LEGAL PROFESSION ACT 2004

Victorian Consolidated Legislation

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LEGAL PROFESSION ACT 2004

No. 99 of 2004
Version incorporating amendments as at 8 November 2007

TABLE OF PROVISIONS

Section Page

CHAPTER 1-INTRODUCTION

PART 1.1-PRELIMINARY

1.1. 1. Purpose
1.1. 2. Commencement

PART 1.2-INTERPRETATION

1.2. 1. Definitions
1.2. 2. Terms relating to lawyers
1.2. 3. Terms relating to legal practitioners
1.2. 4. Terms relating to associates and principals of law practices
1.2. 5. Home jurisdiction
1.2. 6. Suitability matters
1.2. 7. Information notices
1.2. 8. References to findings of guilt
1.2. 9. References to Parts

CHAPTER 2-GENERAL REQUIREMENTS FOR ENGAGING IN LEGAL PRACTICE

PART 2.1-INTRODUCTION AND OVERVIEW

2.1. 1. Simplified outline of Chapter

PART 2.2-RESERVATION OF LEGAL WORK AND LEGAL TITLES

Division 1-Preliminary

2.2. 1. Purposes

Division 2-General prohibitions on unqualified practice

2.2. 2. Prohibition on engaging in legal practice when not entitled
2.2. 3. Prohibition on representing or advertising entitlement to engage in legal practice when not entitled
2.2. 4. Presumptions about taking or using name, title or
description specified in regulations

Division 3-Prohibitions regarding associates

2.2. 5. Definitions
2.2. 6. Order disqualifying persons
2.2. 7. Prohibition on certain associates
2.2. 8. Approval of associates

Division 4-Further prohibitions and restrictions

2.2. 9. Sharing income with unqualified persons
2.2. 10. Permitting or assisting unqualified persons to practise
2.2. 11. Prisoners must not practise

Division 5-General

2.2. 12. Professional discipline

PART 2.3-ADMISSION OF LOCAL LAWYERS

Division 1-Preliminary

2.3. 1. Purposes

Division 2-Eligibility and suitability for admission

2.3. 2. Eligibility for admission
2.3. 3. Suitability for admission

Division 3-Admission to the legal profession

2.3. 4. Application for admission
2.3. 5. Admission fee
2.3. 6. Admission by the Supreme Court
2.3. 7. Roll of persons admitted to the legal profession
2.3. 8. When is admission effective?
2.3. 9. Local lawyer is officer of the Supreme Court

Division 4-Functions of Board of Examiners

2.3. 10. Functions of Board of Examiners
2.3. 11. Appeal to Supreme Court

Division 5-Admission rules

2.3. 12. Admission Rules

PART 2.4-LEGAL PRACTICE BY AUSTRALIAN LEGAL PRACTITIONERS

Division 1-Preliminary

2.4. 1. Purposes

Division 2-Legal Practice in this jurisdiction by Australian legal practitioners

2.4. 2. Entitlement of holder of Australian practising certificate to practise in this jurisdiction

Division 3-Local practising certificates generally

2.4. 3. Local practising certificates
2.4. 4. Suitability to hold local practising certificate
2.4. 5. Duration of local practising certificate
2.4. 6. Local legal practitioner is officer of Supreme Court

Division 4-Grant or renewal of local practising certificates

2.4. 7. Criteria for grant or renewal of local practising certificate
2.4. 8. Application for grant or renewal of local practising
certificate
2.4. 9. Manner of application and fees
2.4. 10. Timing of application for renewal of local practising certificate
2.4. 11. Late application for renewal of practising certificate
2.4. 12. Grant or renewal of local practising certificate

Division 5-Additional conditions on local practising certificates

2.4. 13. Conditions generally
2.4. 14. Conditions imposed by the Board on grant or renewal
2.4. 15. Repealed
2.4. 16. Imposition or variation of conditions pending criminal proceedings
2.4. 17. Statutory condition regarding conditions imposed on interstate admission
2.4. 18. Statutory condition regarding supervised legal practice

Division 6-Amendment, suspension or cancellation of local practising certificates

2.4. 19. Application of Division
2.4. 20. Grounds for amending, suspending or cancelling local practising certificate
2.4. 21. Amending, suspending or cancelling local practising certificate
2.4. 22. Immediate suspension of local practising certificate
2.4. 23. Effect of suspension
2.4. 24. Other ways of amending or cancelling local practising certificates
2.4. 25. Relationship of this Division with disciplinary provisions

Division 7-Special Powers in relation to local practising certificates-show cause events

2.4. 26. Applicant for local practising certificate-show cause event
2.4. 27. Holder of local practising certificate-show cause event
2.4. 28. Refusal, amendment, suspension or cancellation of local practising certificate-failure to show cause
2.4. 29. Restriction on making further applications

Division 8-Further provisions relating to local practising
certificates

2.4. 30. Surrender and cancellation of local practising certificate
2.4. 31. Return of local practising certificate

Division 9-Interstate legal practitioners

2.4. 32. Extent of entitlement of interstate legal practitioner to
practise in this jurisdiction
2.4. 33. Additional conditions on practice of interstate legal practitioners
2.4. 34. Notification by interstate legal practitioner becoming authorised to withdraw from local trust account
2.4. 35. Special provisions about interstate legal practitioner
engaging in unsupervised legal practice in this jurisdiction
2.4. 36. Interstate legal practitioner is officer of Supreme Court

Division 10-Reviews

2.4. 37. Review of decisions about local practising certificates
2.4. 38. Review of decisions about interstate legal practitioners

