the protection of consumers of the services of the legal profession and the public generally; (b) to facilitate the regulation of legal practice on a national basis across State and Territory borders. 32

Legal Profession Act 2007 Act No. of Part 1.2 Interpretation s. 4 PART 1.2 INTERPRETATION 4. Interpretation (1) In this Act "ADI" means an authorised deposit-taking institution; "admission rules" means rules relating to the admission of local lawyers and associated matters made under Part 2.2 (Admission of local lawyers); "admission to the legal profession" means admission by a Supreme Court as (a) a lawyer; or (b) a legal practitioner; or (c) a barrister; or (d) a solicitor; or (e) a barrister and solicitor; or (f) a solicitor and barrister under this Act or a corresponding law, but does not include the grant of a practising certificate under this Act or a corresponding law and "admitted to the legal profession" has a corresponding meaning; 33

Legal Profession Act 2007 Act No. of s. 4 Part 1.2 Interpretation "affairs" of a law practice includes the following: (a) all accounts and records required under this Act or the regulations to be maintained by the practice or an associate or former associate of the practice; (b) other records of the practice or an associate or former associate of the practice; (c) any transaction (i) to which the practice or an associate or former associate of the practice was or is a party; or (ii) in which the practice or an associate or former associate of the practice has acted for a party; "amend" includes (a) in relation to a practising certificate (i) impose a condition on the certificate; and (ii) amend or revoke a condition already imposed on the certificate; and 34

Legal Profession Act 2007 Act No. of Part 1.2 Interpretation s. 4 (b) in relation to registration as a foreign lawyer (i) amend the lawyer's registration certificate; and (ii) impose a condition on the registration; and (iii) amend or revoke a condition already imposed on the registration; "approved ADI" means an ADI approved under section 273 (Approval of ADIs) by the prescribed authority; "approved form" see section 652 (Approved forms); "associate" see section 7 (Terms relating to associates and principals of law practices); "Australian lawyer" see section 5 (Terms relating to lawyers); "Australian legal practitioner" see section 6 (Terms relating to legal practitioners); "Australian practising certificate" means a local practising certificate or an interstate practising certificate; 35

Legal Profession Act 2007 Act No. of s. 4 Part 1.2 Interpretation "Australian-registered foreign lawyer" means a locally registered foreign lawyer or an interstate-registered foreign lawyer; "Australian roll" means the local roll or an interstate roll; "Australian trust account" means a local trust account or an interstate trust account; "barrister" means (a) a local legal practitioner who holds a current local practising certificate to practise as or in the manner of a barrister; or (b) an interstate legal practitioner who holds a current interstate practising certificate that entitles the practitioner to engage in legal practice only as or in the manner of a barrister; "Board" means the Legal Profession Board of Tasmania established by section 589; "Board of Legal Education" means the Board of Legal Education continued under section 604; "client" includes a person to whom or for whom legal services are provided; 36

Legal Profession Act 2007 Act No. of Part 1.2 Interpretation s. 4 "community legal centre" see the definition of "complying community legal centre"; "complying community legal centre" see section 218 (Community legal centres); "conditions" means conditions, limitations or restrictions; "contravene" includes fail to comply with; "controlled money" means money received or held by a law practice in respect of which the practice has a written direction to deposit the money in an account (other than a general trust account) over which the practice has or will have exclusive control; Note. See section 245(6) (Controlled money), which prevents pooling of controlled money. "controlled money account" means an account maintained by a law practice with an ADI for the holding of controlled money received by the practice; "conviction" see section 11 (References to convictions for offence); "corresponding authority" means (a) a person or body having functions or powers under a corresponding law; or 37

Legal Profession Act 2007 Act No. of s. 4 Part 1.2 Interpretation (b) when used in the context of a person or body having functions or powers under this Act (the "local authority") (i) a person or body having corresponding functions or powers under a corresponding law; and (ii) without limiting subparagraph (i), if the functions or powers of the local authority relate to local lawyers or local legal practitioners generally or are limited to any particular class of local lawyers or local legal practitioners, a person or body having corresponding functions or powers under a corresponding law regardless of whether they relate to interstate lawyers or interstate legal practitioners generally or are limited to any particular class of interstate lawyers or interstate legal practitioners; or (c) a person or body declared by the Minister by notice published in 38

Legal Profession Act 2007 Act No. of Part 1.2 Interpretation s. 4 the Gazette to be a corresponding authority; "corresponding disciplinary body" means (a) a body having functions or powers under a corresponding law that correspond to any of the functions or powers of the Board; or (b) a court or tribunal having functions or powers under a corresponding law that correspond to any of the functions or powers of the Supreme Court or Tribunal; or (c) the Supreme Court of another jurisdiction exercising (i) its inherent jurisdiction or powers in relation to the control and discipline of any Australian lawyers; or (ii) its jurisdiction or powers to make orders under a corresponding law of the other jurisdiction in relation to any Australian lawyers; or (d) a body declared by the Minister by notice published in the Gazette to be a corresponding disciplinary body; 39

Legal Profession Act 2007 Act No. of s. 4 Part 1.2 Interpretation "corresponding foreign law" means the following: (a) a law of a foreign country that corresponds to the relevant provisions of this Act or, if a regulation is made declaring a law of the foreign country to be a law that corresponds to this Act, the law declared under that regulation for the foreign country; (b) if the term is used in relation to a matter that happened before the commencement of the law of a foreign country that, under paragraph (a), is the corresponding law for the foreign country, a previous law applying to legal practice in the foreign country; "corresponding fund" means a fund in another jurisdiction that corresponds to the Guarantee Fund; "corresponding law" means the following: (a) a law of another jurisdiction that corresponds to the relevant provisions of this Act or, if a regulation is made declaring a law of the other jurisdiction to be a law that corresponds to this Act, the law declared under that 40

Legal Profession Act 2007 Act No. of Part 1.2 Interpretation s. 4 regulation for the other jurisdiction; (b) if the term is used in relation to a matter that happened before the commencement of the law of another jurisdiction that, under paragraph (a), is the corresponding law for the other jurisdiction, a previous law applying to legal practice in the other jurisdiction; "costs assessor" has the meaning given in section 283; "Council" means the Council of the Law Society; "disqualified person" means any of the following persons whether the thing that has happened to the person happened before or after the commencement of this definition: (a) a person whose name has (whether or not at his or her own request) been removed from an Australian roll and who has not subsequently been admitted or re- admitted to the legal profession under this Act or a corresponding law; (b) a person whose Australian practising certificate has been suspended or cancelled under this 41

Legal Profession Act 2007 Act No. of s. 4 Part 1.2 Interpretation Act or a corresponding law and who, because of the cancellation, is not an Australian legal practitioner, or in relation to whom that suspension has not finished; (c) a person who has been refused a renewal of an Australian practising certificate under this Act or a corresponding law, and to whom an Australian practising certificate has not been granted at a later time; (d) a person who is the subject of an order under this Act or a corresponding law prohibiting a law practice from employing or paying the person in connection with the relevant practice; (e) a person who is the subject of an order under this Act or a corresponding law prohibiting an Australian legal practitioner from being a partner of the person in a business that includes the practitioner's practice; (f) a person who is the subject of an order under section 133 (Disqualification from managing incorporated legal practice) or section 158 (Prohibition on partnerships with certain partners 42

Legal Profession Act 2007 Act No. of Part 1.2 Interpretation s. 4 who are not Australian legal practitioners) or under provisions of a corresponding law that correspond to section 133 or 158; "document" means any record of information, and includes (a) anything on which there is writing; and (b) anything on which there are marks, figures, symbols or perforations having a meaning for persons qualified to interpret them; and (c) anything from which sounds, images or writings can be reproduced with or without the aid of anything else; and (d) a map, plan, drawing or photograph and a reference in this Act to a document (as so defined) includes a reference to (e) any part of the document; and (f) any copy, reproduction or duplicate of the document or of any part of the document; and (g) any part of such a copy, reproduction or duplicate; 43

Legal Profession Act 2007 Act No. of s. 4 Part 1.2 Interpretation "engage in legal practice" includes practise law; "external territory" means a territory of the Commonwealth (not being the Australian Capital Territory, the Jervis Bay Territory or the Northern Territory of Australia) for the government of which as a Territory provision is made by a Commonwealth Act; "financial year" means a year ending on 30 June; "foreign country" means (a) a country other than Australia; or (b) a state, province or other part of a country other than Australia; "foreign roll" means an official roll of lawyers (whether admitted, practising or otherwise) kept in a foreign country, but does not include a prescribed roll or a prescribed kind of roll; "functions" includes duties; "general trust account" means an account maintained by a law practice with an approved ADI for the holding of trust money received by the practice, other than controlled money or transit money; "grant" of a practising certificate includes the issue of a practising certificate; 44

Legal Profession Act 2007 Act No. of Part 1.2 Interpretation s. 4 "GST" has the same meaning as in the A New Tax System (Goods and Services Tax) Act 1999 of the Commonwealth; "Guarantee Fund" means the Solicitors' Guarantee Fund continued under section 358; "home jurisdiction" see section 8 (Home jurisdiction); "incorporated legal practice" has the same meaning as in Part 2.5 (Incorporated legal practices and multi-disciplinary partnerships); "information notice" see section 10 (Information notices); "insolvent under administration" means (a) a person who is an undischarged bankrupt within the meaning of the Bankruptcy Act 1966 of the Commonwealth (or the corresponding provisions of the law of a foreign country or external territory); or (b) a person who has executed a deed of arrangement under Part X of the Bankruptcy Act 1966 of the Commonwealth (or the corresponding provisions of the law of a foreign country or external territory) if the terms of 45

Legal Profession Act 2007 Act No. of s. 4 Part 1.2 Interpretation the deed have not been fully complied with; or (c) a person whose creditors have accepted a composition under Part X of the Bankruptcy Act 1966 of the Commonwealth (or the corresponding provisions of the law of a foreign country or external territory) if a final payment has not been made under that composition; or (d) a person for whom a debt agreement has been made under Part IX of the Bankruptcy Act 1966 of the Commonwealth (or the corresponding provisions of the law of a foreign country or external territory) if the debt agreement has not ended or has not been terminated; or (e) a person who has executed a personal insolvency agreement under Part X of the Bankruptcy Act 1966 of the Commonwealth (or the corresponding provisions of the law of a foreign country or external territory) but not if the agreement has been set aside or terminated or all of the obligations that the agreement created have been discharged; 46

Legal Profession Act 2007 Act No. of Part 1.2 Interpretation s. 4 "interstate lawyer" see section 5 (Terms relating to lawyers); "interstate legal practitioner" see section 6 (Terms relating to legal practitioners); "interstate practising certificate" means a current practising certificate granted under a corresponding law; "interstate-registered foreign lawyer" means a person who is registered as a foreign lawyer under a corresponding law; "interstate roll" means a roll of lawyers maintained under a corresponding law; "interstate trust account" means a trust account maintained under a corresponding law; "jurisdiction" means a State or Territory of the Commonwealth; "law firm" means a partnership consisting only of (a) Australian legal practitioners; or (b) one or more Australian legal practitioners and one or more Australian-registered foreign lawyers; "Law Foundation of Tasmania" means the company limited by guarantee 47

Legal Profession Act 2007 Act No. of s. 4 Part 1.2 Interpretation incorporated under that name on 1 July 1980; "law practice" means (a) an Australian legal practitioner who is a sole practitioner; or (b) a law firm; or (c) a multi-disciplinary partnership; or (d) an incorporated legal practice; or (e) a complying community legal centre; "Law Society" means the Law Society of Tasmania; "lay associate" see section 7 (Terms relating to associates and principals of law practices); "lay person" means a person who is not an Australian lawyer; "Legal Aid Commission" means the Legal Aid Commission of Tasmania constituted under the Legal Aid Commission Act 1990; "legal costs" means amounts that a person has been or may be charged by, or is or may become liable to pay to, a law practice for the provision of legal services, 48

Legal Profession Act 2007 Act No. of Part 1.2 Interpretation s. 4 including disbursements but not including interest; "legal practitioner associate" see section 7 (Terms relating to associates and principals of law practices); "legal practitioner director", in relation to an incorporated legal practice, has the meaning given in Part 2.5 (Incorporated legal practices and multi-disciplinary partnerships); "legal practitioner partner" in relation to a multi-disciplinary partnership, has the meaning given in Part 2.5 (Incorporated legal practices and multi-disciplinary partnerships); "legal profession rules" means rules relating to legal practice made under this Act; "legal services" means work done, or business transacted, in the ordinary course of legal practice; "local lawyer" see section 5 (Terms relating to lawyers); "local legal practitioner" see section 6 (Terms relating to legal practitioners); "local practising certificate" means a practising certificate granted under this Act; 49

Legal Profession Act 2007 Act No. of s. 4 Part 1.2 Interpretation "local roll" means the roll of lawyers maintained under this Act; "local trust account" means a trust account maintained under this Act; "locally registered foreign lawyer" means a person who is registered as a foreign lawyer under this Act; "managed investment scheme" has the same meaning as in Chapter 5C of the Corporations Act 2001 of the Commonwealth; "modifications" includes modifications by way of alteration, omission, addition or substitution; "mortgage" means an instrument under which an interest in real property is charged, encumbered or transferred as security for the payment or repayment of money, and includes (a) any instrument of a kind that is prescribed by the regulations as being a mortgage; and (b) a proposed mortgage; "mortgage financing" means facilitating a loan secured or intended to be secured by mortgage by 50

Legal Profession Act 2007 Act No. of Part 1.2 Interpretation s. 4 (a) acting as an intermediary to match a prospective lender and borrower; or (b) arranging the loan; or (c) receiving or dealing with payments for the purposes of, or under, the loan but does not include providing legal advice, legal services or preparing an instrument for the loan; "mortgage investment scheme" means (a) a scheme in which (i) more than one person contributes money to the scheme; and (ii) that money is pooled in a fund to make investments in property or other securities; and (iii) the securities arising from the money invested are controlled by a person who has the day-to-day control of the scheme, including the authority to acquire mortgage securities or other securities; or 51

Legal Profession Act 2007 Act No. of s. 4 Part 1.2 Interpretation (b) such other scheme as may be prescribed; "multi-disciplinary partnership" has the meaning given in Part 2.5 (Incorporated legal practices and multi-disciplinary partnerships); "practical legal training" means (a) legal training by participation in course work; or (b) supervised legal training, whether involving articles of clerkship or otherwise or a combination of both; "principal" see section 7 (Terms relating to associates and principals of law practices); "professional misconduct" see section 421 (Professional misconduct); "Register" means the Register of Disciplinary Action referred to in section 497; "registered medical practitioner" has the same meaning as in the Medical Practitioners Registration Act 1996; "Registrar" means the Registrar of the Supreme Court; "regulatory authority" means 52

Legal Profession Act 2007 Act No. of Part 1.2 Interpretation s. 4 (a) in relation to this jurisdiction (i) a person or body having functions or powers under this Act; or (ii) a person or body prescribed by the regulations as a regulatory authority of this jurisdiction; or (b) in relation to another jurisdiction (i) if there is only one regulatory authority for the other jurisdiction, that regulatory authority, unless subparagraph (iii) applies; or (ii) if there are separate regulatory authorities for the other jurisdiction for different branches of the legal profession or for persons who practise in a particular style of legal practice, the regulatory authority relevant to the branch or style concerned, unless subparagraph (iii) applies; or (iii) if the regulations specify or provide for the 53

Legal Profession Act 2007 Act No. of s. 4 Part 1.2 Interpretation determination of one or more regulatory authorities for the other jurisdiction either generally or for particular purposes, the regulatory authority or authorities specified or determined in accordance with the regulations; "rules" includes "admission rules", "legal profession rules" and Board of Legal Education rules made under section 608; "serious offence" means an offence whether committed in or outside this jurisdiction that is (a) an indictable offence against a law of the Commonwealth or any jurisdiction (whether or not the offence is or may be dealt with summarily); or (b) an offence against a law of another jurisdiction that would be an indictable offence against a law of this jurisdiction if committed in this jurisdiction (whether or not the offence could be dealt with summarily if committed in this jurisdiction); or (c) an offence against a law of a foreign country that would be an 54

Legal Profession Act 2007 Act No. of Part 1.2 Interpretation s. 4 indictable offence against a law of the Commonwealth or this jurisdiction if committed in this jurisdiction (whether or not the offence could be dealt with summarily if committed in this jurisdiction); "show cause event", in relation to a person, means (a) his or her becoming bankrupt or being served with notice of a creditor's petition presented to the Court under section 43 of the Bankruptcy Act 1966 of the Commonwealth; or (b) his or her presentation (as a debtor) of a declaration to the Official Receiver under section 54A of the Bankruptcy Act 1966 of the Commonwealth of his or her intention to present a debtor's petition or his or her presentation (as a debtor) of such a petition under section 55 of that Act; or (c) his or her applying to take the benefit of any law for the relief of bankrupt or insolvent debtors, compounding with his or her creditors or making an assignment of his or her remuneration for their benefit; or 55

Legal Profession Act 2007 Act No. of s. 4 Part 1.2 Interpretation (d) his or her conviction for a serious offence or a tax offence, whether or not (i) the offence was committed in or outside this jurisdiction; or (ii) the offence was committed while the person was engaging in legal practice as an Australian legal practitioner or was practising foreign law as an Australian-registered foreign lawyer, as the case requires; or (iii) other persons are prohibited from disclosing the identity of the offender; "sole practitioner" means an Australian legal practitioner who engages in legal practice on his or her own account; "solicitor" means (a) a local legal practitioner who holds a current local practising certificate to practise as a barrister and solicitor; or (b) an interstate legal practitioner who holds a current interstate 56

Legal Profession Act 2007 Act No. of Part 1.2 Interpretation s. 4 practising certificate that does not restrict the practitioner from engaging in legal practice only as or in the manner of a barrister; "suitability matter" see section 9 (Suitability matters); "supervised legal practice" means legal practice by a person who is an Australian legal practitioner (a) as an employee of a law practice, where (i) at least one partner, legal practitioner director or other employee of the law practice is an Australian legal practitioner who holds an unrestricted practising certificate; and (ii) the person engages in legal practice under the supervision of an Australian legal practitioner referred to in subparagraph (i); or (b) as a partner in a law firm, where (i) at least one other partner is an Australian legal practitioner who holds an 57

Legal Profession Act 2007 Act No. of s. 4 Part 1.2 Interpretation unrestricted practising certificate; and (ii) the person engages in legal practice under the supervision of an Australian legal practitioner referred to in subparagraph (i); or (c) in a capacity approved under a legal profession rule; "tax offence" means any offence under the Taxation Administration Act 1953 of the Commonwealth, whether committed in or outside this jurisdiction; "this jurisdiction" means this State; "Tribunal" means the Disciplinary Tribunal established by section 610; "Trust" means the Solicitors' Trust continued under section 633; "trust account" means an account maintained by a law practice with an approved ADI to hold trust money; "trust money" has the meaning given in Part 3.2 (Trust money and trust accounts); "trust property" means property entrusted to a law practice in the course of or in connection with the provision of legal 58

Legal Profession Act 2007 Act No. of Part 1.2 Interpretation s. 5 services by the practice, but does not include trust money referred to in section 232; "unrestricted practising certificate" means an Australian practising certificate that is not subject to any condition under this Act or a corresponding law requiring the holder to engage in supervised legal practice or restricting the holder to practise as or in the manner of a barrister; "unsatisfactory professional conduct" see section 420 (Unsatisfactory professional conduct). (2) Notes included in this Act do not form part of this Act. 5. Terms relating to lawyers For the purposes of this Act (a) an "Australian lawyer" is a person who is admitted to the legal profession under this Act or a corresponding law; and (b) a "local lawyer" is a person who is admitted to the legal profession under this Act (whether or not the person is also admitted under a corresponding law); and (c) an "interstate lawyer" is a person who is admitted to the legal profession under a 59

Legal Profession Act 2007 Act No. of s. 6 Part 1.2 Interpretation corresponding law, but not under this Act. 6. Terms relating to legal practitioners For the purposes of this Act (a) an "Australian legal practitioner" is an Australian lawyer who holds a current local practising certificate or a current interstate practising certificate; and (b) a "local legal practitioner" is an Australian lawyer who holds a current local practising certificate; and (c) an "interstate legal practitioner" is an Australian lawyer who holds a current interstate practising certificate, but not a local practising certificate. 7. Terms relating to associates and principals of law practices (1) For the purposes of this Act, an "associate" of a law practice is (a) an Australian legal practitioner who is (i) a sole practitioner (in the case of a law practice constituted by the practitioner); or (ii) a partner in the law practice (in the case of a law firm); or 60

Legal Profession Act 2007 Act No. of Part 1.2 Interpretation s. 7 (iii) a legal practitioner director in the law practice (in the case of an incorporated legal practice); or (iv) a legal practitioner partner in the law practice (in the case of a multi-disciplinary partnership); or (v) an employee of, or consultant to, the law practice; or (b) an agent of the law practice who is not an Australian legal practitioner; or (c) an employee of the law practice who is not an Australian legal practitioner; or (d) an Australian-registered foreign lawyer who is a partner in the law practice; or (e) a person (not being an Australian legal practitioner) who is a partner in a multi- disciplinary partnership; or (f) an Australian-registered foreign lawyer who has a relationship with the law practice, being a relationship that is of a class prescribed by the regulations. (2) For the purposes of this Act (a) a "legal practitioner associate" of a law practice is an associate of the practice who is an Australian legal practitioner; and 61

Legal Profession Act 2007 Act No. of s. 8 Part 1.2 Interpretation (b) a "lay associate" of a law practice means an associate of the practice who is not an Australian legal practitioner. (3) For the purposes of this Act, a "principal" of a law practice is an Australian legal practitioner who is (a) a sole practitioner (in the case of a law practice constituted by the practitioner); or (b) a partner in the law practice (in the case of a law firm); or (c) a legal practitioner director in the law practice (in the case of an incorporated legal practice); or (d) a legal practitioner partner in the law practice (in the case of a multi- disciplinary partnership). 8. Home jurisdiction (1) This section has effect for the purposes of this Act. (2) The "home jurisdiction" for an Australian legal practitioner is the jurisdiction in which the practitioner's only or most recent current Australian practising certificate was granted. (3) The "home jurisdiction" for an Australian- registered foreign lawyer is the jurisdiction in 62

Legal Profession Act 2007 Act No. of Part 1.2 Interpretation s. 8 which the lawyer's only or most recent current registration was granted. (4) The "home jurisdiction" for an associate of a law practice who is neither an Australian legal practitioner nor an Australian-registered foreign lawyer is (a) where only one jurisdiction is the home jurisdiction for the only associate of the practice who is an Australian legal practitioner or for all the associates of the practice who are Australian legal practitioners, that jurisdiction; or (b) where no one jurisdiction is the home jurisdiction for all the associates of the practice who are Australian legal practitioners (i) the jurisdiction in which the office is situated at which the associate performs most of his or her duties for the law practice; or (ii) if a jurisdiction cannot be determined under subparagraph (i), the jurisdiction in which the associate is enrolled under a law of the jurisdiction to vote at elections for the jurisdiction; or (iii) if a jurisdiction can be determined under neither subparagraph (i) nor subparagraph (ii), the jurisdiction 63

Legal Profession Act 2007 Act No. of s. 9 Part 1.2 Interpretation determined in accordance with criteria specified or referred to in the regulations. 9. Suitability matters (1) Each of the following is a "suitability matter" in relation to a natural person: (a) whether the person is currently of good fame and character; (b) whether the person is or has been an insolvent under administration; (c) whether the person has been convicted of an offence in Australia or a foreign country, and, if so (i) the nature of the offence; and (ii) how long ago the offence was committed; and (iii) the person's age when the offence was committed; Note. The rules may make provision for the convictions that must be disclosed by an applicant and those that need not be disclosed. (d) whether the person engaged in legal practice in Australia (i) when not admitted to the legal profession, or not holding a 64

Legal Profession Act 2007 Act No. of Part 1.2 Interpretation s. 9 practising certificate, as required under this Act or a previous law of this jurisdiction that corresponds to this Act or under a corresponding law; or (ii) if admitted to the legal profession, in contravention of a condition on which admission was granted; or (iii) if holding an Australian practising certificate, in contravention of a condition of the certificate or while the certificate was suspended; (e) whether the person has practised law in a foreign country (i) when not permitted by or under a law of that country to do so; or (ii) if permitted to do so, in contravention of a condition of the permission; (f) whether the person is currently subject to an unresolved complaint, investigation, charge or order under any of the following: (i) this Act or a previous law of this jurisdiction that corresponds to this Act; 65

Legal Profession Act 2007 Act No. of s. 9 Part 1.2 Interpretation (ii) a corresponding law or corresponding foreign law; (g) whether the person (i) is the subject of current disciplinary action, however expressed, in another profession or occupation in Australia or a foreign country; or (ii) has been the subject of disciplinary action, however expressed, relating to another profession or occupation that involved a finding of guilt; (h) whether the person's name has been removed from (i) a local roll, and has not since been restored to or entered on a local roll; or (ii) an interstate roll, and has not since been restored to or entered on an interstate roll; or (iii) a foreign roll; (i) whether the person's right to engage in legal practice has been suspended or cancelled in Australia or a foreign country; 66

Legal Profession Act 2007 Act No. of Part 1.2 Interpretation s. 10 (j) whether the person has contravened, in Australia or a foreign country, a law about trust money or trust accounts; (k) whether, under this Act, a law of the Commonwealth or a corresponding law, a supervisor, manager or receiver, however described, is or has been appointed in relation to any legal practice engaged in by the person; (l) whether the person is or has been subject to an order, under this Act, a law of the Commonwealth or a corresponding law, disqualifying the person from being employed by, or a partner of, an Australian legal practitioner or from managing a corporation that is an incorporated legal practice; (m) whether the person is currently unable to satisfactorily carry out the inherent requirements of practice as an Australian legal practitioner. (2) A matter is a suitability matter even if it happened before the commencement of this section. 10. Information notices For the purposes of this Act, an information notice is a written notice to a person about a decision stating 67

Legal Profession Act 2007 Act No. of s. 11 Part 1.2 Interpretation (a) the decision; and (b) the reasons for the decision; and (c) the rights of appeal or review available to the person in respect of the decision and the period within which any such appeal or review must be made or applied for. 11. References to convictions for offences (1) A reference in this Act to a conviction includes a finding of guilt, or the acceptance of a guilty plea, whether or not a conviction is recorded. (2) Without limiting subsection (1), a reference in this Act to the quashing of a conviction for an offence includes a reference to the quashing of (a) a finding of guilt in relation to the offence; or (b) the acceptance of a guilty plea in relation to the offence. (3) However, a reference in this Act to the quashing of a conviction for an offence does not include a reference to the quashing of a conviction where (a) a finding of guilt in relation to the offence; or (b) the acceptance of a guilty plea in relation to the offence 68

Legal Profession Act 2007 Act No. of Part 1.2 Interpretation s. 11 remains unaffected. 69

Legal Profession Act 2007 Act No. of s. 12 Part 2.1 Reservation of Legal Work and Legal Titles CHAPTER 2 GENERAL REQUIREMENTS FOR ENGAGING IN LEGAL PRACTICE PART 2.1 RESERVATION OF LEGAL WORK AND LEGAL TITLES Division 1 Preliminary 12. Purposes The purposes of this Part are as follows: (a) to protect the public interest in the proper administration of justice by ensuring that legal work is carried out only by those who are properly qualified to do so; (b) to protect consumers by ensuring that persons carrying out legal work are entitled to do so. Division 2 General prohibitions on unqualified practice 13. Prohibition on engaging in legal practice when not entitled (1) A person must not engage in legal practice in this jurisdiction unless the person is an Australian legal practitioner. Penalty: Fine not exceeding 200 penalty units, or imprisonment for a term not exceeding 2 years, or both. 70

