New South Wales: Legal Profession Uniform Law (NSW)

Legal Profession Uniform Law (NSW) No 16a of 2014 Editorial note— The Legal Profession Uniform Law is applied as a law of NSW by the NSW Legal Profession Uniform Law Application Act 2014. This version is the Law as it applies in NSW Chapter 1 Preliminary Part 1.1 Introduction 1 Citation This Law may be cited as the Legal Profession Uniform Law (NSW). 2 Commencement This Law commences in a jurisdiction as provided by the Act of that jurisdiction that applies this Law as a law of that jurisdiction. 3 Objectives The objectives of this Law are to promote the administration of justice and an efficient and effective Australian legal profession, by— (a) providing and promoting interjurisdictional consistency in the law applying to the Australian legal profession; and (b) ensuring lawyers are competent and maintain high ethical and professional standards in the provision of legal services; and (c) enhancing the protection of clients of law practices and the protection of the public generally; and (d) empowering clients of law practices to make informed choices about the services they access and the costs involved; and (e) promoting regulation of the legal profession that is efficient, effective, targeted and proportionate; and (f) providing a co-regulatory framework within which an appropriate level of independence of the legal profession from the executive arm of government is maintained. 4 Extraterritorial operation of this Law The operation of this Law is, as far as possible, to include operation, according to its terms, in relation to the following— (a) things situated within or outside the territorial limits of this jurisdiction; (b) acts, transactions and matters done, entered into or occurring within or outside the territorial limits of this jurisdiction; (c) things, acts, transactions and matters (wherever situated, done, entered into or occurring) that would, apart from this Law, be governed or otherwise affected by the law of another jurisdiction. 5 Jurisdictional arrangements (1) The arrangements set out in this section have effect, and are to be observed, in relation to this Law. (2) The host jurisdiction for this Law is Victoria. (3) The host Attorney-General for this Law is the Attorney-General of Victoria. (4) The host jurisdiction for the Council and the Commissioner is New South Wales. (5) The host Attorney-General for the Council and the Commissioner is the Attorney-General of New South Wales. (6) The primary office of the Council and the primary office of the Commissioner are to be located in New South Wales. Part 1.2 Interpretation 6 Definitions (1) In this Law— ADI means an authorised deposit-taking institution within the meaning of the Banking Act 1959 of the Commonwealth; admission or admission to the Australian legal profession means— (a) admission by the Supreme Court of a participating jurisdiction as a lawyer (however expressed), whether before, on or after the commencement of this Law in that jurisdiction; or (b) admission by the Supreme Court of a non-participating jurisdiction as a lawyer, a legal practitioner, a barrister, a solicitor, a barrister and solicitor, or a solicitor and barrister, whether before, on or after the commencement of this Law in any jurisdiction, otherwise than by the grant or issue of a practising certificate. Without limiting the meaning of the terms admission or admission to the Australian legal profession, those terms include readmission; Admission Rules means the provisions of the Uniform Rules that are designated as Admission Rules (see section 420); Admissions Committee means the Admissions Committee established under section 402; affairs of a law practice includes the following— (a) all accounts and records required by or under this Law or the Uniform Rules to be maintained by the law practice or an associate or former associate of the law practice; (b) other records of the law practice or an associate or former associate of the law practice; (c) any transaction— (i) to which the law practice or an associate or former associate of the law practice was or is a party; or (ii) in which the law practice or an associate or former associate of the law practice has acted for a party; another jurisdiction means a jurisdiction other than this jurisdiction; another Supreme Court means the Supreme Court of another jurisdiction; APRA means the Australian Prudential Regulation Authority; ASIC means the Australian Securities and Investments Commission; ASIC Act means the Australian Securities and Investments Commission Act 2001 of the Commonwealth; associate of a law practice means a person who is one or more of the following— (a) a principal of the law practice; (b) a partner, director, officer, employee or agent of the law practice; (c) an Australian legal practitioner who is a consultant to the law practice; associated third party payer—see section 171; Australian Accounting Standards means the standards issued by the Australian Accounting