Division 11-Miscellaneous

2.4. 39. Protocols
2.4. 40. Consideration and investigation of applicants or holders
2.4. 41. Government lawyers of other jurisdictions
2.4. 42. Show cause procedure for removal of lawyer's name from local roll following cancellation of interstate practising certificate or guilty finding

PART 2.5-SUITABILITY REPORTS

Division 1-Preliminary

2.5. 1. Purpose
2.5. 2. Definitions

Division 2-Police reports

2.5. 3. Criminal record checks and police reports

Division 3-Health assessments

2.5. 4. Health assessments
2.5. 5. Appointment of health assessor
2.5. 6. Health assessment report
2.5. 7. Payment for health assessment and report
2.5. 8. Use of health assessment report

Division 4-General

2.5. 9. Confidentiality of reports

PART 2.6-INTER-JURISDICTIONAL PROVISIONS REGARDING ADMISSION AND PRACTISING
CERTIFICATES

Division 1-Preliminary

2.6. 1. Purpose
2.6. 1A. Definition
2.6. 2. Other requirements not affected

Division 2-Notifications to be given by local authorities to
interstate authorities

2.6. 3. Official notification to other jurisdictions of applications
for admission and associated matters
2.6. 4. Official notification to other jurisdictions of removals
from local roll
2.6. 5. Board to notify other jurisdictions of certain matters

Division 3-Notifications to be given by lawyers to local
authorities

2.6. 6. Lawyer to give notice of removal in another jurisdiction
2.6. 6A. Lawyer to give notice of interstate orders
2.6. 7. Lawyer to give notice of foreign regulatory action
2.6. 8. Provisions relating to requirement to notify

Division 4-Taking of action by local authorities in response to notifications received

2.6. 9. Peremptory removal of local lawyer's name from local roll following removal in another jurisdiction
2.6. 10. Peremptory cancellation of local practising certificate following removal of name from interstate roll
2.6. 10A. Show cause procedure for removal of lawyer's name from local roll following foreign regulatory action
2.6. 10B. Show cause procedure for cancellation of local practising certificate following foreign regulatory action
2.6. 11. Order for non-removal of name or non-cancellation of
local practising certificate
2.6. 12. Repealed
2.6. 13. Local authority may give information to other local authorities

PART 2.7-INCORPORATED LEGAL PRACTICES AND MULTI-DISCIPLINARY PARTNERSHIPS

Division 1-Preliminary

2.7. 1. Purposes
2.7. 2. Definitions
2.7. 3. Part does not apply to community legal centres

Division 2-Incorporated legal practices

2.7. 4. Nature of incorporated legal practice
2.7. 5. Non-legal services and businesses of incorporated legal practices
2.7. 6. Corporations eligible to be incorporated legal practice
2.7. 7. Notice of intention to start providing legal services
2.7. 8. Prohibition on representations that corporation is
incorporated legal practice
2.7. 9. Notice of termination of provision of legal services
2.7. 10. Incorporated legal practice must have legal practitioner director
2.7. 11. Obligations of legal practitioner director relating to misconduct
2.7. 12. Incorporated legal practice without legal practitioner
director
2.7. 13. Obligations and privileges of practitioners who are officers
or employees
2.7. 14. Conflicts of interest
2.7. 15. Disclosure obligations
2.7. 16. Effect of non-disclosure of provision of certain services
2.7. 17. Application of legal profession rules
2.7. 18. Requirements relating to advertising
2.7. 19. Extension of vicarious liability relating to failure to
account, pay or deliver and dishonesty to incorporated
legal practices
2.7. 20. Sharing of receipts, revenue or other income
2.7. 21. Disqualified persons
2.7. 22. Audit of incorporated legal practice
2.7. 23. Investigative powers relating to audits and other matters
2.7. 24. Banning of incorporated legal practices
2.7. 25. Disqualification from managing incorporated legal practice
2.7. 26. Disclosure of information to Australian Securities and Investments Commission
2.7. 27. External administration proceedings under Corporations
Act
2.7. 28. External administration proceedings under other
legislation
2.7. 29. Incorporated legal practice that is subject to receivership under this Act and external administration under the Corporations Act
2.7. 30. Incorporated legal practice that is subject to receivership under this Act and external administration under other legislation
2.7. 31. Co-operation between courts
2.7. 32. Relationship of Act to constitution of incorporated legal practice
2.7. 33. Relationship of Act to legislation establishing incorporated legal practice
2.7. 34. Relationship of Act to Corporations legislation
2.7. 35. Undue influence

Division 3-Multi-disciplinary partnerships

2.7. 36. Nature of multi-disciplinary partnership
2.7. 37. Conduct of multi-disciplinary partnerships
2.7. 38. Notice of intention to start practice in multi-disciplinary partnership
2.7. 39. General obligations of legal practitioner partners
2.7. 40. Obligations of legal practitioner partner relating to misconduct
2.7. 41. Actions of partner who is not an Australian legal
practitioner
2.7. 42. Obligations and privileges of practitioners who are partners
or employees
2.7. 43. Conflicts of interest
2.7. 44. Disclosure obligations
2.7. 45. Effect of non-disclosure of provision of certain services
2.7. 46. Application of legal profession rules
2.7. 47. Requirements relating to advertising
2.7. 48. Sharing of receipts, revenue or other income
2.7. 49. Disqualified persons
2.7. 50. Prohibition on partnerships with certain partners who are
not Australian legal practitioners
2.7. 51. Undue influence

Division 4-Miscellaneous

2.7. 52. Obligations of individual practitioners not affected
2.7. 53. Regulations