Legal Profession Act 2007 Act No. of Part 2.1 Reservation of Legal Work and Legal Titles s. 13 (2) Subsection (1) does not apply to engaging in legal practice of the following kinds: (a) legal practice engaged in under the authority of a law of this jurisdiction or of the Commonwealth; (b) legal practice engaged in pursuant to employment under the State Service Act 2000; (c) legal practice engaged in pursuant to employment in a council; (d) legal practice engaged in by an incorporated legal practice in accordance with Part 2.5 (Incorporated legal practices and multi-disciplinary partnerships); (e) the practice of foreign law by an Australian-registered foreign lawyer in accordance with Part 2.6 (Legal practice by foreign lawyers); (f) legal practice engaged in by a complying community legal centre; (g) conveyancing work carried out in accordance with a licence in force under the Conveyancing Act 2004; (h) preparing or assisting in the preparation of any deed or will or any instrument in writing purporting to create or convey any estate or interest in real or personal property, or otherwise practising the 71

Legal Profession Act 2007 Act No. of s. 13 Part 2.1 Reservation of Legal Work and Legal Titles business of a conveyancer, provided it is not done for fee or reward; (i) publishing or selling information or material describing the procedures relating to the conveyance or transfer of property that does not involve the preparation of an instrument purporting to convey or transfer property; (j) work performed by a property agent in respect of instruments he or she is entitled to draw, fill up or prepare, and to charge for, under the Property Agents and Land Transactions Act 2005; (k) the drawing of instruments by an officer or employee in the service of the State in the course of his or her duties; (l) work performed by (i) The Public Trustee established under the Public Trustee Act 1930; or (ii) a trustee company as defined by the Trustee Companies Act 1953 in the course of preparing a will or carrying out any other activities involving the administration of trusts, the estates of living or deceased persons, or the affairs of living persons; (m) appearing or defending in person; 72

Legal Profession Act 2007 Act No. of Part 2.1 Reservation of Legal Work and Legal Titles s. 14 (n) acting on one's own behalf in any legal proceedings or matters; (o) legal practice engaged in by a complying community legal centre; (p) legal practice of a kind prescribed by the regulations. (3) Subsection (1) does not apply to a person or class of persons declared by the regulations to be exempt from the operation of subsection (1). (4) A person is not entitled to recover any amount in respect of anything the person did in contravention of subsection (1). (5) A person may recover from another person, as a debt due to the person, any amount the person paid to the other person in respect of anything the other person did in contravention of subsection (1). (6) The regulations may make provision for or with respect to the application (with or without specified modifications) of provisions of this Act to persons engaged in legal practice of a kind referred to in subsection (2) (other than subsection (2)(a) and (d)). 14. Prohibition on representing or advertising entitlement to engage in legal practice when not entitled (1) A person must not represent or advertise that the person is entitled to engage in legal practice 73

Legal Profession Act 2007 Act No. of s. 14 Part 2.1 Reservation of Legal Work and Legal Titles unless the person is an Australian legal practitioner. Penalty: Fine not exceeding 100 penalty units. (2) A director, officer, employee or agent of a body corporate must not represent or advertise that the body corporate is entitled to engage in legal practice unless the body corporate is an incorporated legal practice or a complying community legal centre. Penalty: Fine not exceeding 100 penalty units. (3) Subsections (1) and (2) do not apply to a representation or advertisement about being entitled to engage in legal practice of a kind referred to in section 13(2) (Prohibition on engaging in legal practice when not entitled) by a person so entitled. (4) A reference in this section to a person (a) representing or advertising that the person is entitled to engage in legal practice; or (b) representing or advertising that a body corporate is entitled to engage in legal practice includes a reference to the person doing anything that states or implies that the person or the body corporate is entitled to engage in legal practice. 74

Legal Profession Act 2007 Act No. of Part 2.1 Reservation of Legal Work and Legal Titles s. 15 15. Presumptions about taking or using name, title or description specified in regulations (1) This section applies to the following names, titles and descriptions: (a) legal practitioner; (b) barrister; (c) solicitor; (d) attorney; (e) counsel; (f) Queen's Counsel; (g) King's Counsel; (h) Her Majesty's Counsel; (i) His Majesty's Counsel; (j) Senior Counsel; (k) any other name, title or description as may be provided. (2) The regulations may specify the kind of persons who are entitled, and the circumstances in which they are entitled, to take or use a name, title or description to which this section applies. (3) For the purposes of section 14(1) (Prohibition on representing or advertising entitlement to engage in legal practice when not entitled), the taking or using of a name, title or description to which this section applies by a person who is not entitled to 75

Legal Profession Act 2007 Act No. of s. 16 Part 2.1 Reservation of Legal Work and Legal Titles take or use that name, title or description gives rise to a rebuttable presumption that the person represented that they are entitled to engage in legal practice. (4) For the purposes of section 14(2), the taking or using of a name, title or description to which this section applies by a person in relation to a body corporate, of which the person is a director, officer, employee or agent, gives rise to a rebuttable presumption that the person represented that the body corporate is entitled to engage in legal practice. Division 3 Prohibitions regarding associates and non-legal partners 16. Definition For the purposes of this Division "lay associate" of a law practice has the same meaning as in section 7 (Terms relating to associates and principals of law practices), and includes a consultant to the law practice (however described) who (a) is not an Australian legal practitioner; and (b) provides legal or related services to the law practice, other than services of a kind prescribed by the regulations. 76

Legal Profession Act 2007 Act No. of Part 2.1 Reservation of Legal Work and Legal Titles s. 17 17. Associates who are disqualified or convicted persons (1) A law practice must not have a lay associate whom any principal or other legal practitioner associate of the practice knows to be (a) a disqualified person; or (b) a person who has been convicted of a serious offence unless the lay associate is approved by the Board under subsection (2). (2) The Board may, on application, approve a lay associate for the purposes of this section. (3) An approval under this section may be subject to specified conditions. (4) A disqualified person, or a person convicted of a serious offence, must not seek to become a lay associate of a law practice unless the person first informs the law practice of the disqualification or conviction. Penalty: Fine not exceeding 50 penalty units. (5) Proceedings for an offence under subsection (4) may only be brought within 6 months after discovery of the offence by the law practice. (6) This section does not apply in circumstances prescribed by the regulations. 77

Legal Profession Act 2007 Act No. of s. 18 Part 2.1 Reservation of Legal Work and Legal Titles 18. Appeal by law practice or lay associate (1) A law practice or the lay associate who is the subject of the application for approval may appeal to the Supreme Court within 30 days (a) from a refusal of the Board to give an approval; or (b) against any conditions imposed on an approval by the Board. (2) If the Board has not given or refused to give an approval within 60 days after an application for approval was made, the Board must be taken to have given the approval. (3) After hearing the matter, the Supreme Court (a) may refuse, grant or confirm an approval; and (b) if it grants an approval, may impose any conditions on the approval it thinks fit; and (c) if it confirms an approval, may confirm or vary any conditions imposed on the approval by the Board and impose any further conditions on the approval it thinks fit. (4) A law practice must comply with any conditions imposed on an approval by the Board or the Supreme Court. Penalty: Fine not exceeding 100 penalty units. 78

Legal Profession Act 2007 Act No. of Part 2.1 Reservation of Legal Work and Legal Titles s. 19 19. Prohibition on employment of certain lay associates (1) This section applies to a person who is not an Australian legal practitioner and who is or was a lay associate of a law practice that (a) engages in legal practice principally in this jurisdiction; or (b) employs or employed the person to work principally in this jurisdiction and so applies whether or not the law practice subsequently ceased to exist or engage in legal practice principally in this jurisdiction and whether or not any person ceases, by death or otherwise, to be a legal practitioner associate of the law practice. (2) On application by the Board, the Supreme Court may make an order prohibiting any law practice from employing or paying in connection with the legal practice engaged in by the law practice a specified person to whom this section applies, if (a) the Supreme Court is satisfied that the person is not a fit and proper person to be employed or paid in connection with that legal practice; or (b) the Supreme Court is satisfied that the person has been guilty of conduct that, if the person were an Australian legal practitioner, would have constituted unsatisfactory professional conduct or professional misconduct. 79

Legal Profession Act 2007 Act No. of s. 20 Part 2.1 Reservation of Legal Work and Legal Titles (3) An order made under subsection (2) may be made for a specified period or indefinitely. (4) An order under this section may apply to a specified law practice or specified class of law practices or may apply to law practices generally. (5) An order under this section may be revoked by the Supreme Court on application by the Board or the person against whom the order was made. 20. Proceedings on prohibition orders (1) The parties to an application to the Supreme Court under this Division may be represented by an Australian legal practitioner at the hearing of the application. (2) On making an order under this Division, or on determining an appeal under section 18 (Appeal against lay associate approval), the Supreme Court may make orders for costs. (3) An order for costs (a) may be for a specified amount or an unspecified amount; and (b) if for an unspecified amount, may specify the basis on which the amount is to be determined; and (c) may specify the terms on which costs must be paid. 80

Legal Profession Act 2007 Act No. of Part 2.1 Reservation of Legal Work and Legal Titles s. 21 21. Register of approvals and prohibition orders The Board must (a) maintain in its office a register of approvals under section 17 (Associates who are disqualified or convicted persons); and (b) maintain in its office a register of approvals and orders made by the Supreme Court under section 18 (Appeal by law practice or lay associate) and section 158 (Prohibition on partnerships with certain partners who are not Australian legal practitioners) and orders prohibiting the employment of certain lay associates made under section 19 (Prohibition on employment of certain lay associates); and (c) permit the register to be inspected by Australian legal practitioners during office hours and without charge, but only if the inspection is made by, or on behalf of, an Australian legal practitioner; and (d) permit the register to be inspected by the prescribed authority. Division 4 General 22. Professional discipline (1) A contravention of this Part by an Australian lawyer who is not an Australian legal 81

Legal Profession Act 2007 Act No. of s. 22 Part 2.1 Reservation of Legal Work and Legal Titles practitioner is capable of constituting unsatisfactory professional conduct or professional misconduct. (2) Nothing in this Part affects any liability that a person who is an Australian lawyer but not an Australian legal practitioner may have under Chapter 4 (Complaints and discipline), and the person may be punished for an offence under this Part as well as being dealt with under Chapter 4 in relation to the same matter. 82

Legal Profession Act 2007 Act No. of Part 2.2 Admission of Local Lawyers s. 23 PART 2.2 ADMISSION OF LOCAL LAWYERS Division 1 Preliminary 23. Purposes The purposes of this Part are as follows: (a) in the interests of the administration of justice and for the protection of consumers of legal services, to provide a system under which only applicants who have appropriate academic qualifications and practical legal training and who are otherwise fit and proper persons to be admitted are qualified for admission to the legal profession in this jurisdiction; (b) to provide for the recognition of equivalent qualifications and training that make applicants eligible for admission to the legal profession in other jurisdictions. 24. Definitions In this Part "admission" means admission to the legal profession under this Act; "admission rules" means the rules made under section 38 (Admission rules); 83

Legal Profession Act 2007 Act No. of s. 25 Part 2.2 Admission of Local Lawyers "applicant" or "applicant for admission" means an applicant for admission to the legal profession under this Act; "Board of Legal Education rules" means rules made under section 608 (Rules of Board of Legal Education); "overseas applicant" means a person who has obtained academic qualifications, completed practical legal training or gained experience in legal practice wholly or partly overseas; "professional association" means the Law Society, the Tasmanian Bar Association, Tasmanian Independent Bar or other prescribed body. Division 2 Eligibility and suitability for admission 25. Eligibility for admission (1) A person is eligible for admission to the legal profession only if the person is a natural person aged 18 years or over and (a) the person has attained (i) approved academic qualifications; or (ii) corresponding academic qualifications 84

Legal Profession Act 2007 Act No. of Part 2.2 Admission of Local Lawyers s. 25 or is exempted from compliance with this paragraph under subsection (4); and (b) the person has satisfactorily completed (i) approved practical legal training requirements; or (ii) corresponding practical legal training requirements or is exempted from compliance with this paragraph under subsection (4). (2) In this section "approved academic qualifications" means academic qualifications that are approved, under the Board of Legal Education rules, for admission to the legal profession in this jurisdiction; "approved practical legal training requirements" means legal training requirements that are approved, under the Board of Legal Education rules, for admission to the legal profession in this jurisdiction; "corresponding academic qualifications" means academic qualifications that would qualify the person for admission to the legal profession in another jurisdiction, if the Board of Legal Education is satisfied that substantially the same minimum criteria apply for the approval of academic qualifications for 85

Legal Profession Act 2007 Act No. of s. 25 Part 2.2 Admission of Local Lawyers admission in the other jurisdiction as apply in this jurisdiction; "corresponding practical legal training requirements" means legal training requirements that would qualify the person for admission to the legal profession in another jurisdiction, if the Board of Legal Education is satisfied that substantially the same minimum criteria apply for the approval of legal training requirements for admission in the other jurisdiction as apply in this jurisdiction. (3) For the purposes of subsection (2), the Board of Legal Education may satisfy itself regarding the minimum criteria for the approval of academic qualifications, or legal training requirements, for admission in another jurisdiction by considering appropriate advice from an authority of the other jurisdiction that those criteria were established consistently with relevant agreed standards, and accordingly the Board of Legal Education need not examine (in detail or at all) the content of courses of legal study or legal training requirements prescribed in the other jurisdiction. (4) The Supreme Court, on the recommendation of the Board of Legal Education, may exempt a person from the requirements of subsection (1)(a) or (b), or both, if satisfied that the person has (a) sufficient academic qualifications; or 86

Legal Profession Act 2007 Act No. of Part 2.2 Admission of Local Lawyers s. 26 (b) sufficient relevant experience in legal practice or relevant service with a government department or government agency or both, so as to render the person eligible for admission, whether the qualifications or experience were obtained wholly or partly in Australia or overseas. (5) An exemption under subsection (4) may be given unconditionally or subject to such conditions relating to the obtaining of further academic qualifications or further legal training as the Supreme Court, on the recommendation of the Board of Legal Education, considers appropriate. (6) For the purposes of subsection (3), the regulations may identify or provide a means of identifying the relevant agreed standards. 26. Suitability for admission (1) The Supreme Court must, in deciding if a person is a fit and proper person to be admitted to the legal profession under this Act, consider (a) each of the suitability matters in relation to the person to the extent a suitability matter is appropriate; and (b) any other matter it considers relevant. (2) However, the Supreme Court may consider a person to be a fit and proper person to be 87

Legal Profession Act 2007 Act No. of s. 27 Part 2.2 Admission of Local Lawyers admitted to the legal profession under this Act despite a suitability matter because of the circumstances relating to the matter. (3) To enable the Supreme Court to make a decision under subsection (1), the Supreme Court may require an applicant (a) to obtain from the Commissioner of Police, at the applicant's expense, a report in relation to convictions (if any) of the applicant in this or any other jurisdiction, including the Commonwealth, and to provide that report to the Court; or (b) to be medically examined by a registered medical practitioner nominated by the Court and to furnish a report of that examination to the Court, at the applicant's expense. 27. Early consideration of suitability (1) A person may apply to the Supreme Court for a declaration that matters disclosed by the person will not adversely affect an assessment by the Court as to whether the person is a fit and proper person to be admitted. (2) The Supreme Court is to consider each application under this section and make an order or declaration as it sees fit. 88

Legal Profession Act 2007 Act No. of Part 2.2 Admission of Local Lawyers s. 28 28. Binding effect of declaration or order An order or declaration made under section 27 is binding unless the applicant failed on the application to make a full and fair disclosure of all matters relevant to the declaration sought. 29. Entitlement to be represented, heard and make representations (1) The Board, a professional association and the applicant concerned are entitled (a) to make representations in writing to the Supreme Court in relation to any matter under consideration by the Court under this Division; and (b) to be represented and heard at any application or appeal under this Division. (2) The Supreme Court is to notify the Board and any relevant professional association in accordance with the admission rules of (a) any application for a declaration under section 27 (Early consideration of suitability); and (b) any order or declaration made under that section. 89

Legal Profession Act 2007 Act No. of s. 30 Part 2.2 Admission of Local Lawyers Division 3 Admission to the legal profession 30. Notice of intention to apply for admission (1) A person who intends to apply for admission to the legal profession is to cause a notice of that intention to be published within such period and in such a manner as are prescribed by the admission rules. (2) A person who wishes to extend or shorten the period referred to in subsection (1) may apply to the Supreme Court for an order to that effect. (3) A person who makes an application under subsection (2) is to forward a copy of that application to the Board, the Law Society and any other relevant professional association. (4) The Supreme Court must not hear an application unless (a) it is satisfied that the provisions of subsection (3) have been complied with; and (b) the Board, the Law Society and any other relevant professional association are given an opportunity to appear before the Court hearing the application. 31. Admission (1) A person may apply to the Supreme Court to be admitted to the legal profession. 90

Legal Profession Act 2007 Act No. of Part 2.2 Admission of Local Lawyers s. 31 (2) The applicant must provide a copy of the application to the Board, the Law Society and any other relevant professional association in accordance with the admission rules. (3) On receipt of an application under subsection (1), the Supreme Court may refer the application to the Board of Legal Education and request the Board of Legal Education to (a) provide a recommendation on the person's eligibility for admission; or (b) report on any matter relevant to the person's eligibility for admission. (4) The Board of Legal Education is to provide its recommendation to the Supreme Court within 30 days of the receipt of the request under subsection (3) unless the applicant is an overseas applicant. (5) In determining the eligibility of a person for admission, the Supreme Court may rely on the recommendation of the Board of Legal Education. (6) The Supreme Court may admit a person as a lawyer if satisfied that the person (a) is eligible for admission; and (b) is a fit and proper person to be admitted; and (c) has complied with the provisions of this Part. 91

Legal Profession Act 2007 Act No. of s. 32 Part 2.2 Admission of Local Lawyers 32. Objection to admission (1) The Board, the Law Society, any other relevant professional association or any other person who has reasonable grounds to object to an application for admission may apply to the Supreme Court to hear and determine the issues relating to the objection. (2) A person who intends to object to an application for admission must lodge with the Registrar two copies of a notice of objection stating the grounds of the objection. (3) The Court may accept a notice of objection lodged not less than 7 days before the date on which the application for admission is to be heard or at such time as the Court determines. (4) If an objection is made by a person other than the Board or the Law Society, the person making the objection must provide a copy of the notice of objection to the Board and the Law Society. (5) On receipt of a notice of objection, the Registrar is to forward a copy of the notice to the applicant. (6) A person who lodges a notice of objection is entitled to appear at any hearing held to determine the objection. 33. Terms and conditions of admission (1) The Supreme Court may admit a person to the legal profession under section 31 on such terms 92

Legal Profession Act 2007 Act No. of Part 2.2 Admission of Local Lawyers s. 34 and conditions relating to the right of that person to practise as it thinks fit. (2) If the Supreme Court admits a person subject to terms and conditions relating to the right of that person to practise, the Court may, on the application of that person, review, modify or remove all or any of those terms and conditions if (a) the application is made at least 12 months after the date on which the person was so admitted; or (b) in the case of a second or subsequent application, the application is made at least 12 months after the date on which the preceding application was made. 34. Oath on admission A person who applies to be admitted under this Part must, before that admission, take and subscribe the oath specified in the admission rules. 35. Roll of local lawyers (1) The Supreme Court is to maintain a roll of persons admitted to the legal profession under this Act (referred to in this Act as the "local roll"). 93

Legal Profession Act 2007 Act No. of s. 35 Part 2.2 Admission of Local Lawyers (2) When a person is admitted to the legal profession under this Act, the Supreme Court is to cause the person's name to be entered on the local roll and the admission of a person to the legal profession under this Act is effective from the time the person's name is entered on the local roll. (3) A person who is admitted to the legal profession subject to the condition that he or she practise solely as a barrister must sign the roll of barristers, and the person's admission is effective from the time he or she signs the roll of barristers. (4) The local roll or a copy of the local roll must be available for inspection, without charge, during normal business hours. (5) The Supreme Court may publish the name of persons admitted to the legal profession under this Act and any relevant particulars concerning those persons. (6) The Supreme Court must forward to the Board and the prescribed authority the name, address, date of birth and date of admission of each person admitted to the legal profession under this Act as soon as practicable after the person's name has been entered on the local roll or the person has signed the roll of barristers. (7) The Supreme Court's functions under this section may be performed by a person or body designated by the Court for the purpose. 94

Legal Profession Act 2007 Act No. of Part 2.2 Admission of Local Lawyers s. 36 (8) The regulations may make provision for or with respect to (a) the information that may or must be included in the local roll; and (b) publication of information contained in the local roll. 36. Certificate of admission The Registrar is to issue a certificate of admission to any person who is admitted to the legal profession under this Part. 37. Local lawyer is officer of Supreme Court (1) A person becomes an officer of the Supreme Court on being admitted to the legal profession under this Act. (2) A person ceases to be an officer of the Supreme Court under subsection (1) if the person's name is removed from the local roll. Division 4 Admission rules 38. Admission rules (1) The judges of the Supreme Court, or a majority of them, may make rules for the admission of persons to the legal profession under this Act. 95

Legal Profession Act 2007 Act No. of s. 38 Part 2.2 Admission of Local Lawyers (2) Without limiting subsection (1), rules may be made about any of the following: (a) the procedure for admission, including (i) how an application is to be made; and (ii) giving notice of the application to an entity or public notice of the application; and (iii) the affidavits or certificates the applicant must provide with or for the application; and (iv) the keeping and signing of the local roll and the particulars to be recorded on the roll; and (v) the oath or affirmation of office to be taken or made by a local lawyer; (b) the disclosure of matters that may affect consideration of the eligibility of an applicant for admission, or affect consideration of the question whether the applicant is a fit and proper person to be admitted, including convictions that must be disclosed and those that need not be disclosed; (c) applications for admission under the trans-Tasman mutual recognition legislative scheme; 96

Legal Profession Act 2007 Act No. of Part 2.2 Admission of Local Lawyers s. 38 (d) the conferral of a right of objection to an applicant's admission on persons of appropriate standing; (e) the procedure to be adopted in the conduct of inquiries under this Part; (f) fees and costs payable under the rules and the refund or remission of fees. (3) Without limiting subsection (1), rules may provide for abridging, in specified circumstances, any period of practical legal training required by the rules. 97

Legal Profession Act 2007 Act No. of s. 39 Part 2.3 Legal Practice by Australian Legal Practitioners PART 2.3 LEGAL PRACTICE BY AUSTRALIAN LEGAL PRACTITIONERS Division 1 Preliminary 39. Purposes The purposes of this Part are as follows: (a) to facilitate the national practice of law by ensuring that Australian legal practitioners can engage in legal practice in this jurisdiction and to provide for the certification of Australian lawyers whether or not admitted to the legal profession in this jurisdiction; (b) to provide a system for the granting and renewing of local practising certificates. Division 2 Legal practice in this jurisdiction by Australian legal practitioners 40. Entitlement of holder of Australian practising certificate to practise in this jurisdiction An Australian legal practitioner is, subject to this Act, entitled to engage in legal practice in this jurisdiction. 98

Legal Profession Act 2007 Act No. of Part 2.3 Legal Practice by Australian Legal Practitioners s. 41 41. Lawyers entitled to practise without practising certificate An Australian lawyer or person eligible for admission to the legal profession who is employed or engaged (a) under the State Service Act 2000; or (b) by a State, Territory or Commonwealth instrumentality; or (c) by a local council; or (d) in a State, Territory or Commonwealth statutory office is taken to hold, for the purposes of this Act and for purposes of that employment or engagement, a practising certificate as a legal practitioner for the period during which the person is so employed or engaged. Division 3 Local practising certificates generally 42. Local practising certificates (1) Practising certificates may be granted under this Part. (2) The prescribed authority may determine categories of local practising certificates. (3) It is a statutory condition of a local practising certificate that the holder must not hold another local practising certificate, or an interstate 99

Legal Profession Act 2007 Act No. of s. 43 Part 2.3 Legal Practice by Australian Legal Practitioners practising certificate, that is in force during the currency of the first-mentioned local practising certificate. 43. Suitability to hold local practising certificate (1) This section has effect for the purposes of section 53 (Grant or renewal of local practising certificate) or any other provision of this Act where the question of whether or not a person is a fit and proper person to hold a local practising certificate is relevant. (2) The prescribed authority may, in considering whether or not the person is a fit and proper person to hold a local practising certificate, take into account any suitability matter relating to the person, and any of the following, whether happening before or after the commencement of this section: (a) whether the person obtained an Australian practising certificate because of incorrect or misleading information; (b) whether the person has contravened a condition of an Australian practising certificate held by the person; (c) whether the person has contravened this Act or a corresponding law, or the regulations or legal profession rules under this Act or a corresponding law; (d) whether the person has contravened 100

Legal Profession Act 2007 Act No. of Part 2.3 Legal Practice by Australian Legal Practitioners s. 43 (i) an order of the Supreme Court, Tribunal or Board; or (ii) an order of a corresponding disciplinary body or of a court or tribunal of another jurisdiction exercising jurisdiction or powers by way of appeal or review of an order of a corresponding disciplinary body; (e) without limiting any other paragraph (i) whether the person has failed to pay a required contribution or levy to the Guarantee Fund; or (ii) whether the person has contravened a requirement imposed by the prescribed authority about professional indemnity insurance; or (iii) whether the person has failed to pay other costs or expenses for which the person is liable under this Act or the regulations; (f) other matters the prescribed authority thinks appropriate. (3) A person may be considered a fit and proper person to hold a local practising certificate even though the person is within any of the categories of the matters referred to in subsection (2), if the prescribed authority considers that the circumstances warrant such a determination. 101

Legal Profession Act 2007 Act No. of s. 44 Part 2.3 Legal Practice by Australian Legal Practitioners (4) If a matter was (a) disclosed in an application for admission to the legal profession in this or another jurisdiction; and (b) determined by a Supreme Court, or by the certifying body or a corresponding authority, not to be sufficient for refusing admission the matter cannot be taken into account as a ground for refusing to grant or renew or for suspending or cancelling a local practising certificate, but the matter may be taken into account when considering other matters in relation to the person concerned. 44. Duration of local practising certificate (1) A local practising certificate granted under this Act is in force from the date specified in it until the end of the financial year in which it is granted, unless the certificate is sooner suspended or cancelled. (2) A local practising certificate renewed under this Act is in force until the end of the financial year following its previous period of currency, unless the certificate is sooner suspended or cancelled. (3) If an application for the renewal of a local practising certificate has been made but has not been finally determined by the prescribed 102

Legal Profession Act 2007 Act No. of Part 2.3 Legal Practice by Australian Legal Practitioners s. 45 authority by the following 1 July, the certificate (a) continues in force on and from that 1 July until the prescribed authority renews or refuses to renew the certificate or the holder withdraws the application for renewal, unless the certificate is sooner cancelled or suspended; and (b) if renewed, is taken to have been renewed on and from that 1 July. (4) For the purposes of subsection (3), an application is finally determined (a) by the renewal of the certificate; or (b) by the exhaustion of all rights of review in relation to a decision to refuse to renew the certificate. 45. Requirement for professional indemnity insurance (1) In this section "government lawyer" means an Australian lawyer, or a person eligible for admission to the legal profession, employed under the State Service Act 2000 or by a council and includes the Director of Public Prosecutions, the Solicitor-General and the Director of Legal Aid. 103

Legal Profession Act 2007 Act No. of s. 45 Part 2.3 Legal Practice by Australian Legal Practitioners (2) This section applies to each of the following persons who make an application for the grant or renewal of a local practising certificate: (a) an Australian lawyer who is a government lawyer who, in the lawyer's application for the grant or renewal of the certificate, stated that the lawyer did not intend to engage in legal practice otherwise than as a government lawyer engaged in government work; (b) an Australian lawyer who is employed by a corporation, that is not an incorporated legal practice, and who provides only in- house legal services to the corporation concerning a proceeding or transaction to which the corporation or related body corporate is a party; (c) an Australian lawyer other than an Australian lawyer mentioned in paragraph (a) or (b). (3) The prescribed authority must not grant or renew a local practising certificate unless the prescribed authority (a) in the case of an application by an Australian lawyer mentioned in subsection (2)(a), imposes a condition on the certificate that the lawyer must not engage in legal practice otherwise than as a government lawyer engaged in government work; or 104