Standards Board; Australian Bar Association means the association named The Australian Bar Association; Australian financial services licence has the same meaning as it has in Chapter 7 of the Corporations Act; Australian lawyer means a person admitted to the Australian legal profession in this jurisdiction or any other jurisdiction; Australian legal practitioner means an Australian lawyer who holds a current Australian practising certificate; Australian Legal Profession Register means the register referred to in section 432; Australian practising certificate means— (a) a practising certificate granted to an Australian lawyer under Part 3.3 of this Law as applied in a participating jurisdiction; or (b) a practising certificate granted to an Australian lawyer under a law of a non-participating jurisdiction entitling the lawyer to engage in legal practice; Australian-registered foreign lawyer means a person who holds a current Australian registration certificate; Australian registration certificate means— (a) a registration certificate granted to a foreign lawyer under Part 3.4 of this Law as applied in a participating jurisdiction; or (b) a registration certificate granted to a foreign lawyer, or a document acknowledging the registration of a foreign lawyer, under a law of a non-participating jurisdiction entitling the lawyer to practise foreign law; authorised ADI—see section 128; authorised principal means a principal who is authorised by his or her Australian practising certificate to supervise others; Note Section 47(6) provides that an Australian practising certificate authorises the holder to supervise legal practice by others, unless the certificate is subject to a condition requiring the holder to engage in supervised legal practice or a condition to the effect that the holder may not supervise legal practice by others. authorised representative has the same meaning as it has in Chapter 7 of the Corporations Act; automatic show cause event—see section 86; Bankruptcy Act means the Bankruptcy Act 1966 of the Commonwealth; bankruptcy-related event, in relation to a person, means— (a) his or her becoming bankrupt under the Bankruptcy Act (or the corresponding provisions of the law of a foreign country or external territory); or (b) his or her being served with notice of a creditor's petition presented to a court under section 43 of the Bankruptcy Act; or (c) his or her presentation (as a debtor) of a declaration to the Official Receiver under section 54A of the Bankruptcy Act 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 (d) his or her applying to take the benefit of any law (whether Australian or otherwise) 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; barrister means an Australian legal practitioner whose Australian practising certificate is subject to a condition that the holder is authorised to engage in legal practice as or in the manner of a barrister only; business day means a day that is not a Saturday, Sunday, public holiday, special holiday or bank holiday in the place in which any relevant act is to be or may be done; certificate (in Part 3.5)—see section 73; Chair of the Council—see clause 1 of Schedule 1; Chapter 5 functions means— (a) functions under Chapter 5; or (b) functions under another provision of this Law relating to Chapter 5; or (c) functions under the Uniform Rules relating to Chapter 5; civil penalty and civil penalty provision—see section 452; claim (in Part 4.5)—see section 219; client includes a person to whom or for whom legal services are provided; commercial or government client—see section 170; Commissioner means the person appointed to or acting in the office of the Commissioner for Uniform Legal Services Regulation established by Part 8.3; Commissioner of Police includes a person of equivalent status specified in jurisdictional legislation; community legal service means an organisation (whether incorporated or not) that— (a) holds itself out as— (i) a community legal service; or (ii) a community legal centre; or (iii) an Aboriginal and Torres Strait Islander Legal Service; whether or not it is a member of a State or Territory association of community legal centres, and whether or not it is accredited or certified by the National Association of Community Legal Centres; and (b) is established and operated on a not-for-profit basis; and (c) provides legal or legal-related services that— (i) are directed generally to people who are disadvantaged (including but not limited to being financially disadvantaged) in accessing the legal system or in protecting their legal rights; or (ii) are conducted in the public interest; complaint—see section 265; complaint investigation means an investigation of a complaint under section 282; compliance audit means an audit under section 256; compliance certificate means a certificate issued under section 19; Note Section 26(5) provides that, on a successful appeal against a refusal to issue a compliance certificate, the order of the Supreme Court may include