PART 2.8-LEGAL PRACTICE BY FOREIGN LAWYERS

Division 1-Preliminary

2.8. 1. Purpose
2.8. 2. Definitions
2.8. 3. This Part does not apply to Australian legal practitioners

Division 2-Practice of foreign law

2.8. 4. Requirement for registration
2.8. 5. Entitlement of Australian-registered foreign lawyer to
practise in this jurisdiction
2.8. 6. Scope of practice
2.8. 7. Form of practice
2.8. 8. Application of Australian professional ethical and practice standards
2.8. 9. Designation
2.8. 10. Letterhead and other identifying documents
2.8. 11. Advertising
2.8. 12. Foreign lawyer employing Australian legal practitioner
2.8. 13. Trust money and trust accounts
2.8. 14. Fidelity cover

Division 3-Local registration of foreign lawyers generally

2.8. 15. Local registration of foreign lawyers
2.8. 16. Duration of registration
2.8. 17. Locally registered foreign lawyer is not officer of Supreme Court

Division 4-Application for grant or renewal of local registration

2.8. 18. Application for grant or renewal of registration
2.8. 19. Manner of application
2.8. 20. Requirements regarding applications for grant or renewal
of registration

Division 5-Grant or renewal of registration

2.8. 21. Grant or renewal of registration
2.8. 22. Requirement to grant or renew registration if criteria
satisfied
2.8. 23. Refusal to grant or renew registration

Division 6-Amendment, suspension or cancellation of local registration

2.8. 24. Application of this Division
2.8. 25. Grounds for amending, suspending or cancelling
registration
2.8. 26. Amending, suspending or cancelling registration
2.8. 27. Operation of amendment, suspension or cancellation of registration
2.8. 28. Other ways of amending or cancelling registration
2.8. 29. Relationship of Division to Chapter 4.

Division 7-Special powers in relation to local registration-
show cause events

2.8. 30. Applicant for local registration-show cause event
2.8. 31. Locally registered foreign lawyer-show cause event
2.8. 32. Refusal, amendment, suspension or cancellation of local registration-failure to show cause
2.8. 33. Restriction on making further applications

Division 8-Further provisions relating to local registration

2.8. 34. Immediate suspension of registration
2.8. 35. Surrender of local registration certificate and cancellation
of registration
2.8. 36. Automatic cancellation of registration on grant of practising certificate
2.8. 37. Suspension or cancellation of registration not to affect disciplinary processes
2.8. 38. Return of local registration certificate on amendment, suspension or cancellation of registration

Division 9-Conditions on registration

2.8. 39. Conditions generally
2.8. 40. Conditions imposed by the Board
2.8. 41. Statutory condition regarding notification of offence
2.8. 42. Conditions imposed by legal profession rules
2.8. 43. Compliance with conditions

Division 10-Interstate-registered foreign lawyers

2.8. 44. Extent of entitlement of interstate-registered foreign lawyer
to practise in this jurisdiction
2.8. 45. Additional conditions on practice of interstate-registered foreign lawyers

Division 11-Miscellaneous

2.8. 46. Consideration and investigation of applicants and locally registered foreign lawyers
2.8. 47. Publication of information about locally registered foreign lawyers
2.8. 48. Supreme Court orders about conditions
2.8. 49. Exemption by Board
2.8. 50. Membership of professional association
2.8. 51. Review by Tribunal

PART 2.9-COMMUNITY LEGAL CENTRES

2.9. 1. Definitions
2.9. 2. Supervising legal practitioner
2.9. 3. Notification of temporary engagement of supervising legal practitioner
2.9. 4. Entitlement to recover legal costs
2.9. 5. Regulations

CHAPTER 3-GETTING THINGS RIGHT

PART 3.1-INTRODUCTION AND OVERVIEW

3.1. 1. Simplified outline of Chapter

PART 3.2-MANNER OF LEGAL PRACTICE

Division 1-Preliminary

3.2. 1. Purposes

Division 2-Legal practice generally

3.2. 2. Co-advocacy
3.2. 3. Client access
3.2. 4. Compulsory clerking prohibited
3.2. 5. Compulsory chambers prohibited
3.2. 6. Sole practice by barristers
3.2. 7. Robing not compulsory
3.2. 8. Regulation of other businesses carried on by legal practitioners

Division 3-Rules for Australian legal practitioners and locally-registered foreign lawyers

3.2. 9. Rules for Australian legal practitioners
3.2. 10. Rules for foreign lawyers
3.2. 11. Subject-matter of legal profession rules
3.2. 12. Prior consultation with professional associations
3.2. 13. Public notice of proposed legal profession rules

Division 4-Rules for incorporated legal practices and multi-disciplinary partnerships

3.2. 14. Rules
3.2. 15. Rule-making procedures

Division 5-Rules for approved clerks

3.2. 16. Rules

Division 6-General provisions for legal profession rules

3.2. 17. Binding nature of legal profession rules
3.2. 18. Legal profession rules inconsistent with Act or regulations
3.2. 19. Availability of rules

Division 7-Competition

3.2. 20. Board to investigate matters relating to competition
3.2. 21. Law practice or practitioner must provide information and documents
3.2. 22. Consultation and comment
3.2. 23. Report of investigation
3.2. 24. Tabling in Parliament and government response

PART 3.3-TRUST MONEY AND TRUST ACCOUNTS

Division 1-Preliminary

3.3. 1. Purposes
3.3. 2. Definitions
3.3. 3. Money involved in financial services or investments
3.3. 4. Determinations about status of money
3.3. 5. Application of Part to law practices and trust money
3.3. 6. Protocols for determining where trust money is received
3.3. 7. When money is received
3.3. 8. Discharge by legal practitioner associate of obligations
of law practice
3.3. 9. Liability of principals of law practice
3.3. 10. Former practices, principals, associates and approved
clerks