Legal Profession Act 2007 Act No. of Part 2.3 Legal Practice by Australian Legal Practitioners s. 46 (b) in the case of an application by an Australian lawyer mentioned in subsection (2)(b), imposes a condition on the certificate that the lawyer must not engage in legal practice otherwise than by providing in-house legal services to a corporation by which the lawyer is employed; or (c) in the case of an application by an Australian lawyer mentioned in subsection (2)(c), is satisfied that the lawyer will, and imposes a condition on the certificate that the lawyer must, be covered by professional indemnity insurance that complies with this Act during the currency of the local practising certificate unless the lawyer is exempted from professional indemnity insurance requirements under section 346 (Exemption from insurance requirements). (4) Professional indemnity insurance complies with this Act in relation to a local practising certificate if it complies with the requirements under Part 3.4 (Professional Indemnity Insurance). 46. Continuing obligation for professional indemnity insurance for local practising certificate (1) A person commits an offence if 105

Legal Profession Act 2007 Act No. of s. 47 Part 2.3 Legal Practice by Australian Legal Practitioners (a) the person is a local legal practitioner; and (b) the person engages in legal practice in this jurisdiction; and (c) the person fails to comply with a condition imposed under section 45(3) on the person's practising certificate. Penalty: Fine not exceeding 50 penalty units. (2) If a person must, under a condition imposed under section 45(3) on the person's local practising certificate, be covered by professional indemnity insurance and the person becomes aware that the person will not be covered by professional indemnity insurance that complies with the requirements prescribed by the regulations or the Indemnity Rules, the person must advise the prescribed authority in an approved form of that fact as soon as possible, but no later than 7 days after the day the person becomes aware of that fact. Penalty: Fine not exceeding 50 penalty units. 47. Local legal practitioner is officer of Supreme Court A person who is not already an officer of the Supreme Court becomes an officer of the Supreme Court on being granted a local practising certificate or on being taken to hold a local practising certificate. 106

Legal Profession Act 2007 Act No. of Part 2.3 Legal Practice by Australian Legal Practitioners s. 48 Division 4 Grant or renewal of local practising certificates 48. Application for grant or renewal of local practising certificate (1) An Australian lawyer may apply to the prescribed authority for the grant or renewal of a local practising certificate if eligible to do so under this section. (2) An Australian lawyer is eligible to apply for the grant or renewal of a local practising certificate if the lawyer complies with any regulations and legal profession rules relating to eligibility for the practising certificate and if (a) in the case of a lawyer who is not an Australian legal practitioner at the time of making the application (i) the lawyer reasonably expects to be engaged in legal practice solely or principally in this jurisdiction during the currency of the certificate or renewal applied for; or (ii) if subparagraph (i) does not apply to the lawyer or it is not reasonably practicable to determine whether subparagraph (i) applies to the lawyer, the lawyer's place of residence in Australia is this jurisdiction or the lawyer does 107

Legal Profession Act 2007 Act No. of s. 48 Part 2.3 Legal Practice by Australian Legal Practitioners not have a place of residence in Australia; or (b) in the case of a lawyer who is an Australian legal practitioner at the time of making the application (i) the jurisdiction in which the lawyer engages in legal practice solely or principally is this jurisdiction; or (ii) the lawyer holds a current local practising certificate and engages in legal practice in another jurisdiction under an arrangement that is of a temporary nature; or (iii) the lawyer reasonably expects to be engaged in legal practice solely or principally in this jurisdiction during the currency of the certificate or renewal applied for; or (iv) if subparagraph (i), (ii) or (iii) does not apply to the lawyer or it is not reasonably practicable to determine whether subparagraph (i), (ii) or (iii) applies to the lawyer, the lawyer's place of residence in Australia is this jurisdiction or the lawyer does not have a place of residence in Australia. 108

Legal Profession Act 2007 Act No. of Part 2.3 Legal Practice by Australian Legal Practitioners s. 48 (3) For the purposes of subsection (2)(b), the jurisdiction in which an Australian lawyer engages in legal practice solely or principally is to be decided by reference to the lawyer's legal practice during the certificate period current at the time (a) the application is made; or (b) in the case of a late application, the application should have been made. (4) An Australian lawyer is not eligible to apply for the grant or renewal of a local practising certificate in respect of a financial year if the lawyer would also be the holder of another Australian practising certificate for that year, but this subsection does not limit the factors determining ineligibility to apply for the grant or renewal of a local practising certificate. (5) An Australian lawyer must not apply for the grant or renewal of a local practising certificate if the lawyer is not eligible to make the application. (6) An Australian legal practitioner who (a) engages in legal practice solely or principally in this jurisdiction during a financial year; and (b) reasonably expects to engage in legal practice solely or principally in this jurisdiction in the following financial year 109

Legal Profession Act 2007 Act No. of s. 49 Part 2.3 Legal Practice by Australian Legal Practitioners must apply for the grant or renewal of a local practising certificate in respect of the following financial year. (7) Subsection (6) does not apply to an interstate legal practitioner who applied for the grant or renewal of an interstate practising certificate on the basis that the practitioner reasonably expected to engage in legal practice solely or principally in this jurisdiction under an arrangement that is of a temporary nature. (8) The exemption provided by subsection (7) ceases to operate at the end of the period prescribed by the regulations for the purposes of this subsection. (9) A reference in this section to engaging in legal practice principally in this or any other jurisdiction applies only to legal practice in Australia. Accordingly, an Australian lawyer who is engaged or expects to be engaged in legal practice principally in a foreign country is nevertheless eligible to apply for the grant or renewal of a local practising certificate if the lawyer otherwise meets the requirements of this section so that eligibility is determined by reference to the person's practice in Australia. 49. Manner of application and fees (1) An application for the grant or renewal of a local practising certificate must be (a) made in the approved form; and 110

Legal Profession Act 2007 Act No. of Part 2.3 Legal Practice by Australian Legal Practitioners s. 50 (b) accompanied by the prescribed fees and prescribed levies (if any). (2) The regulations may prescribe different fees for local practising certificates according to different factors determined by the prescribed authority. (3) The approved form may require the applicant to disclose matters that may affect the applicant's eligibility for the grant or renewal of a local practising certificate or the question whether the applicant is a fit and proper person to hold a local practising certificate. (4) The approved form may indicate that particular kinds of matters previously disclosed in a particular manner need not be disclosed for the purposes of the current application. 50. Advice relating to grant or renewal of local practising certificates (1) The prescribed authority must advise the Board of an application for the grant or renewal of a local practising certificate. (2) The Board must advise the prescribed authority of any disciplinary action taken under Chapter 4. (3) The prescribed authority may take into account any matter referred to it in subsection (2). 111

Legal Profession Act 2007 Act No. of s. 51 Part 2.3 Legal Practice by Australian Legal Practitioners 51. Timing of application for renewal of local practising certificate (1) An application for the renewal of a local practising certificate must be made within (a) the period prescribed by the regulations as the standard renewal period; or (b) a later period prescribed by the regulations as the late fee period. (2) Those periods must be within the currency of the local practising certificate being renewed. (3) The prescribed authority may reject an application for renewal made during the late fee period, and must reject an application for renewal made outside those periods unless the prescribed authority accepts the application under subsection (4). (4) The prescribed authority may accept an application made within 6 months after that period (even after the expiry of the local practising certificate being sought to be renewed) if satisfied the delay was caused by reasons beyond the control of the applicant, or other special circumstances exist warranting acceptance of the application. (5) For an application accepted under subsection (4) after the expiry of the local practising certificate on 30 June in the year concerned, the certificate 112

Legal Profession Act 2007 Act No. of Part 2.3 Legal Practice by Australian Legal Practitioners s. 52 (a) is taken to have continued in force on and from the 1 July immediately following its expiry until the prescribed authority renews or refuses to renew the certificate or the holder withdraws the application for renewal, unless the certificate is sooner suspended or cancelled; and (b) if renewed, is taken to have been renewed on and from that 1 July. Note. Section 52 authorises the charging of a late fee for applications received during the late fee period. If an application is rejected under subsection (3), the applicant will have to apply for the grant of a new local practising certificate. 52. Late fee (1) This section applies if an application for renewal of a local practising certificate is made during the late fee period prescribed by the regulations. (2) Payment of a late fee prescribed by or determined under the regulations may, if the prescribed authority thinks fit, be required as a condition of acceptance of the application. 53. Grant or renewal of local practising certificate (1) The prescribed authority must consider an application that has been made for the grant or renewal of a local practising certificate and may 113

Legal Profession Act 2007 Act No. of s. 53 Part 2.3 Legal Practice by Australian Legal Practitioners (a) grant or refuse to grant the certificate; or (b) renew or refuse to renew the certificate and in granting or renewing the certificate may impose conditions as referred to in section 56 (Conditions imposed by prescribed authority). (2) The prescribed authority may refuse (a) to consider an application if (i) it is not made in accordance with this Act or the legal profession rules; or (ii) the required fees and costs have not been paid; or (b) to grant or renew a local practising certificate if the applicant has not complied with the regulations or the legal profession rules in relation to the application. (3) The prescribed authority must not grant a local practising certificate unless it is satisfied that the applicant (a) was eligible to apply for the grant when the application was made; and (b) is a fit and proper person to hold the certificate. 114

Legal Profession Act 2007 Act No. of Part 2.3 Legal Practice by Australian Legal Practitioners s. 53 Note. Section 43 (Suitability to hold local practising certificate) deals with the question of whether or not a person is a fit and proper person to hold a local practising certificate. (4) The prescribed authority must not renew a local practising certificate if it is satisfied that the applicant (a) was not eligible to apply for the renewal when the application was made; or (b) is not a fit and proper person to continue to hold the certificate. (5) The prescribed authority must not grant or renew a local practising certificate if the prescribed authority considers the applicant's circumstances have changed since the application was made and the applicant would (having regard to information that has come to the prescribed authority's attention) not have been eligible to make the application when the application is being considered. (6) Without limiting any other provision of this section, the prescribed authority may refuse to grant or renew a local practising certificate if a finding of unsatisfactory professional conduct or professional misconduct has been made in respect of the applicant and (a) a fine imposed because of the finding has not been paid; or 115

Legal Profession Act 2007 Act No. of s. 53 Part 2.3 Legal Practice by Australian Legal Practitioners (b) costs awarded against the applicant have not been paid or, if an arrangement for their payment has been made, the applicant is in default under the arrangement. (7) Without limiting any other provision of this section, the prescribed authority may refuse to grant or renew a local practising certificate if (a) any costs of an investigation or examination payable under Part 3.2 (Trust Money and Trust Accounts) by or in respect of the applicant have not been paid; or (b) any fees, costs or expenses of external intervention payable under Chapter 5 (External Intervention) by or in respect of the applicant have not been paid; or (c) any other fees, costs or levies required under the Act have not been paid. (8) Without limiting any other provision of this section, the prescribed authority may refuse to grant or renew a local practising certificate on any ground on which the local practising certificate could be suspended or cancelled. (9) This section does not affect any other provision of this Act that provides for the refusal to grant a local practising certificate. (10) If the prescribed authority grants or renews a local practising certificate, the prescribed 116

Legal Profession Act 2007 Act No. of Part 2.3 Legal Practice by Australian Legal Practitioners s. 53 authority must, as soon as practicable, give the applicant (a) for the grant of a certificate, a local practising certificate; or (b) for the renewal of a certificate, a new local practising certificate. (11) Within 30 days after receiving an application for the grant of a local practising certificate, the prescribed authority must (a) grant the certificate; or (b) refuse to grant the certificate. (12) Within 60 days after receiving an application for renewal of a local practising certificate, the prescribed authority must (a) renew the certificate; or (b) refuse to renew the certificate. (13) If the prescribed authority (a) refuses to grant or renew a local practising certificate; or (b) imposes a condition on the certificate and the applicant does not agree to the condition the prescribed authority must, as soon as practicable, give the applicant an information notice. 117

Legal Profession Act 2007 Act No. of s. 54 Part 2.3 Legal Practice by Australian Legal Practitioners 54. Advice to Board of grant, renewal or refusal to grant or renew local practising certificate (1) The prescribed authority must advise the Board of any of the following actions taken by the prescribed authority in relation to an Australian lawyer or Australian legal practitioner: (a) a decision to grant or renew a local practising certificate with or without conditions; (b) a decision to refuse to grant or renew a local practising certificate. (2) If the prescribed authority grants or renews a local practising certificate subject to conditions, it must advise the Board of those conditions and the reasons why the prescribed authority imposed those conditions. Division 5 Conditions on local practising certificates 55. Conditions generally (1) A local practising certificate is subject to (a) any conditions imposed by the prescribed authority; and (b) any statutory conditions imposed by this or any other Act; and (c) any conditions imposed by or under the legal profession rules or the regulations; and 118

Legal Profession Act 2007 Act No. of Part 2.3 Legal Practice by Australian Legal Practitioners s. 56 (d) any conditions imposed or varied by the Supreme Court under section 57 (Imposition or variation of conditions pending criminal proceedings); and (e) any conditions imposed under Chapter 4 (Complaints and discipline) or under provisions of a corresponding law that correspond to Chapter 4. (2) If a condition is imposed, varied or revoked under this Act (other than a statutory condition) during the currency of the local practising certificate concerned, the certificate is to be amended by the prescribed authority, or a new certificate is to be issued by the prescribed authority, to reflect on its face the imposition, variation or revocation. 56. Conditions imposed by prescribed authority (1) The prescribed authority may impose conditions on a local practising certificate (a) when it is granted or renewed; or (b) during its currency. (2) A condition imposed under this section must be reasonable and relevant. (3) A condition imposed under this section may be about any of the following: 119

Legal Profession Act 2007 Act No. of s. 56 Part 2.3 Legal Practice by Australian Legal Practitioners (a) requiring the holder of the local practising certificate to undertake and complete (i) continuing legal education; or (ii) specific legal education or training; or (iii) a period of supervised legal practice; (b) restricting the areas of law practised; (c) controlling, restricting or prohibiting the operation of a trust account; (d) restricting the holder of the practising certificate to particular conditions concerning employment or supervision; (e) requiring the holder of the practising certificate to undergo counselling or medical treatment or to act in accordance with medical advice given to the holder; (f) requiring the holder of the practising certificate to use the services of an accountant or other financial specialist in connection with his or her practice; (g) requiring the holder of the practising certificate to provide the prescribed authority with evidence as to any outstanding tax obligations of the holder and as to provision made by the holder to satisfy any such outstanding obligations; 120

Legal Profession Act 2007 Act No. of Part 2.3 Legal Practice by Australian Legal Practitioners s. 56 (h) a matter agreed to by the holder of the practising certificate. (4) Subsection (3) does not limit the matters about which a condition may be imposed under this section. (5) The prescribed authority must not impose a condition requiring the holder of a local practising certificate to undertake and complete specific legal education or training unless (a) the prescribed authority is satisfied, having regard to (i) the nature or currency of the holder's academic studies, legal training or legal experience; or (ii) the holder's conduct that it is reasonable to require the specific legal education or training to be undertaken and completed; or (b) the condition is one that is imposed generally on holders of local practising certificates or any class of holders of local practising certificates. Note. A class of holders might comprise newly qualified lawyers, or lawyers returning to legal practice after suspension or an extended break. (6) The prescribed authority may vary or revoke conditions imposed under this section. 121

Legal Profession Act 2007 Act No. of s. 57 Part 2.3 Legal Practice by Australian Legal Practitioners (7) If the prescribed authority imposes, varies or revokes a condition during the currency of the local practising certificate concerned, the imposition, variation or revocation takes effect when the holder has been notified of it or at a later time specified by the prescribed authority. (8) If the prescribed authority imposes a condition on the certificate when it is granted or renewed and the holder of the certificate notifies the prescribed authority in writing within one month after the grant or renewal that he or she does not agree to the condition, the prescribed authority must, as soon as practicable, give the holder an information notice. (9) This section has effect subject to section 65 (Amending, suspending or cancelling local practising certificate) in relation to the imposition of a condition on a local practising certificate during its currency. 57. Imposition or variation of conditions pending criminal proceedings (1) If a local legal practitioner has been charged with a relevant offence but the charge has not been determined, the prescribed authority may apply to the Supreme Court for an order under this section. (2) On an application under subsection (1), the Supreme Court, if it considers it appropriate to do so having regard to the seriousness of the 122

Legal Profession Act 2007 Act No. of Part 2.3 Legal Practice by Australian Legal Practitioners s. 57 offence and to the public interest, may make either or both of the following orders: (a) an order varying the conditions on the practitioner's local practising certificate; (b) an order imposing further conditions on the practitioner's local practising certificate. (3) An order under this section has effect until the sooner of (a) the end of the period specified by the Supreme Court; or (b) if the practitioner is convicted of the offence, 28 days after the day of the conviction; or (c) if the charge is dismissed, the day of the dismissal. (4) The Supreme Court, on application by any party, may vary or revoke an order under this section at any time. (5) In this section "relevant offence" means a serious offence or an offence that would have to be disclosed under the admission rules in relation to an application for admission to the legal profession under this Act. 123

Legal Profession Act 2007 Act No. of s. 58 Part 2.3 Legal Practice by Australian Legal Practitioners 58. Statutory condition regarding conditions imposed on interstate admission It is a statutory condition of a local practising certificate that the holder must not contravene a condition that was imposed on the admission of the person to the legal profession under a corresponding law (with any variations of the condition made from time to time) and that is still in force. Note. Contravention of a condition imposed on admission locally is dealt with in section 62 (Compliance with conditions). 59. Statutory condition regarding legal practice (1) It is a statutory condition of a local practising certificate that the holder must engage in supervised legal practice only, until the holder has completed (a) if the holder completed practical legal training principally under the supervision of an Australian lawyer, whether involving articles of clerkship or otherwise, to qualify for admission to the legal profession in this or another jurisdiction, a period or periods equivalent to 18 months' supervised legal practice, worked out under relevant regulations, after the day the holder's first local practising certificate was granted; or 124

Legal Profession Act 2007 Act No. of Part 2.3 Legal Practice by Australian Legal Practitioners s. 59 (b) if the holder completed other practical legal training to qualify for admission to the legal profession in this or another jurisdiction, a period or periods equivalent to 2 years' supervised legal practice, worked out under the relevant regulations, after the day the holder's first local practising certificate was granted. (2) Subsection (1) has effect subject to any other conditions that relate to engaging in supervised legal practice after a period or periods referred to in that subsection. (3) The prescribed authority may exempt a person or class of persons from the requirement for supervised legal practice under subsection (1) or may reduce a period referred to in that subsection for a person or class of persons, if satisfied that the person or class of persons do not need to be supervised or need to be supervised only for a shorter period, having regard to (a) the length and nature of any legal practice previously engaged in by the person or class of persons; and (b) the length and nature of any legal practice engaged in by the supervisors (if any) who previously supervised the legal practice engaged in by the person or class of persons. 125

Legal Profession Act 2007 Act No. of s. 60 Part 2.3 Legal Practice by Australian Legal Practitioners (4) An exemption under subsection (3) may be given unconditionally or subject to such conditions as the prescribed authority thinks appropriate. (5) The prescribed authority may exempt a person from the requirement for supervised legal practice under subsection (1) if the person has satisfied any requirements relating to training or qualifications prescribed by the regulations as a precondition to becoming a barrister. 60. Statutory condition regarding notification of offence (1) It is a statutory condition of a local practising certificate that the holder of the certificate (a) must notify the prescribed authority in an approved form that the holder has been (i) convicted of an offence that would have to be disclosed under the admission rules in relation to an application for admission to the legal profession under this Act; or (ii) charged with a serious offence; and (b) must do so within 7 days of the event. (2) The giving of notice in accordance with Division 7 (Special powers in relation to local practising certificates show cause events) of a 126

Legal Profession Act 2007 Act No. of Part 2.3 Legal Practice by Australian Legal Practitioners s. 61 conviction for a serious offence satisfies the requirements of subsection (1)(a)(i) in relation to the conviction. 61. Conditions imposed by legal profession rules The legal profession rules may (a) impose conditions on local practising certificates or any class of local practising certificates; or (b) authorise conditions to be imposed on local practising certificates or any class of local practising certificates. 62. Compliance with conditions The holder of a current local practising certificate must not contravene (in this jurisdiction or elsewhere) a condition to which the certificate is subject. Penalty: Fine not exceeding 100 penalty units. Division 6 Amendment, suspension or cancellation of local practising certificates 63. Application of this Division This Division does not apply in relation to matters referred to in Division 7 (Special powers 127

Legal Profession Act 2007 Act No. of s. 64 Part 2.3 Legal Practice by Australian Legal Practitioners in relation to local practising certificates show cause events). 64. Grounds for amending, suspending or cancelling local practising certificate Each of the following is a ground for amending, suspending or cancelling a local practising certificate: (a) the holder is no longer a fit and proper person to hold the certificate; (b) the holder does not have, or no longer has, professional indemnity insurance that complies with this Act in relation to the certificate; (c) if a condition of the certificate is that the holder is limited to legal practice specified in the certificate, the holder is or has been engaging in legal practice that the holder is not entitled to engage in under this Act. 65. Amending, suspending or cancelling local practising certificate (1) If the prescribed authority believes a ground exists to amend, suspend or cancel a local practising certificate (the "proposed action"), the prescribed authority must give the holder a notice that 128

Legal Profession Act 2007 Act No. of Part 2.3 Legal Practice by Australian Legal Practitioners s. 65 (a) states the proposed action and (i) if the proposed action is to amend the certificate, states the proposed amendment; and (ii) if the proposed action is to suspend the certificate, states the proposed suspension period; and (b) states the grounds for proposing to take the proposed action; and (c) outlines the facts and circumstances that form the basis for the prescribed authority's belief; and (d) invites the holder to make written representations to the prescribed authority, within a specified time of not less than 7 days and not more than 28 days, as to why the proposed action should not be taken. (2) If, after considering all written representations made within the specified time and, in its discretion, written representations made after the specified time, the prescribed authority still believes a ground exists to take the proposed action, the prescribed authority may (a) if the notice under subsection (1) stated the proposed action was to amend the local practising certificate, amend the certificate in the way stated or in a less onerous way the prescribed authority 129

Legal Profession Act 2007 Act No. of s. 65 Part 2.3 Legal Practice by Australian Legal Practitioners considers appropriate because of the representations; or (b) if the notice stated the proposed action was to suspend the local practising certificate for a specified period (i) suspend the certificate for a period no longer than the specified period; or (ii) amend the certificate in a less onerous way the prescribed authority considers appropriate because of the representations; or (c) if the notice stated the proposed action was to cancel the local practising certificate (i) cancel the certificate; or (ii) suspend the certificate for a period; or (iii) amend the certificate in a less onerous way the prescribed authority considers appropriate because of the representations. (3) If the prescribed authority decides to amend, suspend or cancel the local practising certificate, the prescribed authority must give the holder an information notice about the decision. (4) In this section 130

Legal Profession Act 2007 Act No. of Part 2.3 Legal Practice by Australian Legal Practitioners s. 66 "amend" a local practising certificate means amend the certificate under section 56 (Conditions imposed by prescribed authority) during its currency, other than at the request of the holder of the certificate. Note. Section 68 provides for immediate suspension of local practising certificates. 66. Advice to Board of decision to amend, suspend or cancel local practising certificate (1) The prescribed authority must advise the Board of any of the following actions taken by the prescribed authority in relation to an Australian lawyer or Australian legal practitioner: (a) a decision to amend a local practising certificate; (b) a decision to suspend or cancel a local practising certificate. (2) If the prescribed authority amends, suspends or cancels a local practising certificate, it must advise the Board of the amendment, suspension or cancellation and the reasons for the amendment, suspension or cancellation. 131

Legal Profession Act 2007 Act No. of s. 67 Part 2.3 Legal Practice by Australian Legal Practitioners 67. Operation of amendment, suspension or cancellation of local practising certificate (1) This section applies if a decision is made to amend, suspend or cancel a local practising certificate under section 65 (Amending, suspending or cancelling local practising certificate). (2) Subject to subsections (3) and (4), the amendment, suspension or cancellation of the local practising certificate takes effect on the later of the following: (a) the day notice of the decision is given to the holder; (b) the day specified in the notice. (3) If the local practising certificate is amended, suspended or cancelled because the holder has been convicted of an offence (a) the Supreme Court may, on the application of the holder, order that the operation of the amendment, suspension or cancellation of the local practising certificate be stayed until (i) the end of the time to appeal against the conviction; and (ii) if an appeal is made against the conviction, the appeal is finally decided, lapses or otherwise ends; and 132

Legal Profession Act 2007 Act No. of Part 2.3 Legal Practice by Australian Legal Practitioners s. 68 (b) the amendment, suspension or cancellation does not have effect during any period in respect of which the stay is in force. (4) If the local practising certificate is amended, suspended or cancelled because the holder has been convicted of an offence and the conviction is quashed (a) the amendment or suspension ceases to have effect when the conviction is quashed; or (b) the cancellation ceases to have effect when the conviction is quashed and the certificate is restored as if it had merely been suspended. 68. Immediate suspension of local practising certificate (1) This section applies, despite Divisions 6 and 7, if the prescribed authority considers it necessary in the public interest to immediately suspend a local practising certificate on (a) any of the grounds on which the certificate could be suspended or cancelled under Division 6; or (b) the ground of the happening of a show cause event (within the meaning of Division 7) in relation to the holder of the certificate; or 133

Legal Profession Act 2007 Act No. of s. 68 Part 2.3 Legal Practice by Australian Legal Practitioners (c) any other ground that the prescribed authority considers warrants suspension of the local practising certificate in the public interest whether or not any action has been taken or commenced under Division 6 or 7 in relation to the holder. (2) The prescribed authority may, by written notice given to the holder of the certificate, immediately suspend the local practising certificate until the earlier of the following: (a) the time at which the prescribed authority informs the holder of the prescribed authority's decision by notice under section 65 (Amending, suspending or cancelling local practising certificate); (b) the end of the period of 56 days after the notice is given to the holder under this section. (3) The notice under this section must (a) include an information notice about the suspension; and (b) state that the holder of the local practising certificate may make written representations to the prescribed authority about the suspension; and (c) state that the holder of the local practising certificate may appeal against the suspension under section 84 (Review 134

Legal Profession Act 2007 Act No. of Part 2.3 Legal Practice by Australian Legal Practitioners s. 69 of decisions about local practising certificates). (4) The holder of the local practising certificate may make written representations to the prescribed authority about the suspension, and the prescribed authority must consider the representations. (5) The prescribed authority may revoke the suspension at any time, whether or not in response to any written representations made to it by the holder. (6) Nothing in this section prevents the prescribed authority from making a complaint under Chapter 4 about a matter to which this section relates. (7) The suspension of a local practising certificate under this section does not affect any disciplinary processes in respect of matters arising before the suspension. 69. Advice to Board of immediate suspension of local practising certificate and revocation of suspension (1) The prescribed authority must advise the Board of the suspension of a local practising certificate under section 68 and the reasons for the suspension. (2) The prescribed authority must advise the Board if the suspension is revoked and the reasons for the revocation. 135

Legal Profession Act 2007 Act No. of s. 70 Part 2.3 Legal Practice by Australian Legal Practitioners 70. Other ways of amending or cancelling local practising certificate (1) The prescribed authority may amend or cancel a local practising certificate if the holder requests the prescribed authority to do so. (2) The prescribed authority may amend a local practising certificate (a) for a formal or clerical reason; or (b) in another way that does not adversely affect the holder's interests. (3) The prescribed authority must cancel a local practising certificate if the holder's name has been removed from the local roll or the holder ceases to be an Australian lawyer. (4) The amendment or cancellation of a local practising certificate under this section is effected by written notice given to the holder. (5) Section 65 (Amending, suspending or cancelling local practising certificate) does not apply in a case to which this section applies. (6) The prescribed authority must advise the Board of any amendment or cancellation of a local practising certificate under this section. 71. Relationship of this Division with Chapter 4 Nothing in this Division prevents a complaint from being made under Chapter 4 (Complaints 136