a direction that the order has the same effect as a compliance certificate provided to the Court by the designated local regulatory authority. concerted interjurisdictional default—see section 219; conditional costs agreement—see section 181; conditions includes terms, limitations and restrictions; consumer matter—see section 269; Continuing Professional Development Rules means the provisions of the Uniform Rules that are designated as Continuing Professional Development Rules (see section 420); controlled money—see section 128; conviction includes a finding of guilt, or the acceptance of a guilty plea by the court, whether or not a conviction is recorded; corporate legal practitioner means an Australian legal practitioner who engages in legal practice only in the capacity of an in-house lawyer for his or her employer or a related entity, but does not include a government legal practitioner; Corporations Act means the Corporations Act 2001 of the Commonwealth; corresponding authority means— (a) a person or body having functions under a corresponding law; or (b) when used in the context of a person or body having functions under this Law in this jurisdiction—a person or body having corresponding functions under a corresponding law; corresponding law means— (a) a law of another jurisdiction that— (i) corresponds to the relevant provisions of this Law as applied in this jurisdiction; or (ii) is the principal legislation in the other jurisdiction for the regulation of the legal profession; or (iii) is declared by the Uniform Regulations to be a law within this definition; but (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 assessment means an assessment of legal costs under Part 4.3; costs assessor means— (a) a person appointed by a court, judicial officer or other official to have the responsibility of conducting costs assessments; or (b) a person or body designated by jurisdictional legislation to have that responsibility; costs dispute—see section 269; Council or Legal Services Council means the Legal Services Council established by Part 8.2; default (in Part 4.5)—see section 219; designated local regulatory authority means a person or body specified or described in a law of this jurisdiction for the purposes of a provision, or part of a provision, of this Law in which the term is used; designated local roll authority means a person or body specified or described in a law of this jurisdiction for the purposes of a provision, or part of a provision, of this Law in which the term is used; designated show cause event—see section 90; designated tribunal means— (a) a court or tribunal specified or described in a law of this jurisdiction for the purposes of a provision, or part of a provision, of this Law in which the term is used; or (b) a member or officer so specified or described of such a court or tribunal; disqualified entity means an entity that is disqualified under section 120; disqualified person means— (a) a person whose name has been removed from a Supreme Court roll and who has not subsequently been admitted or readmitted by the Supreme Court of any jurisdiction; or (b) a person who has been refused the grant or renewal of an Australian practising certificate and who has not been granted an Australian practising certificate at a later time; or (c) a person whose Australian practising certificate is suspended (for the period of the suspension); or (d) a person whose Australian practising certificate has been cancelled and who has not been granted an Australian practising certificate at a later time; or (e) a person who is the subject of a decision under section 94 that the person is not entitled to apply for a certificate for a specified period; or (f) a person who is disqualified under section 119; engage in legal practice includes practise law or provide legal services, but does not include engage in policy work (which, without limitation, includes developing and commenting on legal policy); entity includes— (a) an individual, an incorporated body and an unincorporated body or other organisation; and (b) in the case of a partnership— (i) the partnership as currently constituted from time to time; or (ii) the assignee or receiver of the partnership; exercise of a function includes, where the function is a duty, the performance of the duty; external examiner means a person appointed as such under Part 4.2; external intervener means a supervisor, manager or receiver under Chapter 6; external intervention means the appointment of, and the exercise of the functions of, a supervisor, manager or receiver under Chapter 6; external investigator means a person appointed as such under Part 4.2; fee, gain or reward includes any form of, and any expectation of, a fee, gain or reward; fidelity authority means an entity specified in jurisdictional legislation for the purposes of this definition; Note See clause 15 of Schedule 3 regarding the fidelity authority for a non-participating jurisdiction. fidelity fund—see sections 222 and 