Division 2-Trust accounts and trust money

3.3. 11. Maintenance of general trust account
3.3. 12. Trust account details to be notified to Board
3.3. 13. Certain trust money to be deposited in general trust
account
3.3. 14. Holding, disbursing and accounting for trust money
3.3. 14A. Manner of withdrawal of trust money from general trust account
3.3. 15. Controlled money
3.3. 15A. Manner of withdrawal of controlled money from
controlled money account
3.3. 16. Transit money
3.3. 17. Trust money subject to specific powers
3.3. 17A. Trust money received in the form of cash
3.3. 18. Protection of trust money
3.3. 19. Intermixing money
3.3. 20. Dealing with trust money: legal costs and unclaimed
money
3.3. 21. Deficiency in trust account
3.3. 22. Reporting certain irregularities and suspected
irregularities-legal practitioners
3.3. 23. Reporting irregularities-approved clerks
3.3. 24. Application of privileges
3.3. 25. Keeping trust records
3.3. 26. False names
3.3. 27. Reporting trust balances to the Board

Division 3-Investigations

3.3. 28. When may an investigation be conducted?
3.3. 29. Appointment of inspector
3.3. 30. Identity card
3.3. 31. Production of records
3.3. 32. Power to question associates
3.3. 33. Power to question approved clerks
3.3. 34. Information from external examiners
3.3. 35. Entry for compliance purposes
3.3. 36. Entry or search regarding contraventions
3.3. 37. Search warrants
3.3. 38. Announcement before entry
3.3. 39. Details of warrant to be given to occupier
3.3. 40. Seizure of things not mentioned in the warrant
3.3. 41. Retention and return of things seized under a search
warrant
3.3. 42. Copies of seized documents
3.3. 43. Power to obtain information from other Australian legal practitioners and approved clerks
3.3. 44. Power to obtain information from financial institutions
and other specified bodies
3.3. 45. Failure to comply with inspector
3.3. 46. Application of privileges
3.3. 47. Inspector must report on investigation
3.3. 48. Cost of investigation
3.3. 49. Secrecy
3.3. 50. Rules for qualification of inspectors

Division 4-External examinations

3.3. 51. Approval of external examiners
3.3. 52. Annual examination of trust records
3.3. 53. Examination of affairs of law practice in connection with examination of trust records
3.3. 54. Annual report of trust records examination or statutory declaration
3.3. 55. Final examination of trust records
3.3. 56. Disclosure of information
3.3. 57. Board's supervisory role in examinations
3.3. 58. Courses of education for examiners

Division 5-Provisions relating to ADIs

3.3. 59. Arrangements with ADIs
3.3. 60. ADIs to notify Board of trust accounts
3.3. 61. Reports, records and information

Division 6-Statutory deposits

3.3. 62. Definitions
3.3. 63. Required deposit amount
3.3. 64. Requirement to deposit with the Board
3.3. 65. Determination of amount and timing of deposit
3.3. 66. Repayment by Board
3.3. 67. Division does not apply to controlled money accounts
3.3. 68. Exemption by Board
3.3. 69. Multiple trust accounts

Division 7-Approval of clerks

3.3. 70. Approved clerks

Division 8-Miscellaneous

3.3. 71. Restrictions on receipt of trust money
3.3. 72. Restrictions on receipt of trust money by interstate legal practitioners
3.3. 73. Application of Part to incorporated legal practices and multi-disciplinary partnerships
3.3. 74. Legal profession rules
3.3. 75. Regulations

PART 3.4-COSTS DISCLOSURE AND REVIEW

Division 1-Preliminary

3.4. 1. Purposes
3.4. 2. Definitions
3.4. 2A. Terms relating to third party payers

Division 2-Application of this Part 3.4.3. Application of Part-first instructions rule

3.4. 4. Part also applies by agreement or at client's election
3.4. 5. Displacement of Part 3.4.6. How and where does a client first instruct a law practice?
3.4. 7. When does a matter have a substantial connection with
this jurisdiction?
3.4. 8. What happens when different laws apply to a matter?

Division 3-Costs disclosure

3.4. 9. Disclosure of costs to clients
3.4. 10. Disclosure if another law practice is to be retained
3.4. 11. How and when must disclosure be made to a client?
3.4. 12. Exceptions to requirement for disclosure
3.4. 13. Additional disclosure-settlement of litigious matters
3.4. 14. Additional disclosure-uplift fees
3.4. 15. Form of disclosure
3.4. 16. Ongoing obligation to disclose
3.4. 17. Effect of failure to disclose
3.4. 18. Progress reports
3.4. 18A. Disclosure to associated third party payers

Division 4-Legal costs generally

3.4. 19. On what basis are legal costs recoverable?
3.4. 20. Security for legal costs
3.4. 21. Interest on unpaid legal costs
3.4. 22. Practitioner remuneration orders
3.4. 23. Publication and availability of practitioner remuneration
order
3.4. 24. Disallowance of practitioner remuneration order
3.4. 25. Legal Costs Committee

Division 5-Costs agreements

3.4. 26. Making costs agreements
3.4. 27. Conditional costs agreements
3.4. 28. Conditional costs agreements involving uplift fees
3.4. 29. Contingency fees are prohibited
3.4. 30. Effect of costs agreement
3.4. 31. Certain costs agreements are void
3.4. 32. Setting aside costs agreements

Division 6-Billing

3.4. 33. Legal costs cannot be recovered unless bill has been
served
3.4. 34. Bills
3.4. 35. Notification of client's rights
3.4. 36. Request for itemised bill
3.4. 37. Interim bills