Legal Profession Act 2007 Act No. of Part 2.3 Legal Practice by Australian Legal Practitioners s. 72 and discipline) about a matter to which this Division relates. Division 7 Special powers in relation to local practising certificates show cause events 72. Applicant for local practising certificate show cause event (1) This section applies if (a) a person is applying for the grant of a local practising certificate; and (b) a show cause event in relation to the person happened, whether before or after the commencement of this section, after the person was first admitted to the legal profession in this or another jurisdiction, however the admission was expressed at the time of the admission. (2) As part of the application, the person must provide to the prescribed authority a written statement (a) about the show cause event; and (b) explaining why, despite the show cause event, the applicant considers himself or herself to be a fit and proper person to hold a local practising certificate. (3) However, the person need not provide a statement under subsection (2) if the person (as a previous applicant for a local practising 137

Legal Profession Act 2007 Act No. of s. 73 Part 2.3 Legal Practice by Australian Legal Practitioners certificate or as the holder of a local practising certificate previously in force) has previously provided to the prescribed authority (a) a statement under this section; or (b) a notice and statement under section 73 explaining why, despite the show cause event, the applicant considers himself or herself to be a fit and proper person to hold a local practising certificate. 73. Holder of local practising certificate show cause event (1) This section applies to a show cause event that happens in relation to the holder of a local practising certificate. (2) The holder must provide to the prescribed authority both of the following: (a) within 7 days after the happening of the event, notice, in the approved form, that the event happened; (b) within 28 days after the happening of the event, a written statement explaining why, despite the show cause event, the person considers himself or herself to be a fit and proper person to hold a local practising certificate. (3) If a written statement is provided after the period of 28 days referred to in subsection (2)(b), the 138

Legal Profession Act 2007 Act No. of Part 2.3 Legal Practice by Australian Legal Practitioners s. 74 prescribed authority may accept the statement and take it into consideration. 74. Refusal, amendment, suspension or cancellation of local practising certificate failure to show cause (1) The prescribed authority may refuse to grant or renew, or may amend, suspend or cancel, a local practising certificate if the applicant or holder (a) is required by section 72 (Applicant for local practising certificate show cause event) or section 73 (Holder of local practising certificate show cause event) to provide a written statement relating to a matter and has failed to provide a written statement in accordance with that requirement; or (b) has provided a written statement in accordance with section 72 or section 73 but the prescribed authority does not consider that the applicant or holder has shown in the statement that, despite the show cause event concerned, he or she is a fit and proper person to hold a local practising certificate. (2) For the purposes of this section only, a written statement accepted by the prescribed authority under section 73(3) is taken to have been provided in accordance with section 73. (3) The prescribed authority must give the applicant or holder an information notice about the 139

Legal Profession Act 2007 Act No. of s. 75 Part 2.3 Legal Practice by Australian Legal Practitioners decision to refuse to grant or renew, or to amend, suspend or cancel, the certificate. 75. Restriction on making further applications (1) This section applies if the prescribed authority decides under section 74 to refuse to grant or renew a local practising certificate to a person or to cancel a person's local practising certificate. (2) The prescribed authority may also decide that the person is not entitled to apply for the grant of a local practising certificate for a specified period not exceeding 5 years. (3) If the prescribed authority makes a decision under subsection (2), the prescribed authority must include the decision in the information notice required under section 74(3). (4) A person in respect of whom a decision has been made under this section, or under a provision of a corresponding law, is not entitled to apply for the grant of a local practising certificate during the period specified in the decision. 76. Relationship of this Division with Chapter 4 Nothing in this Division prevents a complaint being made under Chapter 4 about a matter to which this Division relates. 140

Legal Profession Act 2007 Act No. of Part 2.3 Legal Practice by Australian Legal Practitioners s. 77 Division 8 Further provisions relating to local practising certificates 77. Surrender and cancellation of local practising certificate (1) The holder of a local practising certificate may surrender the certificate to the prescribed authority. (2) The prescribed authority may cancel the certificate after it has been surrendered under subsection (1). 78. Return of local practising certificate (1) This section applies if a local practising certificate granted to an Australian legal practitioner (a) is amended, suspended or cancelled by the prescribed authority; or (b) is replaced by another certificate. (2) The prescribed authority may give the practitioner a notice requiring the practitioner to return the local practising certificate to the prescribed authority in the way specified in the notice within a specified period of not less than 14 days. (3) The practitioner must comply with a notice, unless the practitioner has a reasonable excuse. 141

Legal Profession Act 2007 Act No. of s. 79 Part 2.3 Legal Practice by Australian Legal Practitioners Penalty: Fine not exceeding 20 penalty units. (4) The prescribed authority must return the local practising certificate to the practitioner as soon as practicable (a) if the certificate is amended, after amending it; or (b) if the certificate is suspended and is still current at the end of the suspension period, at the end of the suspension period. Division 9 Interstate legal practitioner 79. Requirement for professional indemnity insurance (1) An interstate legal practitioner must not engage in legal practice in this jurisdiction, or represent or advertise that the practitioner is entitled to engage in legal practice in this jurisdiction, unless the practitioner (a) is covered by professional indemnity insurance that (i) covers legal practice in this jurisdiction; and (ii) has been approved under or complies with the requirements of the corresponding law of the practitioner's home jurisdiction; and 142

Legal Profession Act 2007 Act No. of Part 2.3 Legal Practice by Australian Legal Practitioners s. 79 (iii) is for at least $1.5 million (inclusive of defence costs), unless (without affecting subparagraph (i) or (ii)) the practitioner engages in legal practice solely as or in the manner of a barrister; or (b) is employed by a corporation, other than an incorporated legal practice, and the only legal services provided by the practitioner in this jurisdiction are in- house legal services. Penalty: Fine not exceeding 100 penalty units. (2) Subsection (1) does not apply to an interstate legal practitioner who (a) is a government lawyer as defined in section 91; and (b) is engaged in legal practice in this jurisdiction only to the extent that the practitioner is engaging in government work; and (c) has an indemnity or immunity (whether provided by law or governmental policy) that is applicable in respect of that legal practice; and (d) is exempted from professional indemnity insurance requirements under section 346 (Exemption from insurance requirements). 143

Legal Profession Act 2007 Act No. of s. 80 Part 2.3 Legal Practice by Australian Legal Practitioners 80. Extent of entitlement of interstate legal practitioner to practise in this jurisdiction (1) This Part does not authorise an interstate legal practitioner to engage in legal practice in this jurisdiction to a greater extent than a local legal practitioner could be authorised under a local practising certificate. (2) Also, an interstate legal practitioner's right to engage in legal practice in this jurisdiction (a) is subject to (i) any conditions imposed by the prescribed authority under section 81; and (ii) any conditions imposed by or under the legal profession rules as referred to in that section; and (b) is, to the greatest practicable extent and with all necessary changes (i) the same as the practitioner's right to engage in legal practice in the practitioner's home jurisdiction; and (ii) subject to any condition on the practitioner's right to engage in legal practice in that jurisdiction, including any conditions imposed on his or her admission to the legal profession in this or another jurisdiction. 144

Legal Profession Act 2007 Act No. of Part 2.3 Legal Practice by Australian Legal Practitioners s. 81 (3) If there is an inconsistency between conditions mentioned in subsection (2)(a) and conditions mentioned in subsection (2)(b), the conditions that are, in the opinion of the prescribed authority, more onerous prevail to the extent of the inconsistency. (4) An interstate lawyer must not engage in legal practice in this jurisdiction in a manner not authorised by this Act or in contravention of any condition referred to in this section. 81. Additional conditions on practice of interstate legal practitioners (1) The prescribed authority may, by written notice to an interstate legal practitioner engaged in legal practice in this jurisdiction, impose any condition on the practitioner's practice that it may impose under this Act on a local practising certificate. (2) Also, an interstate legal practitioner's right to engage in legal practice in this jurisdiction is subject to any condition imposed by or under an applicable legal profession rule. (3) Conditions imposed under or referred to in this section must not be more onerous than conditions applying to local legal practitioners. (4) A notice under this section must include an information notice about the decision to impose a condition. 145

Legal Profession Act 2007 Act No. of s. 82 Part 2.3 Legal Practice by Australian Legal Practitioners (5) An interstate legal practitioner must not contravene a condition imposed under this section. Penalty: Fine not exceeding 100 penalty units. 82. Special provisions about interstate legal practitioner engaging in unsupervised legal practice in this jurisdiction (1) An interstate legal practitioner must not engage in unsupervised legal practice in this jurisdiction unless (a) if the interstate legal practitioner completed practical legal training principally under the supervision of an Australian lawyer, whether involving articles of clerkship or otherwise, to qualify for admission to the legal profession in this or another jurisdiction, the interstate legal practitioner has undertaken a period or periods equivalent to 18 months' supervised legal practice, worked out under relevant regulations, after the day the practitioner's first practising certificate was granted; or (b) if the interstate legal practitioner completed other practical legal training to qualify for admission to the legal profession in this or another jurisdiction, the interstate legal practitioner has undertaken a period or periods equivalent to 2 years' supervised legal practice, 146

Legal Profession Act 2007 Act No. of Part 2.3 Legal Practice by Australian Legal Practitioners s. 83 worked out under relevant regulations, after the day the practitioner's first practising certificate was granted. (2) Subsection (1) (a) does not apply if the interstate legal practitioner is exempt from the requirement for supervised legal practice in the practitioner's home jurisdiction; or (b) applies only to the extent of a shorter period if the required period of supervised legal practice has been reduced for the interstate legal practitioner in the practitioner's home jurisdiction. 83. Interstate legal practitioner is an officer of Supreme Court An interstate legal practitioner engaged in legal practice in this jurisdiction has all the duties and obligations of an officer of the Supreme Court, and is subject to the jurisdiction and powers of the Supreme Court in respect of those duties and obligations. 147

Legal Profession Act 2007 Act No. of s. 84 Part 2.3 Legal Practice by Australian Legal Practitioners Division 10 Appeals 84. Appeal against decisions about local practising certificates (1) A person whose interests are affected by a decision of the prescribed authority may appeal to the Supreme Court against a decision (a) to refuse to grant or renew a local practising certificate under section 53 or 74; or (b) to amend, suspend or cancel a local practising certificate under section 65 or 74; or (c) to suspend a local practising certificate under section 68; or (d) to refuse a request to amend a local practising certificate under section 70; or (e) to restrict a person's entitlement to apply for a local practising certificate for a specified period under section 75 (Restriction on making further applications). (2) The Supreme Court may make any order that it considers appropriate on the appeal. (3) An appeal must be made within 28 days after the day on which the information notice about the decision was given to the person. 148

Legal Profession Act 2007 Act No. of Part 2.3 Legal Practice by Australian Legal Practitioners s. 85 (4) The prescribed authority must advise the Board of the outcome of an appeal under this section. 85. Appeal against decisions about interstate legal practitioners (1) An interstate legal practitioner may appeal to the Supreme Court against a decision of the prescribed authority to impose a condition on the practitioner's practice under section 81. (2) The Supreme Court may make any order that it considers appropriate on the appeal. (3) An appeal must be made within 28 days after the day on which the information notice about the decision was given to the practitioner. (4) The prescribed authority must advise the Board of the outcome of an appeal under this section. Division 11 Miscellaneous 86. Protocols (1) The prescribed authority may enter into arrangements ("protocols") with regulatory authorities of other jurisdictions about determining (a) the jurisdiction in which an Australian lawyer engages in legal practice principally or can reasonably expect to engage in legal practice principally; or 149

Legal Profession Act 2007 Act No. of s. 87 Part 2.3 Legal Practice by Australian Legal Practitioners (b) the circumstances in which an arrangement under which an Australian legal practitioner practises in a jurisdiction (i) can be regarded as being of a temporary nature; or (ii) ceases to be of a temporary nature; or (c) the circumstances in which an Australian legal practitioner can reasonably expect to engage in legal practice principally in a jurisdiction during the currency of an Australian practising certificate. (2) For the purposes of this Act, and to the extent that the protocols are relevant, a matter referred to in subsection (1)(a), (b) or (c) is to be determined in accordance with the protocols. (3) The prescribed authority may enter into arrangements that amend, revoke or replace a protocol. (4) A protocol does not have effect in this jurisdiction unless it is adopted in the regulations. 87. Consideration and investigation of applicants or holders (1) To help it consider whether or not to grant, renew, amend, suspend or cancel a local practising certificate, the prescribed authority 150

Legal Profession Act 2007 Act No. of Part 2.3 Legal Practice by Australian Legal Practitioners s. 87 may, by notice to the applicant or holder, require the applicant or holder (a) to give it specified documents or information; or (b) to co-operate with any inquiries by the prescribed authority that it considers appropriate; or (c) to be medically examined by a registered medical practitioner nominated by the prescribed authority and to provide to the prescribed authority a report of that examination, at the applicant's or holder's expense; or (d) to obtain from the Commissioner of Police, at the applicant's or holder's expense, a report in relation to the criminal record (if any) of the applicant or holder in this or any other jurisdiction, including the Commonwealth and to provide that report to the prescribed authority. (2) A failure to comply with a notice under subsection (1) by the date specified in the notice and in the way required by the notice is a ground for making a decision adverse to the applicant or holder in relation to the action being considered by the prescribed authority. (3) Without limiting subsection (2), a failure to comply with a requirement under subsection (1)(c) or (d) may be accepted by the 151

Legal Profession Act 2007 Act No. of s. 88 Part 2.3 Legal Practice by Australian Legal Practitioners prescribed authority as evidence of the unfitness of the person to engage in legal practice. (4) A report of a medical examination of an applicant or holder is not admissible in any proceeding, and a person cannot be compelled to produce the report or to give evidence about the report or its contents in any proceeding. (5) Subsection (4) does not apply if the report is admitted or produced, or evidence about the report or its contents is given, in a proceeding with the consent of the applicant or holder to whom the report relates. (6) Subsection (1) does not apply in relation to a proceeding on a review or appeal by the applicant or holder against a decision of the prescribed authority, or of a decision of a corresponding authority in another jurisdiction (a) refusing to grant or renew a local practising certificate; or (b) imposing conditions on a local practising certificate; or (c) amending, suspending or cancelling a local practising certificate. 88. Register of local practising certificates (1) The Board must keep a register of the names of Australian lawyers to whom the prescribed authority grants local practising certificates. 152

Legal Profession Act 2007 Act No. of Part 2.3 Legal Practice by Australian Legal Practitioners s. 89 (2) The register must (a) state the conditions (if any) imposed on a local practising certificate in relation to engaging in legal practice; and (b) include other particulars prescribed by the regulations. (3) The register may be kept in the way the Board decides. (4) The Board may publish, in circumstances that it considers appropriate, the names of persons kept on the register and any other information included in the register concerning those persons that it considers appropriate. (5) The register must be available for inspection, without charge, at the Board's office during normal business hours. (6) The Board is to make the register available to the prescribed authority. 89. Holders of local practising certificates as barristers (1) The regulations or legal profession rules may make provision for or with respect to prohibiting the holder of a local practising certificate as a barrister (but not a solicitor and barrister) from any or all of the following: (a) engaging in legal practice 153

Legal Profession Act 2007 Act No. of s. 90 Part 2.3 Legal Practice by Australian Legal Practitioners (i) otherwise than as a sole practitioner; or (ii) in partnership with any person; or (iii) as the employee of any person; (b) holding office as a legal practitioner director of an incorporated legal practice. (2) Conditions may be imposed on a local practising certificate granted to a barrister (but not a solicitor and barrister) that the barrister must not (a) engage in legal practice (i) otherwise than as a sole practitioner; or (ii) in partnership with any person; or (iii) as the employee of any person; or (b) hold office as a legal practitioner director of an incorporated legal practice. (3) The regulations may provide for the training or qualification requirement that a local legal practitioner must satisfy before becoming a barrister. 90. Supreme Court orders about conditions (1) The Board or prescribed authority may apply to the Supreme Court for an order that an 154

Legal Profession Act 2007 Act No. of Part 2.3 Legal Practice by Australian Legal Practitioners s. 91 Australian lawyer not contravene a condition imposed under this Part. (2) The Supreme Court may make any order it considers appropriate on the application. 91. Government lawyers of other jurisdictions (1) A government lawyer of another jurisdiction is not subject to (a) any prohibition under this Act about (i) engaging in legal practice in this jurisdiction; or (ii) making representations about engaging in legal practice in this jurisdiction; or (b) conditions imposed on a local practising certificate in respect of the performance of his or her official duties or functions as a government lawyer of the other jurisdiction to the extent that he or she is exempt from matters of the same kind under a law of the other jurisdiction. (2) Contributions and levies are not payable to the Guarantee Fund by or in respect of a government lawyer of another jurisdiction in his or her capacity as a government lawyer. (3) Without affecting the generality of subsection (1), that subsection extends to 155

Legal Profession Act 2007 Act No. of s. 91 Part 2.3 Legal Practice by Australian Legal Practitioners prohibitions under section 79 relating to professional indemnity insurance. (4) Without affecting subsections (1), (2) and (3), nothing in this section prevents a government lawyer of another jurisdiction from being granted or holding a local practising certificate. (5) In this section "another jurisdiction" means (a) another State or a Territory of the Commonwealth; or (b) the Commonwealth; "government agency" of another jurisdiction means (a) a government department of that jurisdiction; or (b) a body or organisation that is established by or under the law of that jurisdiction for a public purpose or to perform governmental functions, and includes a body or organisation (or a class of bodies or organisations) prescribed by the regulations as being within this definition; "government lawyer" means an Australian lawyer, or a person eligible for admission to the legal profession, employed by a 156

Legal Profession Act 2007 Act No. of Part 2.3 Legal Practice by Australian Legal Practitioners s. 92 government agency of another jurisdiction. 92. Fees (1) The prescribed authority may charge fees prescribed in the regulations for the functions or services that it performs or provides under this Part. (2) The fees must be reasonable having regard to the funding that the prescribed authority receives under this Act and the cost to the prescribed authority of performing its functions under this Act. (3) Despite subsection (1), the prescribed authority may not charge a fee for a service provided to another body that has functions under this Act, except so far as the other body has arranged, on a commercial basis, for the prescribed authority to perform a service that is the responsibility of the other body. (4) The prescribed authority may waive any fees referred to in subsection (1). 93. Refund of fees (1) The regulations may provide for the refund of a portion of a fee paid in respect of a local practising certificate if it is suspended or cancelled during its currency. 157

Legal Profession Act 2007 Act No. of s. 93 Part 2.3 Legal Practice by Australian Legal Practitioners (2) Without limiting subsection (1), the regulations may specify (a) the circumstances in which a refund is to be made; and (b) the amount of the refund or the manner in which the amount of the refund is to be determined. 158

Legal Profession Act 2007 Act No. of Part 2.4 Inter-jurisdictional Provisions Regarding Admission and Practising s. 94 Certificates PART 2.4 INTER-JURISDICTIONAL PROVISIONS REGARDING ADMISSION AND PRACTISING CERTIFICATES Division 1 Preliminary 94. Purpose The purpose of this Part is to provide a nationally consistent scheme for the notification of and response to action taken by courts and other authorities in relation to the admission of persons to the legal profession and their right to engage in legal practice in Australia. 95. Definition In this Part "foreign regulatory action" taken in relation to a person means (a) removal of the person's name from a foreign roll for disciplinary reasons; or (b) suspension or cancellation of, or refusal to renew, the person's right to engage in legal practice in a foreign country. 159

Legal Profession Act 2007 Act No. of s. 96 Part 2.4 Inter-jurisdictional Provisions Regarding Admission and Practising Certificates 96. Other requirements not affected This Part does not affect any functions or powers under Chapter 4 (Complaints and discipline). Division 2 Notifications to be given by local authorities to interstate authorities 97. Official notification to other jurisdictions of applications for admission and associated matters (1) This section applies if an application for admission to the legal profession is made under this Act. (2) The Supreme Court may give the corresponding authority for another jurisdiction written notice of any of the following (as relevant): (a) the making of the application; (b) the withdrawal of the application after an inquiry is proposed or commenced in relation to the application or a suitability report is sought or obtained; (c) the refusal to admit the applicant to the legal profession under this Act. (3) The notice must state the applicant's name and address as last known to the Supreme Court and may contain other relevant information. 160

Legal Profession Act 2007 Act No. of Part 2.4 Inter-jurisdictional Provisions Regarding Admission and Practising s. 98 Certificates 98. Official notification to other jurisdictions of removal from local roll (1) This section applies if a person's name is removed from the local roll, except where the removal occurs under section 104 (Peremptory removal of local lawyer's name from local roll following removal in another jurisdiction). (2) The Registrar must, as soon as practicable, give written notice of the removal to (a) the corresponding authority of every other jurisdiction; and (b) the registrar or other proper officer of the High Court of Australia. (3) The notice must state (a) the person's name and address as last known to the Registrar; and (b) the date the person's name was removed from the roll; and (c) the reason for removing the person's name and may contain other relevant information. 99. Prescribed authority to notify other jurisdictions of certain matters (1) This section applies if 161

Legal Profession Act 2007 Act No. of s. 99 Part 2.4 Inter-jurisdictional Provisions Regarding Admission and Practising Certificates (a) the prescribed authority takes any of the following actions: (i) refuses to grant an Australian lawyer a local practising certificate; (ii) suspends, cancels or refuses to renew an Australian lawyer's local practising certificate; or (b) the lawyer successfully appeals against the action taken. (2) The prescribed authority must, as soon as practicable, give the corresponding authorities of other jurisdictions written notice of the action taken or the result of the appeal. (3) The notice must state (a) the lawyer's name and address as last known to the authority; and (b) particulars of (i) the action taken and the reasons for it; or (ii) the result of the appeal and may contain other relevant information. (4) The prescribed authority may give corresponding authorities written notice of a condition imposed on an Australian lawyer's local practising certificate. 162

Legal Profession Act 2007 Act No. of Part 2.4 Inter-jurisdictional Provisions Regarding Admission and Practising s. 100 Certificates (5) The prescribed authority must advise the Board of any action taken under this section. Division 3 Notifications to be given by lawyers to local authorities 100. Lawyer to give notice of removal in another jurisdiction (1) If a local lawyer's name has been removed from an interstate roll, the lawyer must, as soon as practicable, give the Supreme Court, the Board and the prescribed authority a written notice of the removal. Penalty: Fine not exceeding 50 penalty units. (2) If a local legal practitioner's name has been removed from an interstate roll, the practitioner must, as soon as practicable, give the Supreme Court, the Board and the prescribed authority a written notice of the removal. Penalty: Fine not exceeding 50 penalty units. (3) This section does not apply where the name has been removed from an interstate roll under a provision that corresponds to section 104 (Peremptory removal of local lawyer's name from local roll following removal in another jurisdiction). 163

Legal Profession Act 2007 Act No. of s. 101 Part 2.4 Inter-jurisdictional Provisions Regarding Admission and Practising Certificates 101. Lawyer to give notice of interstate orders (1) If an order is made under a corresponding law recommending that the name of a local lawyer be removed from the local roll, the lawyer must, as soon as practicable, give the Supreme Court, prescribed authority and Board written notice of the order. Penalty: Fine not exceeding 50 penalty units. (2) If an order is made under a corresponding law in relation to a local legal practitioner that (a) the practitioner's local practising certificate be suspended or cancelled; or (b) a local practising certificate not be granted to the practitioner for a period; or (c) conditions be imposed on the practitioner's local practising certificate the practitioner must, as soon as practicable, give the prescribed authority and Board written notice of the order. Penalty: Fine not exceeding 50 penalty units. 102. Lawyer to give notice of foreign regulatory action (1) If foreign regulatory action has been taken in relation to a local lawyer, the lawyer must, as soon as practicable, give the Supreme Court, 164

Legal Profession Act 2007 Act No. of Part 2.4 Inter-jurisdictional Provisions Regarding Admission and Practising s. 103 Certificates Board and prescribed authority written notice of the action taken. Penalty: Fine not exceeding 50 penalty units. (2) If foreign regulatory action has been taken in relation to a local legal practitioner, the practitioner must, as soon as practicable, give the Board and prescribed authority written notice of the action taken. Penalty: Fine not exceeding 50 penalty units. 103. Provisions relating to requirement to notify A notice to be given under this Division by a person must (a) state his or her name and address; and (b) disclose full details of the action to which the notice relates, including the date on which that action was taken; and (c) be accompanied by a copy of any official notification provided to him or her in connection with that action. 165

Legal Profession Act 2007 Act No. of s. 104 Part 2.4 Inter-jurisdictional Provisions Regarding Admission and Practising Certificates Division 4 Taking of action by local authorities in response to notifications received 104. Peremptory removal of local lawyer's name from local roll following removal in another jurisdiction (1) This section applies if the Registrar is satisfied that (a) a local lawyer's name has been removed from an interstate roll; and (b) no order referred to in section 108(1)(a) (Order for non-removal of name or non- cancellation of local practising certificate) is, at the time of that removal, in force in relation to it. (2) The Registrar must remove the lawyer's name from the local roll. (3) The Registrar may, but need not, give the lawyer notice of the date on which the Registrar proposes to remove the name from the local roll. (4) The Registrar must, as soon as practicable, give the former local lawyer notice of the removal of the name from the local roll, unless notice of the date of the proposed removal was previously given. (5) The name of the former local lawyer is, on his or her application to the Registrar or on the Registrar's own initiative, to be restored to the local roll if the name is restored to the interstate roll. 166

Legal Profession Act 2007 Act No. of Part 2.4 Inter-jurisdictional Provisions Regarding Admission and Practising s. 105 Certificates (6) Nothing in this section prevents the former local lawyer from afterwards applying for admission under Part 2.2 (Admission of local lawyers). 105. Peremptory cancellation of local practising certificate following removal of name from interstate roll (1) This section applies if (a) a person's name is removed from an interstate roll but he or she remains an Australian lawyer; and (b) he or she is the holder of a local practising certificate; and (c) no order referred to in section 108(1)(b) (Order for non-removal of name or non- cancellation of local practising certificate) is, at the time of that removal, in force in relation to it. (2) The prescribed authority must cancel the local practising certificate as soon as practicable after receiving official written notification of the removal. (3) The prescribed authority may, but need not, give the person notice of the date on which the prescribed authority proposes to cancel the local practising certificate. (4) The prescribed authority must, as soon as practicable, give the person notice of the 167

Legal Profession Act 2007 Act No. of s. 106 Part 2.4 Inter-jurisdictional Provisions Regarding Admission and Practising Certificates cancellation, unless notice of the date of the proposed cancellation was previously given. (5) Nothing in this section prevents the former local lawyer from afterwards applying for a local practising certificate. (6) The prescribed authority must advise the Board of any action taken under this section. 106. Show cause procedure for removal of lawyer's name from local roll following foreign regulatory action (1) This section applies if the prescribed authority is satisfied that (a) foreign regulatory action has been taken in relation to a local lawyer; and (b) no order referred to in section 108(1)(a) (Order for non-removal of name or non- cancellation of local practising certificate) is in force in relation to the action taken. (2) The prescribed authority may serve on the lawyer a notice stating that the prescribed authority will apply to the Supreme Court for an order that the lawyer's name be removed from the local roll unless the lawyer shows cause to the prescribed authority why his or her name should not be removed. (3) If the lawyer does not satisfy the prescribed authority that his or her name should not be 168

Legal Profession Act 2007 Act No. of Part 2.4 Inter-jurisdictional Provisions Regarding Admission and Practising s. 107 Certificates removed from the local roll, the prescribed authority may apply to the Supreme Court for an order that his or her name be removed from the local roll. (4) Before applying for an order that the lawyer's name be removed, the prescribed authority must afford the lawyer a reasonable opportunity to show cause why his or her name should not be removed. (5) The lawyer is entitled to appear before and be heard by the Supreme Court at a hearing in respect of an application under this section. (6) The Supreme Court may, on application made under this section, order that the lawyer's name be removed from the local roll, or may refuse to do so. (7) The prescribed authority must advise the Board of the Supreme Court's decision to remove a lawyer's name from the local roll under this section. 107. Show cause procedure for cancellation of local practising certificate following foreign regulatory action (1) This section applies if the prescribed authority is satisfied that (a) foreign regulatory action has been taken in relation to a local legal practitioner; and 169

Legal Profession Act 2007 Act No. of s. 107 Part 2.4 Inter-jurisdictional Provisions Regarding Admission and Practising Certificates (b) no order referred to in section 108(1)(b) (Order for non-removal of name or non- cancellation of local practising certificate) is in force in relation to the action taken. (2) The prescribed authority may serve on the practitioner a notice stating that the prescribed authority proposes to cancel his or her local practising certificate unless the practitioner shows cause to the prescribed authority why his or her practising certificate should not be cancelled. (3) The prescribed authority must afford the practitioner a reasonable opportunity to show cause why his or her local practising certificate should not be cancelled. (4) If the practitioner does not satisfy the prescribed authority that the local practising certificate should not be cancelled, the prescribed authority may cancel the certificate. (5) The prescribed authority must, as soon as practicable, give the practitioner an information notice about its decision to cancel the local practising certificate. (6) The practitioner may appeal to the Supreme Court against a decision of the prescribed authority to cancel the local practising certificate. (7) The Supreme Court may make any order it considers appropriate on the appeal. 170

Legal Profession Act 2007 Act No. of Part 2.4 Inter-jurisdictional Provisions Regarding Admission and Practising s. 108 Certificates (8) The prescribed authority must advise the Board of the cancellation of a local practising certificate under this section. 108. Order for non-removal of name or non-cancellation of local practising certificate (1) If an Australian lawyer reasonably expects that his or her name will be removed from an interstate roll or that foreign regulatory action will be taken against the lawyer, the lawyer may apply to the Supreme Court for (a) an order that his or her name not be removed from the local roll under section 104 (Peremptory removal of local lawyer's name from local roll following removal in another jurisdiction); or (b) an order that his or her local practising certificate not be cancelled under section 105 (Peremptory cancellation of local practising certificate following removal of name from interstate roll) or section 107 (Show cause procedure for cancellation of local practising certificate following foreign regulatory action) or both. (2) The Supreme Court may make the order or orders applied for if satisfied that (a) the lawyer's name is likely to be removed from the interstate roll or the 171

Legal Profession Act 2007 Act No. of s. 109 Part 2.4 Inter-jurisdictional Provisions Regarding Admission and Practising Certificates foreign regulatory action is likely to be taken; and (b) the reason for the removal of the name or the taking of the foreign regulatory action will not involve disciplinary action or the possibility of disciplinary action or may refuse to make an order. (3) An order under this section may be made subject to any conditions the Supreme Court considers appropriate and remains in force for the period specified in it. (4) The Supreme Court may revoke an order made under this section, and sections 104, 105, 106 and 107 (as relevant) then apply as if the lawyer's name were removed from the interstate roll or the foreign regulatory action were taken when the revocation takes effect. (5) Nothing in this section affects action being taken in relation to the lawyer under other provisions of this Act. 109. Local authority may give information to other local authorities A regulatory authority of this jurisdiction that receives information from a regulatory authority of another jurisdiction under provisions of a corresponding law that correspond to this Part may furnish the information to other authorities 172

Legal Profession Act 2007 Act No. of Part 2.4 Inter-jurisdictional Provisions Regarding Admission and Practising s. 109 Certificates of this jurisdiction that have functions or powers under this Act. 173

Legal Profession Act 2007 Act No. of s. 110 Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships PART 2.5 INCORPORATED LEGAL PRACTICES AND MULTI-DISCIPLINARY PARTNERSHIPS Division 1 Preliminary 110. Purposes The purposes of this Part are (a) to regulate the provision of legal services by corporations in this jurisdiction; and (b) to regulate the provision of legal services in this jurisdiction in conjunction with the provision of other services (whether by a corporation or persons acting in partnership with each other). 111. Definitions In this Part "corporation" means (a) a company within the meaning of the Corporations Act 2001 of the Commonwealth; or (b) any other body corporate, or body corporate of a kind, prescribed by the regulations; "director" means 174

Legal Profession Act 2007 Act No. of Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships s. 111 (a) in relation to a company within the meaning of the Corporations Act 2001 of the Commonwealth, a director as defined in section 9 of that Act; or (b) in relation to any other body corporate, or body corporate of a kind, prescribed by the regulations, a person specified or described in the regulations; "legal practitioner director" means a director of an incorporated legal practice who is an Australian legal practitioner holding an unrestricted practising certificate; "legal practitioner partner" means a partner of a multi-disciplinary partnership who is an Australian legal practitioner holding an unrestricted practising certificate; "officer" means (a) in relation to a company within the meaning of the Corporations Act 2001 of the Commonwealth, an officer as defined in section 9 of that Act; or (b) in relation to any other body corporate, or body corporate of a kind prescribed by the regulations, a person specified or described in the regulations; 175

Legal Profession Act 2007 Act No. of s. 112 Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships "professional obligations" of an Australian legal practitioner includes (a) duties to the Supreme Court; and (b) obligations in connection with conflicts of interest; and (c) duties to clients, including disclosure; and (d) ethical rules required to be observed by the practitioner; "related body corporate" means (a) in relation to a company within the meaning of the Corporations Act 2001 of the Commonwealth, a related body corporate within the meaning of section 50 of that Act; or (b) in relation to any other body corporate, or body corporate of a kind, prescribed by the regulations, a person specified or described in the regulations. Division 2 Incorporated legal practices 112. Nature of incorporated legal practice (1) An incorporated legal practice is a corporation that engages in legal practice in this jurisdiction, 176

Legal Profession Act 2007 Act No. of Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships s. 112 whether or not it also provides services that are not legal services. (2) However, a corporation is not an incorporated legal practice if (a) the corporation does not receive any form of, or have any expectation of, a fee, gain or reward for the legal services it provides; or (b) the only legal services that the corporation provides are any or all of the following services: (i) in-house legal services, namely, legal services provided to the corporation concerning a proceeding, or transaction to which the corporation (or a related body corporate) is a party; (ii) services that are not legally required to be provided by an Australian legal practitioner and that are provided by an officer or employee who is not an Australian legal practitioner; or (c) the corporation is a complying community legal centre; or (d) this Part or the regulations so provide. (3) The regulations may make provision for or with respect to the application (with or without specified modifications) of provisions of this Act 177

Legal Profession Act 2007 Act No. of s. 113 Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships to corporations that are not incorporated legal practices because of the operation of subsection (2). (4) Nothing in this Part affects or applies to the provision by an incorporated legal practice of legal services in one or more other jurisdictions. 113. Non-legal services and businesses of incorporated legal practices (1) An incorporated legal practice may provide any service and conduct any business that the corporation may lawfully provide or conduct, except as provided by this section. (2) An incorporated legal practice (or a related body corporate) must not conduct a managed investment scheme. (3) The regulations may prohibit an incorporated legal practice (or a related body corporate) from providing a service or conducting a business of a kind specified by the regulations. 114. Corporations eligible to be incorporated legal practices (1) Any corporation is, subject to this Part, eligible to be an incorporated legal practice. (2) This section does not authorise a corporation to provide legal services if the corporation is prohibited from doing so by any Act or law 178

Legal Profession Act 2007 Act No. of Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships s. 115 (whether of this jurisdiction, the Commonwealth or any other jurisdiction) under which it is incorporated or its affairs are regulated. (3) An incorporated legal practice is not itself required to hold an Australian practising certificate. 115. Notice of intention to start providing legal services (1) Before a corporation starts to engage in legal practice in this jurisdiction, the corporation must give the prescribed authority written notice, in the approved form, of its intention to do so. (2) A corporation must not engage in legal practice in this jurisdiction if it is in default of this section. Penalty: Fine not exceeding 500 penalty units. (3) A corporation that starts to engage in legal practice in this jurisdiction without giving a notice under subsection (1) is in default of this section until it gives the prescribed authority written notice, in the approved form, of the failure to comply with that subsection and the fact that it has started to engage in legal practice. (4) The giving of a notice under subsection (3) does not affect a corporation's liability under subsection (1) or (2). (5) A corporation is not entitled to recover any amount for anything the corporation did in contravention of subsection (2). 179

Legal Profession Act 2007 Act No. of s. 116 Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships (6) A person may recover from a corporation, as a debt due to the person, any amount the person paid to or at the direction of the corporation for anything the corporation did in contravention of subsection (2). (7) This section does not apply to a corporation referred to in section 112(2)(a) or (b). 116. Prohibition on representations that corporation is incorporated legal practice (1) A corporation must not, without reasonable excuse, represent or advertise that the corporation is an incorporated legal practice unless a notice in relation to the corporation has been given under section 115. Penalty: Fine not exceeding 500 penalty units. (2) A director, officer, employee or agent of a corporation must not, without reasonable excuse, represent or advertise that the corporation is an incorporated legal practice unless a notice in relation to the corporation has been given under section 115. Penalty: Fine not exceeding 100 penalty units. (3) A reference in this section to a person, being (a) a corporation, representing or advertising that the corporation is an incorporated legal practice; or 180

Legal Profession Act 2007 Act No. of Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships s. 117 (b) a director, officer, employee or agent of a corporation, representing or advertising that the corporation is an incorporated legal practice includes a reference to the person doing anything that states or implies that the corporation is entitled to engage in legal practice. 117. Notice of termination of provision of legal services (1) A corporation must, within the prescribed period after it ceases to engage in legal practice in this jurisdiction as an incorporated legal practice, give the prescribed authority a written notice, in the approved form, of that fact. Penalty: Fine not exceeding 50 penalty units. (2) The regulations may make provision for or with respect to determining whether and when a corporation ceases to engage in legal practice in this jurisdiction. 118. Incorporated legal practice must have legal practitioner director (1) An incorporated legal practice is required to have at least one legal practitioner director. (2) Each legal practitioner director of an incorporated legal practice is, for the purposes of this Act only, responsible for the management of 181

Legal Profession Act 2007 Act No. of s. 118 Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships the legal services provided in this jurisdiction by the incorporated legal practice. (3) Each legal practitioner director of an incorporated legal practice must ensure that appropriate management systems are implemented and maintained to enable the provision of legal services by the incorporated legal practice (a) in accordance with the professional obligations of Australian legal practitioners and other obligations imposed by or under this Act, the regulations or the legal profession rules; and (b) so that those obligations of Australian legal practitioners who are officers or employees of the practice are not affected by other officers or employees of the practice. (4) If it ought reasonably to be apparent to a legal practitioner director of an incorporated legal practice that the provision of legal services by the practice will result in breaches of the professional obligations of Australian legal practitioners or other obligations imposed by or under this Act, the regulations or the legal profession rules, the director must take all reasonable action available to the director to ensure that (a) the breaches do not occur; and 182

Legal Profession Act 2007 Act No. of Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships s. 119 (b) appropriate remedial action is taken in respect of breaches that do occur. (5) Nothing in this Part derogates from the obligations or liabilities of a director of an incorporated legal practice under any other law. (6) The reference in subsection (1) to a legal practitioner director does not include a reference to a person who is not validly appointed as a director, but this subsection does not affect the meaning of the expression "legal practitioner director" in other provisions of this Act. 119. Obligations of legal practitioner director relating to misconduct (1) Each of the following is capable of constituting unsatisfactory professional conduct or professional misconduct by a legal practitioner director: (a) unsatisfactory professional conduct or professional misconduct of an Australian legal practitioner employed by the incorporated legal practice; (b) conduct of any other director (not being an Australian legal practitioner) of the incorporated legal practice that adversely affects the provision of legal services by the practice; (c) the unsuitability of any other director (not being an Australian legal 183

Legal Profession Act 2007 Act No. of s. 119 Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships practitioner) of the incorporated legal practice to be a director of a corporation that provides legal services. (2) A legal practitioner director is not guilty of unsatisfactory professional conduct or professional misconduct under subsection (1) if the director establishes that he or she took all reasonable steps to ensure that (a) Australian legal practitioners employed by the incorporated legal practice did not engage in conduct or misconduct referred to in subsection (1)(a); or (b) directors (not being Australian legal practitioners) of the incorporated legal practice did not engage in conduct referred to in subsection (1)(b); or (c) unsuitable directors (not being Australian legal practitioners) of the incorporated legal practice were not appointed or holding office as referred to in subsection (1)(c) as the case requires. (3) A legal practitioner director of an incorporated legal practice must ensure that all reasonable action available to the legal practitioner director is taken to deal with any unsatisfactory professional conduct or professional misconduct of an Australian legal practitioner employed by the practice. 184

Legal Profession Act 2007 Act No. of Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships s. 120 120. Incorporated legal practice without legal practitioner director (1) An incorporated legal practice contravenes this subsection if it does not have any legal practitioner directors for a period exceeding 7 days. Penalty: Fine not exceeding 500 penalty units. (2) If an incorporated legal practice ceases to have any legal practitioner directors, the incorporated legal practice must notify the prescribed authority as soon as possible. Penalty: Fine not exceeding 500 penalty units. (3) An incorporated legal practice must not provide legal services in this jurisdiction during any period it is in default of director requirements under this section. Penalty: Fine not exceeding 100 penalty units. (4) An incorporated legal practice that contravenes subsection (1) is taken to be in default of director requirements under this section for the period from the end of the period of 7 days until (a) it has at least one legal practitioner director; or (b) a person is appointed under this section or a corresponding law in relation to the practice. (5) The prescribed authority may, if it thinks it appropriate, appoint an Australian legal 185

Legal Profession Act 2007 Act No. of s. 120 Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships practitioner who is an employee of the incorporated legal practice or another person nominated by the prescribed authority, in the absence of a legal practitioner director, to perform or exercise functions or powers imposed or conferred on a legal practitioner director under this Part. (6) An Australian legal practitioner is not eligible to be appointed under this section unless the practitioner holds an unrestricted practising certificate. (7) The appointment under this section of a person to perform or exercise functions or powers of a legal practitioner director does not, for any other purpose, impose or confer on the person any of the other functions or powers of a director of the incorporated legal practice. (8) An incorporated legal practice does not contravene subsection (1) during any period during which a person holds an appointment under this section in relation to the practice. (9) A reference in this section to a legal practitioner director does not include a reference to a person who is not validly appointed as a director, but this subsection does not affect the meaning of the expression "legal practitioner director" in other provisions of this Act. 186

Legal Profession Act 2007 Act No. of Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships s. 121 121. Obligations and privileges of practitioners who are officers or employees (1) An Australian legal practitioner who provides legal services on behalf of an incorporated legal practice in the capacity of an officer or employee of the practice (a) is not excused from compliance with professional obligations as an Australian legal practitioner, or any obligations as an Australian legal practitioner under any law; and (b) does not lose the professional privileges of an Australian legal practitioner. (2) For the purposes only of subsection (1), the professional obligations and professional privileges of a practitioner apply as if (a) where there are 2 or more legal practitioner directors of an incorporated legal practice, the practice were a partnership of the legal practitioner directors and the employees of the practice were employees of the legal practitioner directors; or (b) where there is only one legal practitioner director of an incorporated legal practice, the practice were a sole practitioner and the employees of the practice were employees of the legal practitioner director. 187

Legal Profession Act 2007 Act No. of s. 122 Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships (3) The law relating to client legal privilege (or other legal professional privilege) is not excluded or otherwise affected because an Australian legal practitioner is acting in the capacity of an officer or employee of an incorporated legal practice. (4) The directors of an incorporated legal practice do not breach their duties as directors merely because legal services are provided pro bono by an Australian legal practitioner employed by the practice. 122. Conflicts of interest (1) For the purposes of the application of any law (including the common law) or legal profession rules relating to conflicts of interest to the conduct of an Australian legal practitioner who is (a) a legal practitioner director of an incorporated legal practice; or (b) an officer or employee of an incorporated legal practice the interests of the incorporated legal practice or any related body corporate are also taken to be those of the practitioner (in addition to any interests that the practitioner has apart from this subsection). (2) Legal profession rules may be made for or with respect to additional duties and obligations in 188

Legal Profession Act 2007 Act No. of Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships s. 123 connection with conflicts of interest arising out of the conduct of an incorporated legal practice. Note. Under section 121 (Obligations and privileges of practitioners who are officers or employees), an Australian legal practitioner who is an officer or employee of an incorporated legal practice must comply with the same professional obligations as other practitioners. 123. Disclosure obligations (1) This section applies if a person engages an incorporated legal practice to provide services that the person might reasonably assume to be legal services, but does not apply where the practice provides only legal services in this jurisdiction. (2) Each legal practitioner director of the incorporated legal practice, and any employee who is an Australian legal practitioner and who provides the services on behalf of the practice, must ensure that a disclosure, complying with the requirements of this section and the regulations made for the purposes of this section, is made to the person in connection with the provision of the services. Penalty: Fine not exceeding 50 penalty units. (3) The disclosure must be made by giving the person a notice in writing (a) setting out the services to be provided; and 189

Legal Profession Act 2007 Act No. of s. 123 Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships (b) stating whether or not all the legal services to be provided will be provided by an Australian legal practitioner; and (c) if some or all of the legal services to be provided will not be provided by an Australian legal practitioner, identifying those services and indicating the status or qualifications of the person or persons who will provide the services; and Note. For example, the person might be a licensed conveyancer. However, this paragraph would not apply in a case where a law applying in the jurisdiction prohibits a particular legal service from being provided by a person who is not an Australian legal practitioner. (d) stating that this Act applies to the provision of legal services but not to the provision of the non-legal services. (4) The regulations may make provision for or with respect to the following matters: (a) the manner in which a disclosure is to be made; (b) additional matters required to be disclosed in connection with the provision of legal services or non-legal services by an incorporated legal practice. (5) Without limiting subsection (4), the additional matters may include the kind of services provided by the incorporated legal practice and 190

Legal Profession Act 2007 Act No. of Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships s. 124 whether those services are or are not covered by the insurance or other provisions of this Act. (6) A disclosure under this section to a person about the provision of legal services may relate to the provision of legal services on one occasion or on more than one occasion or on an on-going basis. 124. Effect of non-disclosure of provision of certain services (1) This section applies if (a) section 123 applies in relation to a service that is provided to a person who has engaged an incorporated legal practice to provide the service and that the person might reasonably assume to be a legal service; and (b) a disclosure has not been made under that section in relation to the service. (2) The standard of care owed by the incorporated legal practice in respect of the service is the standard that would be applicable if the service had been provided by an Australian legal practitioner. 125. Application of legal profession rules Legal profession rules, so far as they apply to Australian legal practitioners, also apply to Australian legal practitioners who are officers or 191

Legal Profession Act 2007 Act No. of s. 126 Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships employees of an incorporated legal practice, unless the rules otherwise provide. 126. Requirements relating to advertising (1) Any restriction imposed by or under this or any other Act, the regulations or the legal profession rules in connection with advertising by Australian legal practitioners applies to advertising by an incorporated legal practice with respect to the provision of legal services. (2) If a restriction referred to in subsection (1) is limited to a particular branch of the legal profession or to persons who practise in a particular style of legal practice, the restriction applies only to the extent that the incorporated legal practice carries on the business in that branch of the legal profession or in that style of legal practice. (3) Any advertisement of the kind referred to in this section is, for the purposes of disciplinary proceedings taken against an Australian legal practitioner, taken to have been authorised by each legal practitioner director of the incorporated legal practice. (4) This section does not apply if the provision by which the restriction is imposed expressly excludes its application to incorporated legal practices. 192

Legal Profession Act 2007 Act No. of Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships s. 127 127. Extension of vicarious liability relating to failure to account, pay or deliver and dishonesty to incorporated legal practices (1) This section applies to any of the following proceedings (being proceedings based on the vicarious liability of an incorporated legal practice): (a) civil proceedings relating to a failure to account for, pay or deliver money or property received by, or entrusted to, the practice (or to any officer or employee of the practice) in the course of the provision of legal services by the practice, being money or property under the direct or indirect control of the practice; (b) civil proceedings for any other debt owed, or damages payable, to a client as a result of a dishonest act or omission by an Australian legal practitioner who is an employee of the practice in connection with the provision of legal services to the client. (2) If the incorporated legal practice would not (but for this section) be vicariously liable for any acts or omissions of its officers and employees in those proceedings, but would be liable for those acts or omissions if the practice and those officers and employees were carrying on business in partnership, the practice is taken to be vicariously liable for those acts or omissions. 193

Legal Profession Act 2007 Act No. of s. 128 Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships 128. Sharing of receipts, revenue or other income (1) Nothing in this Act, the regulations or the legal profession rules prevents an Australian legal practitioner from sharing with an incorporated legal practice receipts, revenue or other income arising from the provision of legal services by the practitioner. (2) This section does not extend to the sharing of receipts, revenue or other income in contravention of section 129, and has effect subject to section 89 (Holders of local practising certificates as barristers). 129. Disqualified persons (1) An incorporated legal practice is guilty of an offence if a person who is a disqualified person (a) is an officer or employee of the incorporated legal practice (whether or not the person provides legal services) or is an officer or employee of a related body corporate; or (b) is a partner of the incorporated legal practice in a business that includes the provision of legal services; or (c) shares the receipts, revenue or other income arising from the provision of legal services by the incorporated legal practice; or 194

Legal Profession Act 2007 Act No. of Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships s. 130 (d) is engaged or paid in connection with the provision of legal services by the incorporated legal practice. Penalty: Fine not exceeding 100 penalty units. (2) The failure of a legal practitioner director of an incorporated legal practice to ensure that the practice complies with subsection (1) is capable of constituting unsatisfactory professional conduct or professional misconduct. 130. Audit of incorporated legal practices (1) The prescribed authority may conduct an audit of (a) the compliance of an incorporated legal practice (and of its officers and employees) with the requirements of (i) this Part; or (ii) the regulations or the legal profession rules, so far as they relate specifically to incorporated legal practices; and (b) the management of the provision of legal services by the incorporated legal practice (including the supervision of officers and employees providing the services). 195

Legal Profession Act 2007 Act No. of s. 130 Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships Note. Section 118(3) (Incorporated legal practice must have legal practitioner director) requires legal practitioner directors to ensure that appropriate management systems are implemented and maintained. (2) The prescribed authority may appoint, in writing, a suitably qualified person to conduct the audit. (3) The appointment may be made generally or in relation to a particular incorporated legal practice, or in relation to a particular audit. (4) An audit may be conducted whether or not a complaint has been made against an Australian lawyer with respect to the provision of legal services by the incorporated legal practice. (5) A report of an audit (a) is to be provided to the incorporated legal practice concerned; and (b) may be provided by the prescribed authority or to the prescribed authority (as the case may be); and (c) may be provided by the prescribed authority to a corresponding authority; and (d) may be provided by the prescribed authority to the Board; and (e) may be taken into account in connection with any disciplinary proceedings taken against legal practitioner directors or other persons or in connection with the 196

Legal Profession Act 2007 Act No. of Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships s. 131 grant, amendment, suspension or cancellation of Australian practising certificates. 131. Application of Chapter 6 Chapter 6 (Investigatory Powers) applies to an audit under this Division. 132. Banning of incorporated legal practices (1) The Supreme Court may, on the application of the prescribed authority, make an order disqualifying a corporation from providing legal services in this jurisdiction for the period the Court considers appropriate if satisfied that (a) a ground for disqualifying the corporation under this section has been established; and (b) the disqualification is justified. (2) An order under this section may, if the Supreme Court thinks it appropriate, be made (a) subject to conditions as to the conduct of the incorporated legal practice; or (b) subject to conditions as to when or in what circumstances the order is to take effect; or 197

Legal Profession Act 2007 Act No. of s. 132 Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships (c) together with orders to safeguard the interests of clients or employees of the incorporated legal practice. (3) Action may be taken against an incorporated legal practice on any of the following grounds: (a) that a legal practitioner director or an Australian legal practitioner who is a officer or employee of the corporation is found guilty of professional misconduct under a law of this jurisdiction or another jurisdiction; (b) that the prescribed authority is satisfied, after conducting an audit of the incorporated legal practice, that the incorporated legal practice has failed to implement satisfactory management and supervision of its provision of legal services; (c) that the incorporated legal practice (or a related body corporate) has contravened section 113 (Non-legal services and businesses of incorporated legal practices) or the regulations made under that section; (d) that the incorporated legal practice has contravened section 129 (Disqualified persons); (e) that a person who is an officer of the incorporated legal practice and who is the subject of an order under 198

Legal Profession Act 2007 Act No. of Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships s. 132 (i) section 133 or under provisions of a corresponding law that correspond to that section; or (ii) section 158 (Prohibition on partnerships with certain partners who are not Australian legal practitioners) or under provisions of a corresponding law that correspond to that section is acting in the management of the incorporated legal practice. (4) If a corporation is disqualified under this section, the prescribed authority must, as soon as practicable, notify the corresponding authority of every other jurisdiction. (5) If a corporation is disqualified from providing legal services in another jurisdiction under a corresponding law, the prescribed authority may determine that the corporation is taken to be disqualified from providing legal services in this jurisdiction for the same period, but nothing in this subsection prevents the prescribed authority from instead applying for an order under this section. (6) A corporation that provides legal services in contravention of a disqualification under this section is guilty of an offence. Penalty: Fine not exceeding 500 penalty units. 199

Legal Profession Act 2007 Act No. of s. 133 Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships (7) A corporation that is disqualified under this section ceases to be an incorporated legal practice. (8) Conduct of an Australian legal practitioner who provides legal services on behalf of a corporation in the capacity of an officer or employee of the corporation is capable of constituting unsatisfactory professional conduct or professional misconduct where the practitioner ought reasonably to have known that the corporation is disqualified under this section. (9) The regulations may make provision for or with respect to the publication and notification of orders made under this section, including notification of appropriate authorities of other jurisdictions. 133. Disqualification from managing incorporated legal practice (1) The Supreme Court may, on the application of the prescribed authority, make an order disqualifying a person from managing a corporation that is an incorporated legal practice for the period the Court considers appropriate if satisfied that (a) the person is a person who could be disqualified under section 206C, 206D, 206E or 206F of the Corporations Act 2001 of the Commonwealth from managing corporations; and 200

Legal Profession Act 2007 Act No. of Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships s. 134 (b) the disqualification is justified. (2) The Supreme Court may, on the application of a person subject to a disqualification order under this section, revoke the order. (3) A disqualification order made under this section has effect for the purposes only of this Act and does not affect the application or operation of the Corporations Act 2001 of the Commonwealth. (4) The regulations may make provision for or with respect to the publication and notification of orders made under this section. (5) A person who is disqualified from managing a corporation under provisions of a corresponding law that correspond to this section is taken to be disqualified from managing a corporation under this section. 134. Disclosure of information to Australian Securities and Investments Commission (1) This section applies if the prescribed authority, in connection with performing functions or exercising powers under this Act, acquired information concerning a corporation that is or was an incorporated legal practice. (2) The prescribed authority may disclose to the Australian Securities and Investments Commission information concerning the corporation that is relevant to the Commission's functions. 201

Legal Profession Act 2007 Act No. of s. 135 Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships (3) Information may be provided under subsection (2) despite any law relating to secrecy or confidentiality, including any provisions of this Act. 135. External administration proceedings under Corporations Act 2001 of the Commonwealth (1) This section applies to proceedings in any court under Chapter 5 (External administration) of the Corporations Act 2001 of the Commonwealth (a) relating to a corporation that is an externally-administered body corporate under that Act; or (b) relating to a corporation becoming an externally-administered body corporate under that Act being a corporation that is or was an incorporated legal practice. (2) The prescribed authority and Board are entitled to intervene in the proceedings, unless the court determines that the proceedings do not concern or affect the provision of legal services by the incorporated legal practice. (3) The court may, when exercising its jurisdiction in the proceedings, have regard to the interests of the clients of the incorporated legal practice who have been or are to be provided with legal services by the practice. 202