Division 7-Costs review by Taxing Master

3.4. 38. Application by clients or third party payers for costs
review
3.4. 39. Application for costs review by law practice retaining
another law practice
3.4. 40. Application for costs review by law practice giving bill
3.4. 41. Consequences of application
3.4. 42. Persons to be notified of application
3.4. 43. Procedure on review
3.4. 44. Criteria for review
3.4. 44A. Review of costs by reference to costs agreement
3.4. 44B. Review of costs by reference to practitioner remuneration order or scale of costs
3.4. 45. Costs of review
3.4. 46. Referral for disciplinary action
3.4. 47. Appeal
3.4. 48. Legal costs subject to a civil complaint are not reviewable
3.4. 48A. Contracting out of Division by sophisticated clients

Division 8-Miscellaneous

3.4. 49. Application of Part to incorporated legal practices and multi-disciplinary partnerships
3.4. 50. Imputed acts, omission or knowledge

PART 3.5-PROFESSIONAL INDEMNITY INSURANCE

3.5. 1. Definition
3.5. 2. Law practices required to insure
3.5. 3. Australian-registered foreign lawyers required to insure
3.5. 4. Community legal centres required to insure
3.5. 5. Trade Practices Act and Competition Code
3.5. 6. Terms and conditions of insurance
3.5. 7. Exemption from insurance requirements

PART 3.6-FIDELITY COVER

Division 1-Preliminary

3.6. 1. Purpose
3.6. 2. Definitions
3.6. 3. Time of default

Division 2-Defaults to which this Part applies

3.6. 4. Meaning of relevant jurisdiction
3.6. 5. Defaults to which this Part applies
3.6. 6. Defaults relating to financial services or investments

Division 3-Claims about defaults

3.6. 7. Claims about defaults
3.6. 8. Time limit for making claims
3.6. 9. Advertisements
3.6. 10. Time limit for making claims following advertisement
3.6. 11. Claims not affected by certain matters
3.6. 12. Investigation of claims
3.6. 13. Advance payments

Division 4-Determination of claims

3.6. 14. Determination of claims
3.6. 15. Maximum amount allowable
3.6. 16. Costs
3.6. 17. Interest
3.6. 18. Reduction of claim because of other benefits
3.6. 19. Subrogation
3.6. 20. Repayment of certain amounts
3.6. 21. Notification of delay in making decision
3.6. 22. Notification of decision
3.6. 23. Appeal against decision on claim
3.6. 24. Appeal against failure to determine claim
3.6. 25. Court proceedings

Division 5-Payments from Fidelity Fund for defaults

3.6. 26. Caps on payments
3.6. 27. Sufficiency of Fidelity Fund

Division 6-Claims by law practices or associates

3.6. 28. Claims by law practices or associates about defaults
3.6. 29. Claims by law practices or associates about notional
defaults

Division 7-Defaults involving interstate elements

3.6. 30. Concerted interstate defaults
3.6. 31. Defaults involving interstate elements if committed by
one associate only

Division 8-Inter-jurisdictional provisions

3.6. 32. Protocols
3.6. 33. Forwarding of claims
3.6. 34. Investigation of defaults to which this Part applies
3.6. 35. Investigation of defaults to which a corresponding law
applies
3.6. 36. Investigation of concerted interstate defaults and other defaults involving interstate elements
3.6. 37. Recommendations by Board to corresponding authorities
3.6. 38. Recommendations to and decisions by Board after
receiving recommendations from corresponding
authorities
3.6. 39. Request to another jurisdiction to investigate aspects of
claim
3.6. 40. Request from another jurisdiction to investigate aspects
of claim
3.6. 41. Co-operation with other authorities

Division 9-Miscellaneous

3.6. 42. Application of Part to incorporated legal practices
3.6. 43. Application of Part to multi-disciplinary partnerships
3.6. 44. Application of Part to sole practitioners whose practising certificates lapse

CHAPTER 4-COMPLAINTS AND DISCIPLINE

PART 4.1-INTRODUCTION AND APPLICATION

Division 1-Preliminary

4.1. 1. Purposes

Division 2-Application of Chapter

4.1. 2. Application of Chapter to practitioners and law practices
4.1. 3. Application of Chapter to lawyers, former lawyers and
former practitioners
4.1. 4. Conduct to which this Chapter applies-generally
4.1. 5. Conduct to which this Chapter applies-insolvency,
serious offences and tax offences

PART 4.2-MAKING A COMPLAINT

4.2. 1. Complaints
4.2. 2. Civil complaints and disputes
4.2. 3. Disciplinary complaints
4.2. 4. Who may make a complaint
4.2. 5. To whom is a complaint made?
4.2. 6. Form and content of complaint
4.2. 7. Time limits for complaints
4.2. 8. Notification
4.2. 9. Further information from complainant
4.2. 10. Summary dismissal of complaints
4.2. 11. Dealing with complaints
4.2. 12. Information about complaints procedure
4.2. 13. No Tribunal fees
4.2. 14. Compensation orders
4.2. 15. Waiver of privilege or duty of confidentiality
4.2. 16. Ex gratia payments to complainants

PART 4.3-CIVIL COMPLAINTS AND DISPUTES

Division 1-Application of Part 4.3.1. Application of Part

Division 2-Dealing with civil complaints

4.3. 2. Effect of complaint on other proceedings
4.3. 3. Lodgement of disputed legal costs with Commissioner
4.3. 4. Dealing with lodged costs
4.3. 5. Commissioner to attempt to resolve civil dispute
4.3. 5A. Settlement agreements
4.3. 6. What happens if civil dispute is unsuitable for resolution
by Commissioner?
4.3. 7. What happens if dispute resolution fails?

Division 3-Mediation

4.3. 8. Application of Division
4.3. 9. Appointment of mediator
4.3. 10. Mediation
4.3. 11. Admissibility of evidence and documents
4.3. 12. Mediation agreements
4.3. 13. What happens if a party does not attend a mediation?
4.3. 14. What happens if mediation is not successful?

Division 4-Resolution of civil disputes by the Tribunal

4.3. 15. Application to Tribunal
4.3. 16. Parties 4.3.17. What may the Tribunal order?

PART 4.4-DISCIPLINARY COMPLAINTS AND DISCIPLINE

Division 1-Application of Part 4.4.1. Application of Part

Division 2-Key concepts

4.4. 2. Unsatisfactory professional conduct
4.4. 3. Professional misconduct
4.4. 4. Conduct capable of constituting unsatisfactory professional conduct or professional misconduct
4.4. 5. Conduct that constitutes unsatisfactory professional
conduct
4.4. 6. Conduct that constitutes professional misconduct

Division 3-Investigations

4.4. 7. Disciplinary complaints to be investigated
4.4. 8. Investigations without complaint
4.4. 9. Referral to prescribed investigatory body
4.4. 10. Role of prescribed investigatory body on a referral
4.4. 11. Practitioner, law practice and others to provide information and documents
4.4. 12. Investigation to be conducted expeditiously
4.4. 13. What happens after an investigation is completed?
4.4. 14. Notice of decision

Division 4-Proceedings in the Tribunal

4.4. 15. Tribunal to hear and determine application
4.4. 16. Determinations of Tribunal
4.4. 17. Orders requiring official implementation in this jurisdiction
4.4. 18. Orders requiring official implementation in another jurisdiction
4.4. 19. Orders requiring compliance by practitioner
4.4. 20. Alternative finding

Division 5-Rehearings

4.4. 21. Application for rehearing
4.4. 22. Parties and notice
4.4. 23. Rehearing
4.4. 24. Effect of first instance order pending rehearing

Division 6-Publicising disciplinary action

4.4. 25. Definitions
4.4. 26. Register of Disciplinary Action
4.4. 27. Publication of information on Register
4.4. 28. Other means of publicising disciplinary action
4.4. 29. Information not to be published pending rehearing or
appeal
4.4. 30. Person with infirmity, injury or illness
4.4. 31. General provisions about disclosure of information

Division 7-Inter-jurisdictional provisions

4.4. 32. Protocols
4.4. 33. Request to another jurisdiction to investigate complaint or conduct
4.4. 34. Request from another jurisdiction to investigate complaint
or conduct
4.4. 35. Sharing of information with corresponding authorities
4.4. 36. Co-operation with corresponding authorities
4.4. 37. Compliance with recommendations or orders made under corresponding laws
4.4. 38. Other powers or functions not affected

Division 8-Miscellaneous

4.4. 39. Jurisdiction of Supreme Court

CHAPTER 5-EXTERNAL INTERVENTION

PART 5.1-INTRODUCTION AND APPLICATION

5.1. 1. Purposes
5.1. 2. Definitions
5.1. 3. Application of Chapter to Australian-registered foreign lawyers
5.1. 4. Application of Chapter to other persons

PART 5.2-INITIATION OF EXTERNAL INTERVENTION

5.2. 1. Circumstances warranting external intervention
5.2. 2. Determination regarding external intervention

PART 5.3-SUPERVISORS OF TRUST MONEY

5.3. 1. Appointment of supervisor of trust money
5.3. 2. Notice of appointment
5.3. 3. Effect of service of notice of appointment
5.3. 4. Role of supervisor of trust money
5.3. 5. Powers of entry etc.
5.3. 6. Records of and dealing with trust money of law practice under supervision
5.3. 7. Termination of supervisor's appointment

PART 5.4-MANAGERS

5.4. 1. Appointment of manager
5.4. 2. Notice of appointment
5.4. 3. Effect of service of notice of appointment
5.4. 4. Role of manager
5.4. 5. Powers of entry etc.
5.4. 6. Records and accounts of law practice under management
and dealings with trust money
5.4. 7. Deceased estates
5.4. 8. Termination of manager's appointment

PART 5.5-RECEIVERS

5.5. 1. Appointment of receiver
5.5. 2. Notice of appointment
5.5. 3. Effect of service of notice of appointment
5.5. 4. Role of receiver
5.5. 5. Records and accounts of law practice under receivership
and dealings with trust money
5.5. 6. Power of receiver to take possession of regulated property
5.5. 7. Power of receiver to take delivery of regulated property
5.5. 8. Power of receiver to deal with regulated property
5.5. 9. Power of receiver to require documents or information
5.5. 10. Examinations
5.5. 11. Lien for costs on regulated property
5.5. 12. Regulated property not to be attached
5.5. 13. Receiver may recover money paid away in bets
5.5. 14. Recovery of regulated property where there has been a
breach of trust etc.
5.5. 15. Improperly destroying property etc.
5.5. 16. Deceased estates
5.5. 17. Termination of receiver's appointment by Supreme Court

PART 5.6-GENERAL

5.6. 1. Conditions on appointment of external intervener
5.6. 2. Status of acts of external intervener
5.6. 3. Eligibility for reappointment or authorisation
5.6. 4. Appeal against appointment
5.6. 5. Directions of Supreme Court
5.6. 5A. Manager and receiver appointed for law practice
5.6. 6. ADI disclosure requirements
5.6. 7. Fees, legal costs and expenses
5.6. 8. Reports by external intervener
5.6. 9. Confidentiality
5.6. 10. External intervener may be reimbursed for damages