Legal Profession Act 2007 Act No. of Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships s. 136 (4) Subsection (3) does not authorise the court to make any decision that is contrary to a specific provision of the Corporations Act 2001 of the Commonwealth. (5) The provisions of subsections (2) and (3) are declared to be Corporations legislation displacement provisions for the purposes of section 5G of the Corporations Act 2001 of the Commonwealth in relation to the provisions of Chapter 5 of that Act. Note. Section 5G of the Corporations Act 2001 of the Commonwealth provides that, if a State law declares a provision of a State law to be a Corporations legislation displacement provision, any provision of the Corporations legislation with which the State provision would otherwise be inconsistent does not apply to the extent necessary to avoid the inconsistency. 136. External administration proceedings under other legislation (1) This section applies to proceedings for the external administration (however expressed) of an incorporated legal practice, but does not apply to proceedings to which section 135 applies. (2) The prescribed authority and Board are entitled to intervene in the proceedings, unless the court determines that the proceedings do not concern or affect the provision of legal services by the incorporated legal practice. (3) The court may, when exercising its jurisdiction in the proceedings, have regard to the interests of 203

Legal Profession Act 2007 Act No. of s. 137 Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships the clients of the incorporated legal practice who have been or are to be provided with legal services by the practice. (4) Subsection (3) does not authorise the court to make any decision that is contrary to a specific provision of any legislation applicable to the incorporated legal practice. 137. Incorporated legal practice that is subject to receivership under this Act and external administration under Corporations Act 2001 of the Commonwealth (1) This section applies if an incorporated legal practice is the subject of both (a) the appointment of a Chapter 5 receiver; and (b) the appointment of a Corporations Act administrator. (2) The Chapter 5 receiver is under a duty to notify the Corporations Act administrator of the appointment of the Chapter 5 receiver, whether the appointment precedes, follows or is contemporaneous with the appointment of the Corporations Act administrator. (3) The Chapter 5 receiver or the Corporations Act administrator (or both of them jointly) may apply to the Supreme Court for the resolution of issues arising from or in connection with the dual appointments and their respective powers, 204

Legal Profession Act 2007 Act No. of Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships s. 137 except where proceedings referred to in section 135 (External administration proceedings under Corporations Act 2001 of the Commonwealth) have been commenced. (4) The Supreme Court may make any orders it considers appropriate, and no liability attaches to the Chapter 5 receiver or the Corporations Act administrator for any act or omission done by the receiver or administrator in good faith for the purpose of carrying out or acting in accordance with the orders. (5) The Board is entitled to intervene in the proceedings, unless the Supreme Court determines that the proceedings do not concern or affect the provision of legal services by the incorporated legal practice. (6) The provisions of subsections (3) and (4) are declared to be Corporations legislation displacement provisions for the purposes of section 5G of the Corporations Act 2001 of the Commonwealth in relation to the provisions of Chapter 5 of that Act. (7) In this section "Chapter 5 receiver" means a receiver appointed under Part 5.5 of this Act; "Corporations Act administrator" means (a) a receiver, receiver and manager, liquidator (including a provisional liquidator), controller, administrator or deed 205

Legal Profession Act 2007 Act No. of s. 138 Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships administrator appointed under the Corporations Act 2001 of the Commonwealth; or (b) a person who is appointed to exercise powers under that Act and who is prescribed, or is of a class prescribed, by the regulations for the purposes of this definition. 138. Incorporated legal practice that is subject to receivership under this Act and external administration under other legislation (1) This section applies if an incorporated legal practice is the subject of both (a) the appointment of a Chapter 5 receiver; and (b) the appointment of an external administrator. (2) The Chapter 5 receiver is under a duty to notify the external administrator of the appointment of the Chapter 5 receiver, whether the appointment precedes, follows or is contemporaneous with the appointment of the external administrator. (3) The Chapter 5 receiver or the external administrator (or both of them jointly) may apply to the Supreme Court for the resolution of issues arising from or in connection with the dual appointments and their respective powers. 206

Legal Profession Act 2007 Act No. of Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships s. 139 (4) The Supreme Court may make any orders it considers appropriate, and no liability attaches to the Chapter 5 receiver or the external administrator for any act or omission done by the receiver or administrator in good faith for the purpose of carrying out, or acting in accordance with, the orders. (5) The prescribed authority and Board are entitled to intervene in the proceedings, unless the Supreme Court determines that the proceedings do not concern or affect the provision of legal services by the incorporated legal practice. (6) In this section "Chapter 5 receiver" means a receiver appointed under Part 5.5 of this Act; "external administrator" means a person who is appointed to exercise powers under other legislation (whether or not of this jurisdiction) and who is prescribed, or is of a class prescribed, by the regulations for the purposes of this definition. 139. Co-operation between courts Courts of this jurisdiction may make arrangements for communicating and co- operating with other courts or tribunals in connection with the exercise of powers under this Part. 207

Legal Profession Act 2007 Act No. of s. 140 Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships 140. Relationship of Act to constitution of incorporated legal practice The provisions of this Act or the regulations that apply to an incorporated legal practice prevail, to the extent of any inconsistency, over the constitution or other constituent documents of the practice. 141. Relationship of Act to legislation establishing incorporated legal practice (1) This section applies to a corporation that is established by or under a law (whether or not of this jurisdiction) and is an incorporated legal practice, but is not a company within the meaning of the Corporations Act 2001 of the Commonwealth. (2) The provisions of this Act or the regulations that apply to an incorporated legal practice prevail, to the extent of any inconsistency, over provisions of the legislation by or under which the corporation is established or regulated that are specified or described in the regulations. 142. Relationship of Act to Corporations legislation (1) The regulations may declare any provision of this Act or the regulations that relates to an incorporated legal practice to be a Corporations legislation displacement provision for the purposes of section 5G of the Corporations Act 2001 of the Commonwealth. 208

Legal Profession Act 2007 Act No. of Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships s. 143 (2) The regulations may declare any matter relating to an incorporated legal practice that is prohibited, required, authorised or permitted by or under this Act or the regulations to be an excluded matter for the purposes of section 5F of the Corporations Act 2001 of the Commonwealth in relation to (a) the whole of the Corporations legislation; or (b) a specified provision of the Corporations legislation; or (c) the Corporations legislation other than a specified provision; or (d) the Corporations legislation otherwise than to a specified extent. (3) In this section "matter" includes act, omission, body, person or thing. 143. Undue influence A person (whether or not an officer or an employee of an incorporated legal practice) must not cause or induce or attempt to cause or induce (a) a legal practitioner director; or 209

Legal Profession Act 2007 Act No. of s. 144 Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships (b) another Australian legal practitioner who provides legal services on behalf of an incorporated legal practice to contravene this Act, the regulations, the legal profession rules or his or her professional obligations as an Australian legal practitioner. Penalty: Fine not exceeding 100 penalty units. Division 3 Multi-disciplinary partnerships 144. Nature of multi-disciplinary partnership (1) A multi-disciplinary partnership is a partnership between one or more Australian legal practitioners and one or more other persons who are not Australian legal practitioners, where the business of the partnership includes the provision of legal services in this jurisdiction as well as other services. (2) However, a partnership consisting only of one or more Australian legal practitioners and one or more Australian-registered foreign lawyers is not a multi-disciplinary partnership. (3) A complying community legal centre is not a multi-disciplinary partnership. (4) Nothing in this Part affects or applies to the provision by a multi-disciplinary partnership of legal services in one or more other jurisdictions. 210

Legal Profession Act 2007 Act No. of Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships s. 145 145. Conduct of multi-disciplinary partnerships (1) An Australian legal practitioner may be in partnership with a person who is not an Australian legal practitioner, where the business of the partnership includes the provision of legal services. (2) Subsection (1) does not prevent an Australian legal practitioner from being in partnership with a person who is not an Australian legal practitioner, where the business of the partnership does not include the provision of legal services. (3) The regulations may prohibit an Australian legal practitioner from being in partnership with a person providing a service or conducting a business of a kind specified by the regulations, where the business of the partnership includes the provision of legal services. 146. Notice of intention to start practice in multi- disciplinary partnership A legal practitioner partner must, before starting to provide legal services in this jurisdiction as a member of a multi-disciplinary partnership, give the prescribed authority written notice, in the approved form, of his or her intention to do so. Penalty: Fine not exceeding 50 penalty units. 211

Legal Profession Act 2007 Act No. of s. 147 Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships 147. General obligations of legal practitioner partners (1) Each legal practitioner partner of a multi- disciplinary partnership is, for the purposes only of this Act, responsible for the management of the legal services provided in this jurisdiction by the partnership. (2) Each legal practitioner partner must ensure that appropriate management systems are implemented and maintained to enable the provision of legal services by the multi- disciplinary partnership (a) in accordance with the professional obligations of Australian legal practitioners and the other obligations imposed by this Act, the regulations or the legal profession rules; and (b) so that the professional obligations of legal practitioner partners and employees who are Australian legal practitioners are not affected by other partners and employees of the partnership. 148. Obligations of legal practitioner partner relating to misconduct (1) Each of the following is capable of constituting unsatisfactory professional conduct or professional misconduct by a legal practitioner partner: 212

Legal Profession Act 2007 Act No. of Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships s. 149 (a) unsatisfactory professional conduct or professional misconduct of an Australian legal practitioner employed by the multi- disciplinary partnership; (b) conduct of any other partner (not being an Australian legal practitioner) of the multi-disciplinary partnership that adversely affects the provision of legal services by the partnership; (c) the unsuitability of any other partner (not being an Australian legal practitioner) of the multi-disciplinary partnership to be a member of a partnership that provides legal services. (2) A legal practitioner partner of a multi- disciplinary partnership must ensure that all reasonable action available to the legal practitioner partner is taken to deal with any unsatisfactory professional conduct or professional misconduct of an Australian legal practitioner employed by the partnership. 149. Actions of partner who is not an Australian legal practitioner A partner of a multi-disciplinary partnership who is not an Australian legal practitioner does not contravene a provision of this Act, the regulations or the legal profession rules merely because of any of the following: 213

Legal Profession Act 2007 Act No. of s. 150 Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships (a) the partner is a member of a partnership where the business of the partnership includes the provision of legal services; (b) the partner receives any fee, gain or reward for business of the partnership that is the business of an Australian legal practitioner; (c) the partner holds out, advertises or represents himself or herself as a member of a partnership where the business of the partnership includes the provision of legal services; (d) the partner shares with any other partner the receipts of business of the partnership that is the business of an Australian legal practitioner unless the provision expressly applies to a partner of a multi-disciplinary partnership who is not an Australian legal practitioner. 150. Obligations and privileges of practitioners who are partners or employees (1) An Australian legal practitioner who provides legal services in the capacity of a partner or an employee of a multi-disciplinary partnership (a) is not excused from compliance with professional obligations as an Australian legal practitioner, or any other 214

Legal Profession Act 2007 Act No. of Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships s. 151 obligations as an Australian legal practitioner under any law; and (b) does not lose the professional privileges of an Australian legal practitioner. (2) The law relating to client legal privilege (or other legal professional privilege) is not excluded or otherwise affected because an Australian legal practitioner is acting in the capacity of a partner or an employee of a multi- disciplinary partnership. 151. Conflicts of interest (1) For the purposes of the application of any law (including the common law) or legal profession rules relating to conflicts of interest to the conduct of an Australian legal practitioner who is (a) a legal practitioner partner of a multi- disciplinary partnership; or (b) an employee of a multi-disciplinary partnership the interests of the partnership or any partner of the multi-disciplinary partnership are also taken to be those of the practitioner concerned (in addition to any interests that the practitioner has apart from this subsection). (2) Legal profession rules may be made for or with respect to additional duties and obligations in connection with conflicts of interest arising out 215

Legal Profession Act 2007 Act No. of s. 152 Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships of the conduct of a multi-disciplinary partnership. 152. Disclosure obligations (1) This section applies if a person engages a multi- disciplinary partnership to provide services that the person might reasonably assume to be legal services. (2) Each legal practitioner partner of the multi- disciplinary partnership, and any employee of the partnership who is an Australian legal practitioner and who provides the services on behalf of the partnership, must ensure that a disclosure, complying with the requirements of this section and the regulations made for the purposes of this section, is made to the person in connection with the provision of the services. Penalty: Fine not exceeding 50 penalty units. (3) The disclosure must be made by giving the person a notice in writing (a) setting out the services to be provided; and (b) stating whether or not all the legal services to be provided will be provided by an Australian legal practitioner; and (c) if some or all of the legal services to be provided will not be provided by an Australian legal practitioner, identifying those services and indicating the status or 216

Legal Profession Act 2007 Act No. of Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships s. 152 qualifications of the person or persons who will provide the services; and Note. For example, the person might be a licensed conveyancer. However, this paragraph would not apply in a case where a law applying in the jurisdiction prohibits a particular legal service from being provided by a person who is not an Australian legal practitioner. (d) stating that this Act applies to the provision of legal services but not to the provision of the non-legal services. (4) The regulations may make provision for or with respect to the following matters: (a) the manner in which disclosure is to be made; (b) additional matters required to be disclosed in connection with the provision of legal services or non-legal services by a multi-disciplinary partnership. (5) Without limiting subsection (4), the additional matters may include the kind of services provided by the multi-disciplinary partnership and whether those services are or are not covered by the insurance or other provisions of this Act. (6) A disclosure under this section to a person about the provision of legal services may relate to the provision of legal services on one occasion or on more than one occasion or on an on-going basis. 217

Legal Profession Act 2007 Act No. of s. 153 Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships 153. Effect of non-disclosure of provision of certain services (1) This section applies if (a) section 152 applies in relation to a service that is provided to a person who has engaged a multi-disciplinary partnership to provide the service and that the person might reasonably assume to be a legal service; and (b) a disclosure has not been made under that section in relation to the service. (2) The standard of care owed by the multi- disciplinary partnership in respect of the service is the standard that would be applicable if the service had been provided by an Australian legal practitioner. 154. Application of legal profession rules Legal profession rules, so far as they apply to Australian legal practitioners, also apply to Australian legal practitioners who are legal practitioner partners or employees of a multi- disciplinary partnership, unless the rules otherwise provide. 155. Requirements relating to advertising (1) Any restriction imposed by or under this or any other Act, the regulations or the legal profession 218

Legal Profession Act 2007 Act No. of Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships s. 156 rules in connection with advertising by Australian legal practitioners applies to advertising by a multi-disciplinary partnership with respect to the provision of legal services. (2) If a restriction referred to in subsection (1) is limited to a particular branch of the legal profession or to persons who practise in a particular style of legal practice, the restriction applies only to the extent that the multi- disciplinary partnership carries on the business of the relevant class of Australian legal practitioners. (3) An advertisement of the kind referred to in this section is, for the purposes of disciplinary proceedings taken against an Australian legal practitioner, taken to have been authorised by each legal practitioner partner of the multi- disciplinary partnership. (4) This section does not apply if the provision by which the restriction is imposed expressly excludes its application to multi-disciplinary partnerships. 156. Sharing of receipts, revenue or other income (1) Nothing in this Act, the regulations or the legal profession rules prevents a legal practitioner partner, or an Australian legal practitioner who is an employee of a multi-disciplinary partnership, from sharing receipts, revenue or other income arising from the provision of legal services by the partner or practitioner with a partner or 219

Legal Profession Act 2007 Act No. of s. 157 Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships partners who are not Australian legal practitioners. (2) This section does not extend to the sharing of receipts, revenue or other income in contravention of section 157, and has effect subject to section 89 (Holders of local practising certificates as barristers). 157. Disqualified persons A legal practitioner partner of a multi- disciplinary partnership must not knowingly (a) be a partner of a disqualified person in the multi-disciplinary partnership; or (b) share with a disqualified person the receipts, revenue or other income arising from the provision of legal services by the multi-disciplinary partnership; or (c) employ or pay a disqualified person in connection with the provision of legal services by the multi-disciplinary partnership. Penalty: Fine not exceeding 100 penalty units. 158. Prohibition on partnerships with certain partners who are not Australian legal practitioners (1) This section applies to a person who 220

Legal Profession Act 2007 Act No. of Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships s. 158 (a) is not an Australian legal practitioner; and (b) is or was a partner of an Australian legal practitioner. (2) On application by the prescribed authority, the Supreme Court may make an order prohibiting any Australian legal practitioner from being a partner, in a business that includes the provision of legal services, of a specified person to whom this section applies if (a) the Court is satisfied that the person is not a fit and proper person to be a partner; or (b) the Court is satisfied that the person has been guilty of conduct that, if the person were an Australian legal practitioner, would have constituted unsatisfactory professional conduct or professional misconduct; or (c) in the case of a corporation, if the Court is satisfied that the corporation has been disqualified from providing legal services in this jurisdiction or there are grounds for disqualifying the corporation from providing legal services in this jurisdiction. (3) An order made under this section may be revoked by the Supreme Court on application by the prescribed authority or by the person against whom the order was made. 221

Legal Profession Act 2007 Act No. of s. 159 Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships (4) The death of an Australian legal practitioner does not prevent an application being made for, or the making of, an order under this section in relation to a person who was a partner of the practitioner. (5) The regulations may make provision for or with respect to the publication and notification of orders made under this section. 159. Undue influence A person (whether or not a partner, or an employee, of a multi-disciplinary partnership) must not cause or induce or attempt to cause or induce (a) a legal practitioner partner; or (b) an employee of a multi-disciplinary partnership who provides legal services and who is an Australian legal practitioner to contravene this Act, the regulations, the legal profession rules or his or her professional obligations as an Australian legal practitioner. Penalty: Fine not exceeding 100 penalty units. 222

Legal Profession Act 2007 Act No. of Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships s. 160 Division 4 Miscellaneous 160. Obligations of individual practitioners not affected Except as provided by this Part, nothing in this Part affects any obligation imposed on (a) a legal practitioner director or an Australian legal practitioner who is an employee of an incorporated legal practice; or (b) a legal practitioner partner or an Australian legal practitioner who is an employee of a multi-disciplinary partnership; or (c) an Australian legal practitioner who is an officer or employee of, or whose services are used by, a complying community legal centre under this or any other Act, the regulations or the legal profession rules in his or her capacity as an Australian legal practitioner. 161. Regulations (1) The regulations may make provision for or with respect to the following matters: (a) the legal services provided by incorporated legal practices or legal practitioner partners or employees of multi-disciplinary partnerships; 223

Legal Profession Act 2007 Act No. of s. 161 Part 2.5 Incorporated Legal Practices and Multi-disciplinary Partnerships (b) other services provided by incorporated legal practices or legal practitioner partners or employees of multi- disciplinary partnerships in circumstances where a conflict of interest relating to the provision of legal services may arise. (2) A regulation prevails over any inconsistent provision of the legal profession rules. (3) A regulation may provide that a breach of the regulations is capable of constituting unsatisfactory professional conduct or professional misconduct (a) in the case of an incorporated legal practice, by a legal practitioner director, or by an Australian legal practitioner responsible for the breach, or both; or (b) in the case of a multi-disciplinary partnership, by a legal practitioner partner, or by an Australian legal practitioner responsible for the breach, or both. 224

Legal Profession Act 2007 Act No. of Part 2.6 Legal Practice by Foreign Lawyers s. 162 PART 2.6 LEGAL PRACTICE BY FOREIGN LAWYERS Division 1 Preliminary 162. Purpose The purpose of this Part is to encourage and facilitate the internationalisation of legal services and the legal services sector by providing a framework for the regulation of the practice of foreign law in this jurisdiction by foreign lawyers as a recognised aspect of legal practice in this jurisdiction. 163. Definitions In this Part "Australia" includes the external Territories; "Australian law" means law of the Commonwealth or of a jurisdiction; "domestic registration authority" means the prescribed authority; "foreign law" means law of a foreign country; "foreign law practice" means a partnership or corporate entity that is entitled to engage in legal practice in a foreign country; 225

Legal Profession Act 2007 Act No. of s. 163 Part 2.6 Legal Practice by Foreign Lawyers "foreign registration authority" means an entity in a foreign country having the function, conferred by the law of the foreign country, of registering persons to engage in legal practice in the foreign country; "local registration certificate" means a registration certificate given under this Part; "overseas-registered foreign lawyer" means a natural person who is properly registered to engage in legal practice in a foreign country by the foreign registration authority for the country; "practise foreign law" means doing work, or transacting business, in this jurisdiction concerning foreign law, being work or business of a kind that, if it concerned the law of this jurisdiction, would ordinarily be done or transacted by an Australian legal practitioner; "registered", when used in connection with a foreign country, means having all necessary licences, approvals, admissions, certificates or other forms of authorisation (including practising certificates) required by or under legislation for engaging in legal practice in that country; 226

Legal Profession Act 2007 Act No. of Part 2.6 Legal Practice by Foreign Lawyers s. 164 Note. The terms Australian-registered foreign lawyer, foreign country, interstate-registered foreign lawyer and locally registered foreign lawyer are defined in section 4 (Interpretation). 164. This Part does not apply to Australian legal practitioners (1) This Part does not apply to an Australian legal practitioner (including an Australian legal practitioner who is also an overseas-registered foreign lawyer). (2) Accordingly, nothing in this Part requires or enables an Australian legal practitioner (including an Australian legal practitioner who is also an overseas-registered foreign lawyer) to be registered as a foreign lawyer under this Act in order to practise foreign law in this jurisdiction. Division 2 Practice of foreign law 165. Requirement for registration (1) A person must not practise foreign law in this jurisdiction unless the person is (a) an Australian-registered foreign lawyer; or (b) an Australian legal practitioner. Penalty: Fine not exceeding 200 penalty units. 227

Legal Profession Act 2007 Act No. of s. 166 Part 2.6 Legal Practice by Foreign Lawyers (2) However, a person does not contravene subsection (1) if the person is an overseas- registered foreign lawyer (a) who (i) practises foreign law in this jurisdiction for one or more periods that do not in aggregate exceed 90 days in any period of 12 months; or (ii) is subject to a restriction imposed under the Migration Act 1958 of the Commonwealth that has the effect of limiting the period during which work may be done, or business transacted, in Australia by the person; and (b) who (i) does not maintain an office for the purpose of practising foreign law in this jurisdiction; or (ii) does not become a partner or director of a law practice. 166. Entitlement of Australian-registered foreign lawyer to practise in this jurisdiction An Australian-registered foreign lawyer is, subject to this Act, entitled to practise foreign law in this jurisdiction. 228

Legal Profession Act 2007 Act No. of Part 2.6 Legal Practice by Foreign Lawyers s. 167 167. Scope of practice (1) An Australian-registered foreign lawyer may provide only the following legal services in this jurisdiction: (a) doing work, or transacting business, concerning the law of a foreign country where the lawyer is registered by the foreign registration authority for the country; (b) legal services (including appearances) in relation to arbitration proceedings of a kind prescribed under the regulations; (c) legal services (including appearances) in relation to proceedings before bodies other than courts, being proceedings in which the body concerned is not required to apply the rules of evidence and in which knowledge of the foreign law of a country referred to in paragraph (a) is essential; (d) legal services for conciliation, mediation and other forms of consensual dispute resolution of a kind prescribed under the regulations. (2) Nothing in this Act authorises an Australian- registered foreign lawyer to appear in any court (except on the lawyer's own behalf) or to practise Australian law in this jurisdiction. 229

Legal Profession Act 2007 Act No. of s. 168 Part 2.6 Legal Practice by Foreign Lawyers (3) Despite subsection (2), an Australian-registered foreign lawyer may advise on the effect of an Australian law if (a) the giving of advice on Australian law is necessarily incidental to the practice of foreign law; and (b) the advice is expressly based on advice given on the Australian law by an Australian legal practitioner who is not an employee of the foreign lawyer. 168. Form of practice (1) An Australian-registered foreign lawyer may (subject to any conditions attaching to the foreign lawyer's registration) practise foreign law (a) on the foreign lawyer's own account; or (b) in partnership with one or more Australian-registered foreign lawyers or one or more Australian legal practitioners, or both, in circumstances where, if the Australian-registered foreign lawyer were an Australian legal practitioner, the partnership would be permitted under a law of this jurisdiction; or (c) as a director or employee of an incorporated legal practice or a partner or employee of a multi-disciplinary 230

Legal Profession Act 2007 Act No. of Part 2.6 Legal Practice by Foreign Lawyers s. 169 partnership that is permitted by a law of this jurisdiction; or (d) as an employee of an Australian legal practitioner or law firm in circumstances where, if the Australian-registered foreign lawyer were an Australian legal practitioner, the employment would be permitted under a law of this jurisdiction; or (e) as an employee of an Australian- registered foreign lawyer. (2) An affiliation referred to in subsection (1)(b), (c), (d) or (e) does not entitle the Australian- registered foreign lawyer to practise Australian law in this jurisdiction. 169. Application of Australian professional ethical and practice standards (1) An Australian-registered foreign lawyer must not engage in any conduct in practising foreign law that would, if the conduct were engaged in by an Australian legal practitioner in practising Australian law in this jurisdiction, be capable of constituting professional misconduct or unsatisfactory professional conduct. (2) Chapter 4 (Complaints and discipline) applies to a person who (a) is an Australian-registered foreign lawyer; or 231

Legal Profession Act 2007 Act No. of s. 169 Part 2.6 Legal Practice by Foreign Lawyers (b) was an Australian-registered foreign lawyer when the relevant conduct allegedly occurred, but is no longer an Australian-registered foreign lawyer (in which case Chapter 4 applies as if the person were an Australian-registered foreign lawyer) and so applies as if references in Chapter 4 to an Australian legal practitioner were references to a person of that kind. (3) The regulations may make provision with respect to the application (with or without modification) of the provisions of Chapter 4 for the purposes of this section. (4) Without limiting the matters that may be taken into account in determining whether a person should be disciplined for a contravention of subsection (1), the following matters may be taken into account: (a) whether the conduct of the person was consistent with the standard of professional conduct of the legal profession in any foreign country where the person is registered; (b) whether the person contravened the subsection wilfully or without reasonable excuse. (5) Without limiting any other provision of this section or the orders that may be made under Chapter 4 as applied by this section, the 232

Legal Profession Act 2007 Act No. of Part 2.6 Legal Practice by Foreign Lawyers s. 170 following orders may be made under that Chapter as applied by this section: (a) an order that a person's registration under this Act as a foreign lawyer be cancelled; (b) an order that a person's registration under a corresponding law as a foreign lawyer be cancelled. 170. Designation (1) An Australian-registered foreign lawyer may use only the following designations: (a) the lawyer's own name; (b) a title or business name the lawyer is authorised by law to use in a foreign country where the lawyer is registered by a foreign registration authority; (c) subject to this section, the name of a foreign law practice with which the lawyer is affiliated or associated (whether as a partner, director, employee or otherwise); (d) if the lawyer is a principal of any law practice in Australia whose principals include both one or more Australian- registered foreign lawyers and one or more Australian legal practitioners, a description of the practice that includes reference to both Australian legal 233

Legal Profession Act 2007 Act No. of s. 170 Part 2.6 Legal Practice by Foreign Lawyers practitioners and Australian-registered foreign lawyers (for example, "Solicitors and locally registered foreign lawyers" or "Australian solicitors and US attorneys"). (2) An Australian-registered foreign lawyer who is a principal of a foreign law practice may use the practice's name in or in connection with practising foreign law in this jurisdiction only if (a) the lawyer indicates, on the lawyer's letterhead or any other document used in this jurisdiction to identify the lawyer as an overseas-registered foreign lawyer, that the foreign law practice practises only foreign law in this jurisdiction; and (b) the lawyer has provided the domestic registration authority with acceptable evidence that the lawyer is a principal of the foreign law practice. (3) An Australian-registered foreign lawyer who is a principal of a foreign law practice may use the name of the practice as referred to in this section whether or not other principals of the practice are Australian-registered foreign lawyers. (4) This section does not authorise the use of a name or other designation that contravenes any requirements of the law of this jurisdiction concerning the use of business names or that is likely to lead to any confusion with the name of any established domestic law practice or foreign law practice in this jurisdiction. 234