CHAPTER 6-REGULATORY BODIES AND FUNDING

PART 6.1-INTRODUCTION AND OVERVIEW

6.1. 1. Purpose
6.1. 2. Simplified outline

PART 6.2-LEGAL SERVICES BOARD

Division 1-The Board

6.2. 1. Establishment
6.2. 2. Relationship to the Crown
6.2. 3. Objectives
6.2. 4. Functions and powers

Division 2-Membership

6.2. 5. Membership
6.2. 6. Chairperson and deputy chairperson
6.2. 7. Judge or former judge appointed as chairperson
6.2. 8. Elected members
6.2. 9. Appointed members
6.2. 10. Payment of members
6.2. 11. Acting appointments
6.2. 12. When does a member's office become vacant?
6.2. 13. Casual vacancies of elected members

Division 3-Performance of functions

6.2. 14. Meetings
6.2. 15. Conflicts of interest
6.2. 16. Resolutions without meetings
6.2. 17. Validity of acts or decisions
6.2. 18. Immunity
6.2. 19. Delegation
6.2. 20. Performance targets etc.
6.2. 21. Annual report
6.2. 22. Other reports

Division 4-The register

6.2. 23. Keeping the Register
6.2. 24. Requirement to notify the Board of change of information

PART 6.3-LEGAL SERVICES COMMISSIONER

Division 1-Establishment, objectives, functions and powers

6.3. 1. Establishment
6.3. 2. Objectives
6.3. 3. Functions and powers
6.3. 4. Relationship to Board

Division 2-Appointment, terms of office and removal

6.3. 5. Initial appointment of Commissioner
6.3. 6. Subsequent appointment of Commissioner
6.3. 7. Payment
6.3. 8. Acting Commissioner
6.3. 9. When does the Commissioner's office become vacant?
6.3. 10. Validity of acts and decisions
6.3. 11. Immunity
6.3. 12. Delegation
6.3. 13. Annual report
6.3. 14. Other reports
6.3. 15. Guidelines

PART 6.4-GENERAL PROVISIONS FOR THE BOARD AND THE COMMISSIONER

Division 1-Staffing

6.4. 1. Staff
6.4. 2. Consultants
6.4. 3. Mediators
6.4. 4. Immunity for mediators

Division 2-Confidentiality

6.4. 5. Confidentiality

PART 6.5-ADMISSION BODIES

Division 1-Council of Legal Education

6.5. 1. Composition of Council
6.5. 2. Functions
6.5. 3. Membership provisions
6.5. 4. Meetings
6.5. 5. Deputy for Attorney-General
6.5. 6. Staff and consultants
6.5. 7. Delegation
6.5. 8. Validity of acts or decisions

Division 2-Board of Examiners

6.5. 9. Composition of Board of Examiners
6.5. 10. Functions and powers
6.5. 11. Membership provisions
6.5. 12. Resignation and removal
6.5. 13. Chairperson
6.5. 14. Meetings
6.5. 15. Deputy for Attorney-General or Solicitor-General
6.5. 16. Other deputy members
6.5. 17. Staff and consultants
6.5. 18. Validity of acts or decisions

PART 6.6-LEGAL PRACTITIONERS' LIABILITY COMMITTEE

Division 1-Liability Committee

6.6. 1. Continuation of Committee
6.6. 2. Liability Committee not to represent the Crown
6.6. 3. Functions and powers
6.6. 4. Membership
6.6. 5. Qualifications for membership
6.6. 6. Payment of members
6.6. 7. Acting members
6.6. 8. Meetings
6.6. 9. Resolutions without meetings
6.6. 10. Validity of acts or decisions
6.6. 11. Conflicts of interest
6.6. 12. Staff and consultants
6.6. 13. Confidentiality
6.6. 14. Annual report

Division 2-Legal Practitioners' Liability Fund

6.6. 15. Requirement for Liability Fund
6.6. 16. Payments into Liability Fund
6.6. 17. Payments out of Liability Fund
6.6. 18. Investment of Fund
6.6. 19. Levies

PART 6.7-FUNDING

Division 1-Public Purpose Fund

6.7. 1. Public Purpose Fund
6.7. 2. Accounts in Public Purpose Fund
6.7. 3. General Account
6.7. 4. Statutory Deposit Account
6.7. 5. Distribution Account
6.7. 6. Expenses of the Board
6.7. 7. Expenses of the Commissioner
6.7. 8. Expenses of the Tribunal
6.7. 9. Legal aid funding
6.7. 10. Funding of law-related services and activities
6.7. 11. Board may take into account previous funding
6.7. 11A. Further legal aid funding
6.7. 12. Timing of payments and instalments
6.7. 13. Payments to Fidelity Fund
6.7. 14. Payments to professional associations for continuing legal education programs etc.

Division 2-Fidelity Fund

6.7. 15. Requirement for Fidelity Fund
6.7. 16. Purpose of Fidelity Fund
6.7. 17. Payments into the Fidelity Fund
6.7. 18. Payments out of the Fidelity Fund
6.7. 19. Solvency
6.7. 20. Payments to liquidators etc.
6.7. 21. Public Purpose Fund
6.7. 22. Insurance
6.7. 23. Borrowing

Division 3-Fidelity Fund contributions and levies

6.7. 24. Determination of contributor classes
6.7. 25. Determination of contributions
6.7. 26. Payment of contributions in respect of local practising certificates
6.7. 27. Payment of contributions by interstate legal practitioners
6.7. 28. Payment of contributions by community legal centres
6.7. 29. Payment of contributions by approved clerks
6.7. 30. Persons who are members of more than one class
6.7. 31. Determination of levy
6.7. 32. Who must pay a levy?
6.7. 33. When is a levy payable?
6.7. 34. Board may recover contribution or levy
6.7. 35. Employer must pay contribution or levy or reimburse employee

CHAPTER 7-GENERAL

PART 7.1-REGULATION OF CONVEYANCING BUSINESSES

7.1. 1. Definitions
7.1. 2. Employment or engagement in conveyancing business
7.1. 3. Authorisation of employment or engagement
7.1. 4. Unqualified persons must inform prospective employers
7.1. 5. Conveyancers must disclose insurance etc.
7.1. 6. Board may require information and documents from conveyancers

PART 7.2-GENERAL PROVISIONS

Division 1-Notices and evidentiary matters

7.2. 1. Service of notices on local legal practitioners, locally registered foreign lawyers and law practices
7.2. 2. Service on the Board and Commissioner
7.2. 3. Service of notices on other persons
7.2. 4. When is service effective?
7.2. 5. Evidentiary matters

Division 2-Investigation and prosecution of offences

7.2. 6. Board may appoint person to investigate
7.2. 7. Assistance with investigation
7.2. 8. Investigator must report on investigation
7.2. 9. Secrecy
7.2. 10. Who may prosecute offences?

Division 3-General

7.2. 11. Liability for negligence etc.
7.2. 12. Liability of principals
7.2. 13. Injunctions
7.2. 14. Disclosure of information by local regulatory authorities
7.2. 15. Confidentiality of personal information
7.2. 16. Destruction of documents

Division 4-Regulations

7.2. 17. Regulations

CHAPTER 8-REPEALS, AMENDMENTS AND
TRANSITIONAL PROVISIONS

PART 8.1-Repealed

8.1. 1-8.1.3 Repealed

PART 8.2-TRANSITIONAL PROVISIONS

8.2. 1. Transitional provisions
__________________
SCHEDULE 1-Legal Services Board Elections
1. Electoral rolls
2. Enrolment
3. Eligibility to stand and vote
4. Elections
5. Preferential voting for advocate member
5A. Exhaustive preferential voting for non-advocate members
6. Elections to fill casual vacancies
7. Arrangements with Victorian Electoral Commission
8. Regulations
SCHEDULE 2-Transitional Provisions

PART 1-INTRODUCTION
1.1. Definitions
1.2. General transitional provisions
1.3. Savings and transitional regulations

PART 2-LEGAL PRACTICE
2.1. Admission
2.2. Practising certificates
2.3. Unqualified practice
2.4. Incorporated legal practices
2.5. Practice rules

PART 3-RELATIONS WITH CLIENTS
3.1. Client information and legal costs
3.2. Repealed
3.3. Practitioner remuneration orders and Legal Costs Committee

PART 4-TRUST ACCOUNTS AND TRUST MONEY
4.1. Arrangements with ADIs
4.2. Approved clerks
4.3. Approved external examiners
4.4. Deficiencies in trust accounts
4.5. Investigations

PART 5-FIDELITY COVER
5.1. Contributions
5.2. Levies
5.3. Defaults and defalcations

PART 6-DISPUTES AND DISCIPLINE
6.1. Current disputes
6.2. Current complaints
6.3. Current investigations
6.4. Reviews outstanding under old Act
6.5. Tribunal hearings
6.6. Complaints and investigations under this Act of prior conduct

PART 7-EXTERNAL INTERVENTION
7.1. Receivers
7.2. Managers

PART 8-REGULATORY BODIES AND FUNDING

Division 1-Legal Profession Tribunal

8.1. Abolition of Legal Profession Tribunal
8.2. Legal Profession Tribunal members become members of
VCAT
8.3. Pending matters in the Legal Profession Tribunal
8.4. Part heard matters in the Legal Profession Tribunal
8.5. VCAT may make orders of a transitional nature
8.6. Orders and decisions of Legal Profession Tribunal

Division 2-Legal Practice Board

8.7. New Board succeeds old Board
8.8. Annual report

Division 3-Legal Ombudsman

8.9. Commissioner succeeds Legal Ombudsman
8.10. Annual report

Division 4-Legal Services Board

8.11. Initial membership

Division 5-RPAs

8.12. Disputed legal costs held by RPA
8.13. RPA to give records to Commissioner or new Board
8.14. Law Institute and Victorian Bar may be delegates or
prescribed investigatory bodies

Division 6-Council of Legal Education and Board of Examiners

8.15. Council of Legal Education
8.16. Board of Examiners

Division 7-Liability Committee

8.17. Liability Committee
8.18. Insurance terms and conditions and exemptions
8.19. Liability Fund

Division 8-Funding

8.20. Public Purpose Fund
8.21. Fidelity Fund
8.22. Legal Practice Fund
8.23. Payments to RPAs

PART 9-CONVEYANCERS

9.1. Conveyancers

PART 10-GENERAL

10.1. References to old Act
10.2. Time limits

PART 11-JUSTICE LEGISLATION (FURTHER
AMENDMENT) ACT 2006.

11.1. Law firms
11.2. Conditions on local practising certificates
11.3. Supervised legal practice

PART 12-LEGAL PROFESSION AMENDMENT ACT 2007.

12.1. Practising certificates

PART 13-LEGAL PROFESSION AMENDMENT
(EDUCATION) ACT 2007.

13.1. Council of Legal Education
13.2. Board of Examiners
13.3. Health assessments
---------------
ENDNOTES
1. General Information
2. Table of Amendments
3. Explanatory Details

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