Legal Profession Act 2007 Act No. of Part 2.6 Legal Practice by Foreign Lawyers s. 171 171. Letterhead and other identifying documents (1) An Australian-registered foreign lawyer must indicate, in each public document distributed by the lawyer in connection with the lawyer's practice of foreign law, the fact that the lawyer is an Australian-registered foreign lawyer and is restricted to the practice of foreign law. (2) Subsection (1) is satisfied if the lawyer includes in the public document the words (a) "registered foreign lawyer" or "registered foreign practitioner"; and (b) "entitled to practise foreign law only". (3) An Australian-registered foreign lawyer may (but need not) include any or all of the following in any public document: (a) an indication of all foreign countries in which the lawyer is registered to engage in legal practice; (b) a description of himself or herself, and any law practice with which the lawyer is affiliated or associated, in any of the ways designated in section 170. (4) In this section "public document" includes any business letter, statement of account, invoice, business card, and promotional and advertising material. 235

Legal Profession Act 2007 Act No. of s. 172 Part 2.6 Legal Practice by Foreign Lawyers 172. Advertising (1) An Australian-registered foreign lawyer is required to comply with any advertising restrictions imposed by the domestic registration authority or by law on legal practice engaged in by an Australian legal practitioner that are relevant to the practice of law in this jurisdiction. (2) Without limiting subsection (1), an Australian- registered foreign lawyer must not advertise (or use any description on the lawyer's letterhead or any other document used in this jurisdiction to identify the lawyer as a lawyer) in any way that (a) might reasonably be regarded as (i) false, misleading or deceptive; or (ii) suggesting that the Australian- registered foreign lawyer is an Australian legal practitioner; or (b) contravenes any requirements of the regulations. 173. Foreign lawyer employing Australian legal practitioner (1) An Australian-registered foreign lawyer may employ one or more Australian legal practitioners. (2) Employment of an Australian legal practitioner does not entitle an Australian-registered foreign 236

Legal Profession Act 2007 Act No. of Part 2.6 Legal Practice by Foreign Lawyers s. 174 lawyer to practise Australian law in this jurisdiction. (3) An Australian legal practitioner employed by an Australian-registered foreign lawyer may practise foreign law. (4) An Australian legal practitioner employed by an Australian-registered foreign lawyer must not (a) provide advice on Australian law to, or for use by, the Australian-registered foreign lawyer; or (b) otherwise practise Australian law in this jurisdiction in the course of that employment. (5) Subsection (4) does not apply to an Australian legal practitioner employed by a law firm a partner of which is an Australian-registered foreign lawyer, if at least one other partner is an Australian legal practitioner. (6) Any period of employment of an Australian legal practitioner by an Australian-registered foreign lawyer cannot be used to satisfy a requirement imposed by a condition on a local practising certificate to complete a period of supervised legal practice. 174. Trust money and trust accounts (1) The provisions of Part 3.2 (Trust money and trust accounts), and any other provisions of this Act, the regulations or any legal profession rule 237

Legal Profession Act 2007 Act No. of s. 175 Part 2.6 Legal Practice by Foreign Lawyers relating to requirements for trust money and trust accounts, apply (subject to this section) to Australian-registered foreign lawyers in the same way as they apply to law practices and Australian legal practitioners. (2) In this section, a reference to money is not limited to a reference to money in this jurisdiction. (3) The regulations may make provision with respect to the application (with or without modification) of the provisions of this Act, the regulations or any legal profession rule relating to trust money and trust accounts for the purposes of this section. 175. Professional indemnity insurance (1) An Australian-registered foreign lawyer must, at all times while practising foreign law in this jurisdiction, comply with one of the following: (a) the foreign lawyer must have professional indemnity insurance that conforms with the requirements for professional indemnity insurance applicable to Australian legal practitioners in any jurisdiction; (b) if the foreign lawyer does not have professional indemnity insurance that complies with paragraph (a), the foreign lawyer 238

Legal Profession Act 2007 Act No. of Part 2.6 Legal Practice by Foreign Lawyers s. 175 (i) must have professional indemnity insurance that covers the practice of foreign law in this jurisdiction and that complies with the relevant requirements of a foreign law or foreign registration authority; and (ii) if the insurance is for less than $1.5 million (inclusive of defence costs), must provide a disclosure statement to each client disclosing the level of cover; (c) if the foreign lawyer does not have professional indemnity insurance that complies with paragraph (a) or (b), the foreign lawyer must provide a disclosure statement to each client stating that the lawyer does not have complying professional indemnity insurance. (2) A disclosure statement must be made in writing before, or as soon as practicable after, the foreign lawyer is retained in the matter. (3) A disclosure statement provided to a person before the foreign lawyer is retained in a matter is taken to be provided to the person as a client for the purposes of this section. (4) A disclosure statement is not valid unless it is given in accordance with, and otherwise complies with, any applicable requirements of the regulations. 239

Legal Profession Act 2007 Act No. of s. 176 Part 2.6 Legal Practice by Foreign Lawyers 176. Guarantee Fund The regulations may provide that provisions of Part 3.5 (Solicitors' Guarantee Fund) apply to prescribed classes of Australian-registered foreign lawyers and so apply with any modifications specified in the regulations. Division 3 Local registration of foreign lawyers generally 177. Local registration of foreign lawyers Overseas-registered foreign lawyers may be registered as foreign lawyers under this Act. 178. Duration of registration (1) Registration as a foreign lawyer granted under this Act is in force from the day specified in the local registration certificate until the end of the financial year in which it is granted, unless the registration is sooner suspended or cancelled. (2) Registration as a foreign lawyer renewed under this Act is in force until the end of the financial year following its previous period of currency, unless the registration is sooner suspended or cancelled. (3) If an application for the renewal of registration as a foreign lawyer has not been determined by the following 1 July, the registration 240

Legal Profession Act 2007 Act No. of Part 2.6 Legal Practice by Foreign Lawyers s. 179 (a) continues in force on and from that 1 July until the domestic registration authority renews or refuses to renew the registration or the holder withdraws the application for renewal, unless the registration is sooner suspended or cancelled; and (b) if renewed, is taken to have been renewed on and from that 1 July. 179. Locally registered foreign lawyer is not officer of Supreme Court A locally registered foreign lawyer is not an officer of the Supreme Court. Division 4 Applications for grant or renewal of local registration 180. Application for grant or renewal of registration An overseas-registered foreign lawyer may apply to the domestic registration authority for the grant or renewal of registration as a foreign lawyer under this Act. 181. Manner of application (1) An application for the grant or renewal of registration as a foreign lawyer must be (a) made in the approved form; and 241

Legal Profession Act 2007 Act No. of s. 181 Part 2.6 Legal Practice by Foreign Lawyers (b) accompanied by the prescribed fees. (2) Different fees may be set according to different factors determined by the domestic registration authority. (3) The fees are not to be greater than the maximum fees for a local practising certificate. (4) The domestic registration authority may also require the applicant to pay any reasonable costs and expenses incurred by the domestic registration authority in considering the application, including (for example) costs and expenses of making inquiries and obtaining information or documents about whether the applicant meets the criteria for registration. (5) The fees and costs must not include any component for compulsory membership of any professional association. (6) The approved form may require the applicant to disclose (a) matters that may affect the domestic registration authority's consideration of the application for the grant or renewal of registration; and (b) particulars of any offences for which the applicant has been convicted in Australia or a foreign country, whether before or after the commencement of this section. 242

Legal Profession Act 2007 Act No. of Part 2.6 Legal Practice by Foreign Lawyers s. 182 (7) The approved form may indicate that convictions of a particular kind need not be disclosed for the purposes of the current application. (8) The approved form may indicate that specified kinds of matters or particulars previously disclosed in a particular manner need not be disclosed for the purposes of the current application. 182. Requirements regarding applications for grant or renewal of registration (1) An application for the grant of registration must state the applicant's educational and professional qualifications. (2) An application for the grant or renewal of registration must (a) state that the applicant is registered to engage in legal practice by one or more specified foreign registration authorities in one or more foreign countries; and (b) state that the applicant is not an Australian legal practitioner; and (c) state that the applicant is not the subject of disciplinary proceedings in Australia or a foreign country (including any preliminary investigations or action that might lead to disciplinary proceedings) in his or her capacity as 243

Legal Profession Act 2007 Act No. of s. 182 Part 2.6 Legal Practice by Foreign Lawyers (i) an overseas-registered foreign lawyer; or (ii) an Australian-registered foreign lawyer; or (iii) an Australian lawyer; and (d) state whether the applicant has been convicted of an offence in Australia or a foreign country, and if so (i) the nature of the offence; and (ii) how long ago the offence was committed; and (iii) the applicant's age when the offence was committed; and (e) state that the applicant's registration is not cancelled or currently suspended in any place as a result of any disciplinary action in Australia or a foreign country; and (f) state (i) that the applicant is not otherwise personally prohibited from engaging in legal practice in any place or bound by any undertaking not to engage in legal practice in any place; and (ii) whether or not the applicant is subject to any special conditions 244

Legal Profession Act 2007 Act No. of Part 2.6 Legal Practice by Foreign Lawyers s. 182 in engaging in legal practice in any place as a result of criminal, civil or disciplinary proceedings in Australia or a foreign country; and (g) specify any special conditions imposed in Australia or a foreign country as a restriction on legal practice engaged in by the applicant or any undertaking given by the applicant restricting the applicant's practice of law; and (h) give consent to the making of inquiries of, and the exchange of information with, any foreign registration authorities the domestic registration authority considers appropriate regarding the applicant's activities in engaging in legal practice in the places concerned or otherwise regarding matters relevant to the application; and (i) specify which of the paragraphs of section 175(1) (Professional indemnity insurance) the applicant proposes to rely on and be accompanied by supporting proof of the relevant matters; and (j) provide the information or be accompanied by the other information or documents (or both) that is specified in the application form or in material accompanying the application form as 245

Legal Profession Act 2007 Act No. of s. 182 Part 2.6 Legal Practice by Foreign Lawyers provided by the domestic registration authority. (3) The application must (if the domestic registration authority so requires) be accompanied by an original instrument, or a copy of an original instrument, from each foreign registration authority specified in the application that (a) verifies the applicant's educational and professional qualifications; and (b) verifies the applicant's registration by the authority to engage in legal practice in the foreign country concerned, and the date of registration; and (c) describes anything done by the applicant in engaging in legal practice in that foreign country of which the authority is aware and that, in the opinion of the authority, has had or is likely to have had an adverse effect on the applicant's professional standing within the legal profession of that place. (4) The applicant must (if the domestic registration authority so requires) certify in the application that the accompanying instrument is the original or a complete and accurate copy of the original. (5) The domestic registration authority may require the applicant to verify the statements in the application by statutory declaration or by other proof acceptable to the authority. 246

Legal Profession Act 2007 Act No. of Part 2.6 Legal Practice by Foreign Lawyers s. 183 (6) If the accompanying instrument is not in English, it must be accompanied by a translation in English that is authenticated or certified to the satisfaction of the domestic registration authority. Division 5 Grant or renewal of registration 183. Grant or renewal of registration (1) The domestic registration authority must consider an application that has been made for the grant or renewal of registration as a foreign lawyer and may (a) grant or refuse to grant the registration; or (b) renew or refuse to renew the registration. (2) The domestic registration authority may, when granting or renewing registration, impose conditions as referred to in section 203 (Conditions imposed by domestic registration authority). (3) If the domestic registration authority grants or renews registration, the authority must, as soon as practicable, give the applicant a registration certificate or a notice of renewal. (4) If the domestic registration authority (a) refuses to grant or renew registration; or 247

Legal Profession Act 2007 Act No. of s. 184 Part 2.6 Legal Practice by Foreign Lawyers (b) imposes a condition on the registration and the applicant does not agree to the condition the authority must, as soon as practicable, give the applicant an information notice. (5) A notice of renewal may be in the form of a new registration certificate or any other form the domestic registration authority considers appropriate. (6) The domestic registration authority must advise the Board of the decision to (a) grant or refuse to grant the registration; or (b) renew or refuse to renew the registration; or (c) impose any conditions on the grant or renewal of registration and any reasons for the decision. 184. Requirement to grant or renew registration if criteria satisfied (1) The domestic registration authority must grant an application for registration as a foreign lawyer if the authority (a) is satisfied the applicant is registered to engage in legal practice in one or more 248

Legal Profession Act 2007 Act No. of Part 2.6 Legal Practice by Foreign Lawyers s. 184 foreign countries and is not an Australian legal practitioner; and (b) considers an effective system exists for regulating engaging in legal practice in one or more of the foreign countries; and (c) considers the applicant is not, as a result of criminal, civil or disciplinary proceedings in any of the foreign countries, subject to (i) any special conditions in engaging in legal practice in any of the foreign countries; or (ii) any undertakings concerning engaging in legal practice in any of the foreign countries that would make it inappropriate to register the person; and (d) is satisfied the applicant demonstrates an intention to commence practising foreign law in this jurisdiction within a reasonable period if registration were to be granted unless the domestic registration authority refuses the application under this Part. (2) The domestic registration authority must grant an application for renewal of a person's registration, unless the authority refuses renewal under this Part. 249

Legal Profession Act 2007 Act No. of s. 185 Part 2.6 Legal Practice by Foreign Lawyers (3) Residence or domicile in this jurisdiction is not to be a prerequisite for or a factor in entitlement to the grant or renewal of registration. 185. Refusal to grant or renew registration (1) The domestic registration authority may refuse to consider an application if it is not made in accordance with this Act or the regulations. (2) The domestic registration authority may refuse to grant or renew registration if (a) the application is not accompanied by, or does not contain, the information required by this Part or prescribed by the regulations; or (b) the applicant has contravened this Act or a corresponding law; or (c) the applicant has contravened an order of the Board, Tribunal or a corresponding disciplinary body, including but not limited to an order to pay any fine or costs; or (d) the applicant has contravened an order of a regulatory authority of any jurisdiction to pay any fine or costs; or (e) the applicant has failed to comply with a requirement under this Act to pay a contribution to, or levy for, the Guarantee Fund; or 250

Legal Profession Act 2007 Act No. of Part 2.6 Legal Practice by Foreign Lawyers s. 185 (f) the applicant has contravened a requirement of or made under this Act about professional indemnity insurance; or (g) the applicant has failed to pay any expenses of receivership payable under this Act; or (h) the applicant's foreign legal practice is in receivership (however described). (3) The domestic registration authority may refuse to grant or renew registration if an authority of another jurisdiction has under a corresponding law (a) refused to grant or renew registration for the applicant; or (b) suspended or cancelled the applicant's registration. (4) The domestic registration authority may refuse to grant registration if the authority is satisfied that the applicant is not a fit and proper person to be registered after considering (a) the nature of any offence for which the applicant has been convicted in Australia or a foreign country, whether before or after the commencement of this section; and (b) how long ago the offence was committed; and 251

Legal Profession Act 2007 Act No. of s. 185 Part 2.6 Legal Practice by Foreign Lawyers (c) the person's age when the offence was committed. (5) The domestic registration authority may refuse to renew registration if the authority is satisfied that the applicant is not a fit and proper person to continue to be registered after considering (a) the nature of any offence for which the applicant has been convicted in Australia or a foreign country, whether before or after the commencement of this section, other than an offence disclosed in a previous application to the domestic registration authority; and (b) how long ago the offence was committed; and (c) the person's age when the offence was committed. (6) The domestic registration authority may refuse to grant or renew registration on any ground on which registration could be suspended or cancelled. (7) If the domestic registration authority refuses to grant or renew registration, the authority must, as soon as practicable, give the applicant an information notice. (8) Nothing in this section affects the operation of Division 7 (Special powers in relation to local registration show cause events). 252

Legal Profession Act 2007 Act No. of Part 2.6 Legal Practice by Foreign Lawyers s. 186 (9) The domestic registration authority must advise the Board of any refusal to grant or renew registration under this section and the reasons for the refusal. Division 6 Amendment, suspension or cancellation of local registration 186. Application of this Division This Division does not apply in relation to matters referred to in Division 7 (Special powers in relation to local registration show cause events). 187. Grounds for amending, suspending or cancelling registration (1) Each of the following is a ground for amending, suspending or cancelling a person's registration as a foreign lawyer: (a) the registration was obtained because of incorrect or misleading information; (b) the person fails to comply with a requirement of this Part; (c) the person fails to comply with a condition imposed on the person's registration; (d) the person becomes the subject of disciplinary proceedings in Australia or a 253

Legal Profession Act 2007 Act No. of s. 187 Part 2.6 Legal Practice by Foreign Lawyers foreign country (including any preliminary investigations or action that might lead to disciplinary proceedings) in his or her capacity as (i) an overseas-registered foreign lawyer; or (ii) an Australian-registered foreign lawyer; or (iii) an Australian lawyer; (e) the person has been convicted of an offence in Australia or a foreign country; (f) the person's registration is cancelled or currently suspended in any place as a result of any disciplinary action in Australia or a foreign country; (g) the person does not meet the requirements of section 175 (Professional indemnity insurance); (h) another ground the domestic registration authority considers sufficient. (2) Subsection (1) does not limit the grounds on which conditions may be imposed on registration as a foreign lawyer under section 203 (Conditions imposed by domestic registration authority). 254

Legal Profession Act 2007 Act No. of Part 2.6 Legal Practice by Foreign Lawyers s. 188 188. Amending, suspending or cancelling registration (1) If the domestic registration authority considers reasonable grounds exist to amend, suspend or cancel a person's registration by it as a foreign lawyer (the "action"), the authority must give the person a notice that (a) states the action proposed and (i) if the proposed action is to amend the registration in any way, states the proposed amendment; and (ii) if the proposed action is to suspend the registration, states the proposed suspension period; and (b) states the grounds for proposing to take the action; and (c) outlines the facts and circumstances that form the basis for the authority's belief; and (d) invites the person to make written representations to the authority, within a specified time of not less than 7 days and not more than 28 days, as to why the action proposed should not be taken. (2) If, after considering all written representations made within the specified time, the domestic registration authority still believes grounds exist to take the action, the authority may 255

Legal Profession Act 2007 Act No. of s. 188 Part 2.6 Legal Practice by Foreign Lawyers (a) if the notice under subsection (1) stated the action proposed was to amend the registration, amend the registration in the way specified or in another way the authority considers appropriate in the light of the representations; or (b) if the notice stated the action proposed was to suspend the registration for a specified period, suspend the registration for a period no longer than the specified period; or (c) if the notice stated the action proposed was to cancel the registration (i) cancel the registration; or (ii) suspend the registration for a period; or (iii) amend the registration in a less onerous way the authority considers appropriate because of the representations. (3) The domestic registration authority may, at its discretion, consider representations made after the specified time. (4) The domestic registration authority must give the person notice of the authority's decision. (5) If the domestic registration authority amends, suspends or cancels the registration, the authority must give the person an information notice about the decision. 256

Legal Profession Act 2007 Act No. of Part 2.6 Legal Practice by Foreign Lawyers s. 189 (6) In this section "amend" registration means amend the registration under section 203 (Conditions imposed by domestic registration authority) during its currency, otherwise than at the request of the foreign lawyer concerned. (7) The domestic registration authority must advise the Board of (a) the amendment, suspension or cancellation of a person's registration as a foreign lawyer; and (b) any reasons for that amendment, suspension or cancellation. 189. Operation of amendment, suspension or cancellation of registration (1) This section applies if a decision is made to amend, suspend or cancel a person's registration under section 188. (2) Subject to subsections (3) and (4), the amendment, suspension or cancellation of the registration takes effect on the later of the following: (a) the day notice of the decision is given to the person; (b) the day specified in the notice. 257

Legal Profession Act 2007 Act No. of s. 189 Part 2.6 Legal Practice by Foreign Lawyers (3) If the registration is amended, suspended or cancelled because the person has been convicted of an offence (a) the Supreme Court may, on the application of the person, order that the operation of the amendment, suspension or cancellation of the registration be stayed until (i) the end of the time to appeal against the conviction; and (ii) if an appeal is made against the conviction, the appeal is finally decided, lapses or otherwise ends; and (b) the amendment, suspension or cancellation does not have effect during any period in respect of which the stay is in force. (4) If the registration is amended, suspended or cancelled because the person has been convicted of an offence and the conviction is quashed (a) the amendment or suspension ceases to have effect when the conviction is quashed; or (b) the cancellation ceases to have effect when the conviction is quashed, and the registration is restored as if it had merely been suspended. 258

Legal Profession Act 2007 Act No. of Part 2.6 Legal Practice by Foreign Lawyers s. 190 190. Other ways of amending or cancelling registration (1) This section applies if (a) a locally registered foreign lawyer requests the domestic registration authority to amend or cancel the registration and the authority proposes to give effect to the request; or (b) the domestic registration authority proposes to amend a locally registered foreign lawyer's registration only (i) for a formal or clerical reason; or (ii) in another way that does not adversely affect the lawyer's interests. (2) The domestic registration authority may amend or cancel the registration as referred to in subsection (1) by written notice given to the lawyer, and section 188 (Amending, suspending or cancelling registration) does not apply in that case. (3) The domestic registration authority must advise the Board of any amendment or cancellation under this section and the reasons for the amendment or cancellation of the registration. 191. Relationship of this Division with Chapter 4 Nothing in this Division prevents a complaint from being made under Chapter 4 (Complaints 259

Legal Profession Act 2007 Act No. of s. 192 Part 2.6 Legal Practice by Foreign Lawyers and discipline) about a matter to which this Division relates. Division 7 Special powers in relation to local registration show cause events 192. Applicant for local registration show cause event (1) This section applies if (a) a person is applying for registration as a foreign lawyer under this Act; and (b) a show cause event in relation to the person happened, whether before or after the commencement of this section, after the person first became an overseas- registered foreign lawyer. (2) As part of the application, the person must provide to the domestic registration authority a written statement, in accordance with the regulations (a) about the show cause event; and (b) explaining why, despite the show cause event, the applicant considers himself or herself to be a fit and proper person to be a locally registered foreign lawyer. (3) However, the person need not provide a statement under subsection (2) if the person has previously provided to the domestic registration authority a statement under this section, or a notice and statement under section 193 260

Legal Profession Act 2007 Act No. of Part 2.6 Legal Practice by Foreign Lawyers s. 193 explaining why, despite the show cause event, the person considers himself or herself to be a fit and proper person to be a locally registered foreign lawyer. 193. Locally registered foreign lawyer show cause event (1) This section applies to a show cause event that happens in relation to a locally registered foreign lawyer. (2) The locally registered foreign lawyer must provide to the domestic registration authority both of the following: (a) within 7 days after the happening of the event, notice, in the approved form, that the event happened; (b) within 28 days after the happening of the event, a written statement explaining why, despite the show cause event, the person considers himself or herself to be a fit and proper person to be a locally registered foreign lawyer. (3) If a written statement is provided after the period mentioned in subsection (2)(b), the domestic registration authority may accept the statement and take it into consideration. 261

Legal Profession Act 2007 Act No. of s. 194 Part 2.6 Legal Practice by Foreign Lawyers 194. Refusal, amendment, suspension or cancellation of local registration failure to show cause (1) The domestic registration authority may refuse to grant or renew, or may amend, suspend or cancel, local registration if the applicant for registration or the locally registered foreign lawyer (a) is required by section 192 or section 193 to provide a written statement relating to a matter and has failed to provide a written statement in accordance with that requirement; or (b) has provided a written statement in accordance with section 192 or section 193 but the domestic registration authority does not consider that the applicant or foreign lawyer has shown in the statement that, despite the show cause event concerned, he or she is a fit and proper person to be a locally registered foreign lawyer. (2) For the purposes of this section only, a written statement accepted by the domestic registration authority under section 193(3) is taken to have been provided in accordance with section 193. (3) The domestic registration authority must give the applicant or foreign lawyer an information notice about the decision to refuse to grant or renew, or to amend, suspend or cancel, the registration. (4) The domestic registration authority must advise the Board of any refusal, amendment, suspension 262

Legal Profession Act 2007 Act No. of Part 2.6 Legal Practice by Foreign Lawyers s. 195 or cancellation of local registration of a locally registered foreign lawyer under this section and the reasons for the refusal, amendment, suspension or cancellation. 195. Restriction on making further applications (1) If the domestic registration authority determines under this Division to cancel a person's registration, the authority may also determine that the person is not entitled to apply for registration under this Part for a specified period (being a period not exceeding 5 years). (2) A person in respect of whom a determination has been made under this section, or under a provision of a corresponding law that corresponds to this section, is not entitled to apply for registration under this Part during the period specified in the determination. (3) If the domestic registration authority makes a determination under this section, the authority must, as soon as practicable, give the applicant an information notice. (4) The domestic registration authority must advise the Board of any determination under this section and the reasons for the determination. 196. Relationship of this Division with Chapter 4 Nothing in this Division prevents a complaint from being made under Chapter 4 (Complaints 263

Legal Profession Act 2007 Act No. of s. 197 Part 2.6 Legal Practice by Foreign Lawyers and Discipline) about a matter to which this Division relates. Division 8 Further provisions relating to local registration 197. Immediate suspension of registration (1) This section applies, despite section 188 (Amending, suspending or cancelling registration) and section 189 (Operation of amendment, suspension or cancellation of registration) if the domestic registration authority considers it necessary in the public interest to immediately suspend a person's registration as a foreign lawyer. (2) The domestic registration authority may, by written notice given to the person, immediately suspend the registration until the earlier of the following: (a) the time at which the authority informs the person of the authority's decision by notice under section 188; (b) the end of the period of 56 days after the notice is given to the person under this section. (3) The notice under this section must state (a) the reasons for the suspension; and (b) that the person may make written representations to the authority about the suspension; and 264

Legal Profession Act 2007 Act No. of Part 2.6 Legal Practice by Foreign Lawyers s. 198 (c) that the person may appeal against the suspension to the Supreme Court within 28 days after the date of the notice. (4) The person may make written representations to the domestic registration authority about the suspension, and the authority must consider the representations. (5) The domestic registration authority may revoke the suspension at any time, whether or not in response to any written representations made to it by the person. (6) The domestic registration authority must advise the Board of an immediate suspension of registration under this section and the reasons for that suspension. 198. Surrender of local registration certificate and cancellation of registration (1) A person registered as a foreign lawyer under this Part may surrender the local registration certificate to the domestic registration authority. (2) The domestic registration authority may cancel the registration after the certificate has been surrendered under subsection (1). (3) The domestic registration authority must advise the Board of the surrender of a local registration certificate and cancellation of registration under this section. 265

Legal Profession Act 2007 Act No. of s. 199 Part 2.6 Legal Practice by Foreign Lawyers 199. Automatic cancellation of registration on grant of practising certificate A person's registration as a foreign lawyer under this Part is taken to be cancelled if the person becomes an Australian legal practitioner. 200. Suspension or cancellation of registration not to affect disciplinary processes The suspension or cancellation of a person's registration as a foreign lawyer under this Part does not affect any disciplinary processes in respect of matters arising before the suspension or cancellation. 201. Return of local registration certificate on amendment, suspension or cancellation of registration (1) This section applies if a person's registration under this Part as a foreign lawyer is amended, suspended or cancelled. (2) The domestic registration authority may give the person a notice requiring the person to return the local registration certificate to the authority in the way specified in the notice within a specified period of not less than 14 days. (3) The person must comply with the notice, unless the person has a reasonable excuse. Penalty: Fine not exceeding 20 penalty units. 266

Legal Profession Act 2007 Act No. of Part 2.6 Legal Practice by Foreign Lawyers s. 202 (4) If the registration is amended, the domestic registration authority must return the local registration certificate to the person as soon as practicable after amending it. Division 9 Conditions on registration 202. Conditions generally Registration as a foreign lawyer under this Part is subject to (a) any conditions imposed by the domestic registration authority; and (b) any statutory conditions imposed by this or any other Act; and (c) any conditions imposed by or under the legal profession rules or the regulations; and (d) any conditions imposed under Chapter 4 (Complaints and discipline) or under provisions of a corresponding law that correspond to Chapter 4; and (e) any conditions imposed by the Supreme Court under section 204. 203. Conditions imposed by domestic registration authority (1) The domestic registration authority may impose conditions on registration as a foreign lawyer 267

Legal Profession Act 2007 Act No. of s. 203 Part 2.6 Legal Practice by Foreign Lawyers (a) when it is granted or renewed; or (b) during its currency. (2) A condition imposed under this section must be reasonable and relevant. (3) A condition imposed under this section may be about any of the following: (a) any matter in respect of which a condition could be imposed on a local practising certificate; (b) a matter agreed to by the foreign lawyer. (4) The domestic registration authority must not impose a condition under subsection (3)(a) that is more onerous than a condition that would be imposed on a local practising certificate of a local legal practitioner in the same or similar circumstances. (5) The domestic registration authority may vary or revoke conditions imposed by it under this section. (6) The domestic registration authority must advise the Board of any imposition, variation or revocation of a condition on the local registration certificate of a foreign lawyer under this section and the reasons for the imposition, variation or revocation. 268

Legal Profession Act 2007 Act No. of Part 2.6 Legal Practice by Foreign Lawyers s. 204 204. Imposition or variation of conditions pending criminal proceedings (1) If a person registered as a foreign lawyer under this Part has been charged with a relevant offence but the charge has not been determined, the domestic registration authority may apply to the Supreme Court for an order under this section. (2) On an application under subsection (1), the Supreme Court, if it considers it appropriate to do so having regard to the seriousness of the offence and to the public interest, may make any or all of the following orders: (a) an order varying the conditions on the registration; (b) an order imposing further conditions on the registration; (c) any other order that it thinks appropriate. (3) An order under this section has effect until the sooner of (a) the end of the period specified by the Supreme Court; or (b) if the foreign lawyer is convicted of the offence, 28 days after the day of the conviction; or (c) if the charge is dismissed, the day of the dismissal. 269

Legal Profession Act 2007 Act No. of s. 205 Part 2.6 Legal Practice by Foreign Lawyers (4) The Supreme Court, on application by any party, may vary or revoke an order under this section at any time. (5) The domestic registration authority must advise the Board of any order made by the Supreme Court under this section. (6) In this section "relevant offence" means a serious offence or an offence that would have to be disclosed under the admission rules in relation to an application for admission to the legal profession under this Act. 205. Statutory condition regarding notification of offence (1) It is a statutory condition of registration as a foreign lawyer that the lawyer (a) must notify the domestic registration authority that the lawyer has been (i) convicted of an offence that would have to be disclosed in relation to an application for registration as a foreign lawyer under this Act; or (ii) charged with a serious offence; and (b) must do so within 7 days of the event and by a written notice. 270

Legal Profession Act 2007 Act No. of Part 2.6 Legal Practice by Foreign Lawyers s. 206 (2) The legal profession rules may specify the form of the notice to be used and the person to whom or the address to which it is to be sent or delivered. (3) This section does not apply to an offence to which Division 7 (Special powers in relation to local registration show cause events) applies. 206. Conditions imposed by legal profession rules The legal profession rules may (a) impose conditions on the registration of foreign lawyers or any class of foreign lawyers; or (b) authorise conditions to be imposed on the registration of foreign lawyers or on the registration of any class of foreign lawyers. 207. Compliance with conditions A locally registered foreign lawyer must not contravene a condition to which the registration is subject. Penalty: Fine not exceeding 100 penalty units. 271

Legal Profession Act 2007 Act No. of s. 208 Part 2.6 Legal Practice by Foreign Lawyers Division 10 Interstate-registered foreign lawyers 208. Extent of entitlement of interstate-registered foreign lawyer to practise in this jurisdiction (1) This Part does not authorise an interstate- registered foreign lawyer to practise foreign law in this jurisdiction to a greater extent than a locally registered foreign lawyer could be authorised under a local registration certificate. (2) Also, an interstate-registered foreign lawyer's right to practise foreign law in this jurisdiction (a) is subject to (i) any conditions imposed by the domestic registration authority under section 209; and (ii) any conditions imposed by or under the legal profession rules as referred to in that section; and (b) is, to the greatest practicable extent and with all necessary changes (i) the same as the interstate- registered foreign lawyer's right to practise foreign law in the lawyer's home jurisdiction; and (ii) subject to any condition on the interstate-registered foreign lawyer's right to practise foreign law in that jurisdiction. 272

Legal Profession Act 2007 Act No. of Part 2.6 Legal Practice by Foreign Lawyers s. 209 (3) If there is an inconsistency between conditions mentioned in subsection (2)(a) and conditions mentioned in subsection (2)(b), the conditions that are, in the opinion of the domestic registration authority, more onerous prevail to the extent of the inconsistency. (4) An interstate-registered foreign lawyer must not practise foreign law in this jurisdiction in a manner not authorised by this Act or in contravention of any condition referred to in this section. (5) The domestic registration authority must advise the Board of any additional conditions imposed on the practice of an interstate-registered foreign lawyer and the reasons for the imposition of those conditions. 209. Additional conditions on practice of interstate- registered foreign lawyers (1) The domestic registration authority may, by written notice to an interstate-registered foreign lawyer practising foreign law in this jurisdiction, impose any condition on the interstate-registered foreign lawyer's practice that it may impose under this Act in relation to a locally registered foreign lawyer. (2) Also, an interstate-registered foreign lawyer's right to practise foreign law in this jurisdiction is subject to any condition imposed by or under an applicable legal profession rule. 273

Legal Profession Act 2007 Act No. of s. 210 Part 2.6 Legal Practice by Foreign Lawyers (3) Conditions imposed under or referred to in this section must not be more onerous than conditions applying to locally registered foreign lawyers in the same or similar circumstances. (4) A notice under this section must include an information notice about the decision to impose a condition. (5) The domestic registration authority must advise the Board of any additional conditions imposed on the practice of an interstate-registered foreign lawyer and the reasons for the imposition of those conditions. Division 11 Miscellaneous 210. Consideration and investigation of applicants and locally registered foreign lawyers (1) To help it consider whether or not to grant, renew, amend, suspend or cancel registration under this Part, or impose conditions on a person's registration under this Part, the domestic registration authority may, by notice to the applicant or locally registered foreign lawyer, require the applicant or locally registered foreign lawyer (a) to give it specified documents or information; or (b) to co-operate with any inquiries that it considers appropriate. 274

Legal Profession Act 2007 Act No. of Part 2.6 Legal Practice by Foreign Lawyers s. 211 (2) A failure to comply with a notice under subsection (1) by the date specified in the notice and in the way required by the notice is a ground for making an adverse decision in relation to the action being considered by the domestic registration authority. 211. Register of locally registered foreign lawyers (1) The Board must keep a register of the names of locally registered foreign lawyers. (2) The register must (a) state the conditions (if any) imposed on a foreign lawyer's registration; and (b) include other particulars prescribed by the regulations. (3) The register may be kept in the way the Board decides. (4) The Board may publish, in circumstances that it considers appropriate, the names of persons kept on the register and any other information included in the register concerning those persons that it considers appropriate. (5) The register must be available for inspection, without charge, at the Board's office during normal business hours. (6) The Board is to make the register available to the domestic registration authority. 275

Legal Profession Act 2007 Act No. of s. 212 Part 2.6 Legal Practice by Foreign Lawyers 212. Publication of information about locally registered foreign lawyers The Board may publish, in circumstances that it considers appropriate, the names of persons registered by it as foreign lawyers under this Part and any relevant particulars concerning those persons. 213. Supreme Court orders about conditions (1) The domestic registration authority may apply to the Supreme Court for an order that an Australian-registered foreign lawyer not contravene a condition imposed under this Part. (2) The Supreme Court may make any order it considers appropriate on the application. 214. Exemption by domestic registration authority (1) The domestic registration authority may exempt an Australian-registered foreign lawyer or class of Australian-registered foreign lawyers from compliance with a specified provision of this Act or the regulations, or from compliance with a specified rule or part of a rule that would otherwise apply to the foreign lawyer or class of foreign lawyers. (2) An exemption may be granted unconditionally or subject to conditions specified in writing. 276

Legal Profession Act 2007 Act No. of Part 2.6 Legal Practice by Foreign Lawyers s. 215 (3) The domestic registration authority may revoke or vary any conditions imposed under this section or impose new conditions. (4) The domestic registration authority must advise the Board of any exemption under this section and the reasons for the exemption. 215. Membership of professional association An Australian-registered foreign lawyer is not required to join (but may, if eligible, join) any professional association. 216. Refund of fees (1) The regulations may provide for the refund of a portion of a fee paid in respect of registration as a foreign lawyer if it is suspended or cancelled during its currency. (2) Without limiting subsection (1), the regulations may specify (a) the circumstances in which a refund is to be made; and (b) the amount of the refund or the manner in which the amount of the refund is to be determined. 277

Legal Profession Act 2007 Act No. of s. 217 Part 2.6 Legal Practice by Foreign Lawyers 217. Appeals (1) If the domestic registration authority (a) refuses to grant or renew the registration of a person as a foreign lawyer; or (b) amends, suspends or cancels a person's registration as a foreign lawyer; or (c) takes any action under Divisions 4 and 5 of Part 3.2 the foreign lawyer may appeal to the Supreme Court against the refusal, amendment, suspension, cancellation or action taken. (2) The Supreme Court may make such an order in the matter as it thinks fit. 278

Legal Profession Act 2007 Act No. of Part 2.7 Community Legal Centres s. 218 PART 2.7 COMMUNITY LEGAL CENTRES 218. Community legal centres (1) An organisation, whether incorporated or not, is a complying community legal centre for the purposes of this Act if (a) it is held out or holds itself out as being a community legal centre (or a centre or establishment of a similar description); and (b) it provides legal services (i) that are directed generally to persons or organisations that lack the financial means to obtain privately funded legal services or whose cases are expected to raise issues of public interest or are of general concern to disadvantaged groups in the community; and (ii) that are made available to persons or organisations that have a special need arising from their location or the nature of the legal matter to be addressed or have a significant physical or social disability; and (iii) that are not intended, or likely, to be provided at a profit to the community legal centre and the 279

Legal Profession Act 2007 Act No. of s. 218 Part 2.7 Community Legal Centres income (if any) from which cannot or will not be distributed to any member or employee of the centre otherwise than by way of reasonable remuneration under a contract of service or for services; and (iv) that are funded or expected to be funded to a significant level by donations or by grants from government, charitable or other organisations; and (c) at least one of the persons who is employed or otherwise used by it to provide those legal services is an Australian legal practitioner and is generally responsible for the provision of those legal services (whether or not the person has an unrestricted practising certificate). (2) An organisation, whether incorporated or not, may be prescribed as a complying community legal centre for the purposes of this Act. (3) A complying community legal centre does not contravene this Act merely because (a) it employs, or otherwise uses the services of, Australian legal practitioners to provide legal services to members of the public; or (b) it has a contractual relationship with a member of the public to whom those 280

Legal Profession Act 2007 Act No. of Part 2.7 Community Legal Centres s. 218 legal services are provided or receives any fee, gain or reward for providing those legal services; or (c) it shares with an Australian legal practitioner employed or otherwise used by it to provide those legal services, receipts, revenue or other income arising from the business of the centre, being business of a kind usually conducted by an Australian legal practitioner; or (d) it adopts or uses the word "legal" or a name, description or title referred to in section 15 (Presumptions about taking or using name, title or description specified in regulations) (or some related term) in its name or any registered business name under which it provides legal services to members of the public. (4) This section has effect despite anything to the contrary in this Act. (5) The regulations may make provision for or with respect to (a) the application (with or without specified modifications) of provisions of this Act to complying community legal centres; and (b) the legal services provided by complying community legal centres or officers or employees of, or persons whose services are used by, complying community legal centres. 281

Legal Profession Act 2007 Act No. of s. 219 Part 2.7 Community Legal Centres (6) A regulation may provide that a breach of the regulations is capable of constituting unsatisfactory professional conduct or professional misconduct by, in the case of a complying community legal centre, an Australian legal practitioner responsible for the breach. 219. Application of legal profession rules Legal profession rules, so far as they apply to Australian legal practitioners, also apply to Australian legal practitioners who are officers or employees of, or whose services are used by, a complying community legal centre, unless the rules otherwise provide. 282

Legal Profession Act 2007 Act No. of Part 3.1 Legal Profession Rules s. 220 CHAPTER 3 CONDUCT OF LEGAL PRACTICE PART 3.1 LEGAL PROFESSION RULES Division 1 Preliminary 220. Purpose The purpose of this Part is to promote the maintenance of high standards of professional conduct by Australian legal practitioners and Australian-registered foreign lawyers by providing for the making and enforcement of rules of professional conduct that apply to them when they practise in this jurisdiction. Division 2 Rules for Australian legal practitioners and Australian-registered foreign lawyers 221. Rules for Australian legal practitioners The prescribed authority may make rules about legal practice in this jurisdiction engaged in by Australian legal practitioners. 222. Rules for Australian-registered foreign lawyers The prescribed authority may make rules about engaging in legal practice in this jurisdiction as an Australian-registered foreign lawyer. 283

Legal Profession Act 2007 Act No. of s. 223 Part 3.1 Legal Profession Rules 223. Subject matter of legal profession rules (1) Legal profession rules for Australian legal practitioners or Australian-registered foreign lawyers may make provision about any aspect of legal practice, including standards of conduct expected of practitioners or lawyers to whom the rules apply. (2) The power to make rules is not limited to any matters for which this Act specifically authorises the making of legal profession rules. 224. Prior consultation with professional associations and Board (1) If the prescribed authority proposes to make legal profession rules under this Part, it must consult with the Board and any relevant professional association before publishing notice of the proposed rules under section 225. (2) In this section "professional association" means the Law Society, the Tasmanian Bar Association, the Tasmanian Independent Bar or other prescribed body. 225. Public notice of proposed legal profession rules (1) The prescribed authority proposing to make legal profession rules under this Division must ensure that a notice is published, in the Gazette and in 284

Legal Profession Act 2007 Act No. of Part 3.1 Legal Profession Rules s. 225 each of the daily newspapers published and circulating in this jurisdiction (a) explaining the object of the proposed rule; and (b) advising where or how a copy of the proposed rule may be accessed, obtained or inspected; and (c) inviting comments and submissions within a specified period of not less than 21 days from the date of first publication of the notice. (2) The prescribed authority must ensure that a copy of the proposed rule is given to the Minister and the Board before the notice is published. (3) The prescribed authority must not make the rule before the end of the period specified in the notice for making comments and submissions and must ensure that any comments and submissions received within that period are appropriately considered. (4) However, the prescribed authority may make the rule before the end of the period specified in the notice for making comments and submissions if (a) the prescribed authority considers that the urgency of the case warrants immediate action; and 285

Legal Profession Act 2007 Act No. of s. 226 Part 3.1 Legal Profession Rules (b) the notice indicates that the prescribed authority is of that view and intends to act immediately. (5) Subsections (1), (2), (3) and (4) do not apply to a proposed rule that the Minister considers does not warrant publication because of its minor or technical nature. Division 3 Rules for incorporated legal practices and multi- disciplinary partnerships 226. Rules (1) The Board may make legal profession rules for or with respect to the following matters: (a) the provision of legal services by or in connection with incorporated legal practices or multi-disciplinary partnerships, and in particular the provision of legal services by (i) officers or employees of incorporated legal practices; or (ii) partners or employees of multi- disciplinary partnerships; (b) the provision of services that are not legal services by or in connection with incorporated legal practices or multi- disciplinary partnerships, but only if the provision of those services by 286

Legal Profession Act 2007 Act No. of Part 3.1 Legal Profession Rules s. 226 (i) officers or employees of incorporated legal practices; or (ii) partners or employees of multi- disciplinary partnerships may give rise to a conflict of interest relating to the provision of legal services. (2) Without limiting subsection (1), legal profession rules may be made for or with respect to professional obligations relating to legal services provided by or in connection with incorporated legal practices or multi-disciplinary partnerships. (3) However, the legal profession rules cannot (a) regulate any services that an incorporated legal practice may provide or conduct (other than the provision of legal services, or other services that may give rise to a conflict of interest relating to the provision of legal services); or (b) regulate or prohibit the conduct of officers or employees of an incorporated legal practice (other than in connection with the provision of legal services, or other services that may give rise to a conflict of interest relating to the provision of legal services); or (c) regulate any services that a multi- disciplinary partnership or partners or employees of a multi-disciplinary partnership may provide or conduct (other than the provision of legal 287

Legal Profession Act 2007 Act No. of s. 227 Part 3.1 Legal Profession Rules services, or other services that may give rise to a conflict of interest relating to the provision of legal services); or (d) regulate or prohibit the conduct of partners or employees of a multi- disciplinary partnership (other than in connection with the provision of legal services, or other services that may give rise to a conflict of interest relating to the provision of legal services). (4) The power to make rules is not limited to any matters for which this Act specifically authorises the making of legal profession rules. Division 4 General 227. Binding nature of legal profession rules (1) Legal profession rules are binding on Australian legal practitioners and Australian-registered foreign lawyers to whom they apply. (2) Failure to comply with legal profession rules is capable of constituting unsatisfactory professional conduct or professional misconduct. 228. Availability of rules The prescribed authority must ensure that the legal profession rules are available for public inspection (including on its internet site, if any, 288

Legal Profession Act 2007 Act No. of Part 3.1 Legal Profession Rules s. 229 or on any other internet site determined by the prescribed authority). 229. Rule-making procedure Legal profession rules made under this Part are (a) statutory rules within the meaning of the Rules Publication Act 1953; and (b) subordinate legislation for the purposes of the Subordinate Legislation Act 1992. 289

Legal Profession Act 2007 Act No. of s. 230 Part 3.2 Trust Money and Trust Accounts PART 3.2 TRUST MONEY AND TRUST ACCOUNTS Division 1 Preliminary 230. Purposes The purposes of this Part are as follows: (a) to ensure trust money is held by law practices in a way that protects the interests of persons for or on whose behalf money is held, both inside and outside this jurisdiction; (b) to minimise compliance requirements for law practices that provide legal services within and outside this jurisdiction; (c) to ensure the prescribed authority can work effectively with corresponding authorities in other jurisdictions in relation to the regulation of trust money and trust accounts. 231. Interpretation (1) In this Part "deposit record" includes a deposit slip or duplicate deposit slip; "external examination" means an external examination under Division 5 of a law practice's trust records; 290

Legal Profession Act 2007 Act No. of Part 3.2 Trust Money and Trust Accounts s. 231 "external examiner" means a person holding an appointment as an external examiner under Division 5; "investigation" means an investigation under Division 4 of the affairs of a law practice; "investigator" means a person holding an appointment as an investigator under Division 4; "permanent form", in relation to a trust record, means printed or, on request, capable of being printed in English on paper or other material; "power" includes authority; "transit money" means money received by a law practice subject to instructions to pay or deliver it to a third party, other than an associate of the practice; "trust money" means money entrusted to a law practice in the course of or in connection with the provision of legal services by the practice, and includes (a) money received by the practice on account of legal costs in advance of providing the services; and (b) controlled money received by the practice; and 291

Legal Profession Act 2007 Act No. of s. 231 Part 3.2 Trust Money and Trust Accounts (c) transit money received by the practice; and (d) money received by the practice, that is the subject of a power, exercisable by the practice or an associate of the practice, to deal with the money for or on behalf of another person; "trust records" includes the following documents: (a) receipts; (b) cheque butts or cheque requisitions; (c) records of authorities to withdraw by electronic funds transfer; (d) deposit records; (e) trust account ADI statements; (f) trust account receipts and payments cash books; (g) trust ledger accounts; (h) records of monthly trial balances; (i) records of monthly reconciliations; (j) trust transfer journals; 292

Legal Profession Act 2007 Act No. of Part 3.2 Trust Money and Trust Accounts s. 231 (k) statements of account as required to be furnished under the regulations; (l) registers required to be kept under the regulations; (m) monthly statements required to be kept under the regulations; (n) files relating to trust transactions or bills of costs or both; (o) written directions, authorities or other documents required to be kept under this Act or the regulations; (p) supporting information required to be kept under the regulations in relation to powers to deal with trust money. (2) A reference in this Part to a law practice's trust account or trust records includes a reference to an associate's trust account or trust records. (3) A reference in this Part to a power given to a law practice or an associate of the practice to deal with money for or on behalf of another person is a reference to a power given to the practice or associate that is exercisable by (a) the practice alone; or 293

Legal Profession Act 2007 Act No. of s. 232 Part 3.2 Trust Money and Trust Accounts (b) an associate of the practice alone (otherwise than in a private and personal capacity); or (c) the practice or an associate of the practice jointly or severally, or jointly and severally, with either or both of the following: (i) one or more associates of the practice; (ii) the person, or one or more nominees of the person, for whom or on whose behalf the money may or is to be dealt with under the power. 232. Money involved in financial services or investments (1) Money that is entrusted to or held by a law practice for or in connection with (a) a financial service provided by the practice or an associate of the practice in circumstances where the practice or associate is required to hold an Australian financial services licence covering the provision of the service (whether or not such a licence is held at any relevant time); or (b) a financial service provided by the practice or an associate of the practice in circumstances where the practice or 294

Legal Profession Act 2007 Act No. of Part 3.2 Trust Money and Trust Accounts s. 232 associate provides the service as a representative of another person who carries on a financial services business (whether or not the practice or associate is an authorised representative at any relevant time) is not trust money for the purposes of this Act. (2) Without limiting subsection (1), money that is entrusted to or held by a law practice for or in connection with (a) a managed investment scheme; or (b) mortgage financing; or (c) a mortgage investment scheme undertaken by the practice is not trust money for the purposes of this Act. (3) Without limiting subsections (1) and (2), money that is entrusted to or held by a law practice for investment purposes, whether on its own account or as agent, is not trust money for the purposes of this Act, unless (a) the money was entrusted to or held by the practice (i) in the ordinary course of legal practice; and (ii) primarily in connection with the provision of legal services to or at the direction of the client; and 295

Legal Profession Act 2007 Act No. of s. 233 Part 3.2 Trust Money and Trust Accounts (b) the investment is or is to be made (i) in the ordinary course of legal practice; and (ii) for the ancillary purpose of maintaining or enhancing the value of the money or property pending completion of the matter or further stages of the matter or pending payment or delivery of the money or property to or at the direction of the client. (4) In this section "Australian financial services licence", "authorised representative", "financial service" and "financial services business" have the same meanings as in Chapter 7 of the Corporations Act 2001 of the Commonwealth. 233. Determinations about status of money (1) This section applies to money received by a law practice if the prescribed authority considers that there is doubt or a dispute as to whether the money is trust money. (2) The prescribed authority may determine that the money is or is not trust money. (3) The prescribed authority may revoke or modify a determination under this section. 296

Legal Profession Act 2007 Act No. of Part 3.2 Trust Money and Trust Accounts s. 234 (4) While a determination under this section is in force that money is trust money, the money is taken to be trust money for the purposes of this Act. (5) While a determination under this section is in force that money is not trust money, the money is taken not to be trust money for the purposes of this Act. (6) This section has effect subject to a decision of a court made in relation to the money concerned. 234. Application of Part to law practices and trust money (1) This Part applies to the following law practices in respect of trust money received by them in this jurisdiction: (a) a law practice that has an office in this jurisdiction, whether or not the practice has an office in another jurisdiction; (b) a law practice that does not have an office in any jurisdiction at all. Note. It is intended that a law practice that receives trust money in this jurisdiction, that does not have an office in this jurisdiction, but that has an office in another jurisdiction, must deal with the money in accordance with the corresponding law of the other jurisdiction. 297

Legal Profession Act 2007 Act No. of s. 234 Part 3.2 Trust Money and Trust Accounts (2) This Part applies to the following law practices in respect of trust money received by them in another jurisdiction: (a) a law practice that has an office in this jurisdiction and in no other jurisdiction; (b) a law practice that has an office in this jurisdiction and in one or more other jurisdictions but not in the jurisdiction in which the trust money was received, unless the money is dealt with in accordance with the corresponding law of another jurisdiction. (3) However, this Part does not apply to (a) prescribed law practices or classes of law practices; or (b) prescribed law practices or classes of law practices in prescribed circumstances; or (c) prescribed kinds of trust money; or (d) prescribed kinds of trust money in prescribed circumstances. (4) A reference in this section to having an office in a jurisdiction is a reference to having, or engaging in legal practice from, an office or business address in the jurisdiction. Note. Section 174 (Trust money and trust accounts) applies this Part to Australian-registered foreign lawyers. 298

Legal Profession Act 2007 Act No. of Part 3.2 Trust Money and Trust Accounts s. 235 235. Protocols for determining where trust money is received (1) The prescribed authority may enter into arrangements (referred to in this Part as protocols) with corresponding authorities about any or all of the following: (a) determining the jurisdiction where a law practice receives trust money; (b) sharing information about whether, and (if so) how, trust money is being dealt with under this Act or a corresponding law. (2) For the purposes of this Act, to the extent that the protocols are relevant, the jurisdiction where a law practice receives trust money is to be determined in accordance with the protocols. (3) The prescribed authority may enter into arrangements that amend, revoke or replace a protocol. (4) A protocol does not have effect in this jurisdiction unless it is adopted in the regulations. 236. When money is received (1) For the purposes of this Act, a law practice receives money when (a) the practice obtains possession or control of it directly; or 299

Legal Profession Act 2007 Act No. of s. 237 Part 3.2 Trust Money and Trust Accounts (b) the practice obtains possession or control of it indirectly as a result of its delivery to an associate of the practice; or (c) the practice, or an associate of the practice (otherwise than in a private and personal capacity), is given a power to deal with the money for or on behalf of another person. (2) For the purposes of this Act, a law practice or associate is taken to have received money if the money is available to the practice or associate by means of an instrument or other way of authorising an ADI to credit or debit an amount to an account with the ADI, including, for example, an electronic funds transfer, credit card transaction or telegraphic transfer. 237. Discharge by legal practitioner associate of obligations of law practice (1) The following actions, if taken by a legal practitioner associate of a law practice on behalf of the practice in relation to trust money received by the practice, discharge the corresponding obligations of the practice in relation to the money: (a) the establishment of a trust account; (b) the maintenance of a trust account; 300

Legal Profession Act 2007 Act No. of Part 3.2 Trust Money and Trust Accounts s. 238 (c) the payment of trust money into and out of a trust account and other dealings with trust money; (d) the maintenance of trust records; (e) engaging an external examiner to examine trust records; (f) the payment of an amount into an ADI account as referred to in section 352 (Deposit of trust money into designated trust deposit account); (g) an action of a kind prescribed by the regulations. (2) If the legal practitioner associate maintains a trust account in relation to trust money received by the law practice, the provisions of this Part and the regulations made for the purposes of this Part apply to the associate in the same way as they apply to a law practice. (3) Subsection (1) does not apply to the extent that the associate is prevented by the regulations from taking any action referred to in that subsection. 238. Liability of principals of law practice (1) A provision of this Part or the regulations made for the purposes of this Part expressed as imposing an obligation on a law practice imposes the same obligation on the principals of the law practice jointly and severally, but 301

Legal Profession Act 2007 Act No. of s. 239 Part 3.2 Trust Money and Trust Accounts discharge of the practice's obligation also discharges the corresponding obligation imposed on the principals. (2) References in this Part and the regulations made for the purposes of this Part to a law practice include references to the principals of the law practice. 239. Former practices, principals and associates This Part applies in relation to former law practices and former principals and associates of law practices in relation to conduct occurring while they were respectively law practices, principals and associates in the same way as it applies to law practices, principals and associates, and so applies with any necessary modifications. 240. Barristers n