223; Note See clause 15 of Schedule 3 regarding the fidelity fund of a non-participating jurisdiction. financial service has the same meaning as it has in Chapter 7 of the Corporations Act; financial services business has the same meaning as it has in Chapter 7 of the Corporations Act; financial year means a year ending on 30 June; fixed costs legislative provision means a determination, scale, arrangement or other provision fixing the costs or maximum costs of any legal services that is made by or under the Uniform Rules or any other legislation; foreign country means— (a) a country other than Australia; or (b) a state, province or other part of a country other than Australia; foreign law means law of a foreign country; foreign lawyer means an individual who is properly registered or authorised to engage in legal practice in a foreign country by the foreign registration authority for the country; foreign lawyer associate of a law practice means an associate of the law practice who is an Australian-registered foreign lawyer; foreign registration authority means an entity in a foreign country having the function, conferred by the law of the foreign country, of registering or authorising persons to engage in legal practice in the foreign country; function includes a power, authority or duty, and without limitation includes jurisdiction in relation to a court; general trust account—see section 128; government authority includes a Minister, government department or public authority of the Commonwealth or of a jurisdiction, and includes a body or organisation (or a class of bodies or organisations) declared in the Uniform Rules to be within this definition; government lawyer means a person who engages in legal practice only— (a) as an officer or employee of a government authority; or (b) as the holder of a statutory office of the Commonwealth or of a jurisdiction; or (c) in another category specified in the Uniform Rules; government legal practitioner means a government lawyer who is an Australian legal practitioner; GST has the same meaning as it has in the A New Tax System (Goods and Services Tax) Act 1999 of the Commonwealth; home jurisdiction means— (a) in the case of an applicant for or the holder of an Australian practising certificate granted in a participating jurisdiction—the jurisdiction last notified under section 46 as applying in that or another participating jurisdiction; or (b) in the case of an applicant for or the holder of an Australian registration certificate granted in a participating jurisdiction—the jurisdiction last notified under section 63 as applying in that or another participating jurisdiction; or (c) in the case of the holder of an Australian practising certificate or Australian registration certificate granted in a non-participating jurisdiction—see Schedule 3; or (d) in the case of an associate of a law practice who is neither an Australian legal practitioner nor an Australian-registered foreign lawyer— (i) where only one jurisdiction is the home jurisdiction for the only legal practitioner associate of the law practice or for all the legal practitioner associates of the law practice—that jurisdiction; or (ii) where no single jurisdiction is the home jurisdiction for all the legal practitioner associates of the law practice— (A) the jurisdiction in which the office is situated at which the associate performs most of his or her duties for the law practice; or (B) if a jurisdiction cannot be determined under sub-subparagraph (A)—the jurisdiction in which the associate is enrolled under a law of the jurisdiction to vote at Australian government elections for the jurisdiction; or (C) if a jurisdiction cannot be determined under sub-subparagraph (A) or (B)—the jurisdiction of the associate's place of residence in Australia or (if he or she does not have a place of residence in Australia) the jurisdiction of his or her last place of residence in Australia; or (e) in any other case—the jurisdiction determined in accordance with the Uniform Rules; host—see section 5; incorporated legal practice means a corporation that satisfies the following criteria— (a) it is— (i) a company within the meaning of the Corporations Act; or (ii) a corporation, or a corporation of a kind, approved by the Council under section 114 or specified in the Uniform Rules for the purposes of this definition; (b) it has given notice under section 104 that it intends to engage in legal practice in Australia and that notice is still operative; (c) the legal services it provides or proposes to provide are not limited to either or both of the following services— (i) in-house legal services for the corporation or a related entity; (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; Note The Uniform Rules under section 10(3) may provide that certain entities are exempt from the operation of section 10(1), which provides that an entity must not engage in legal practice in this jurisdiction unless it is a qualified entity. (d) it is not excluded by the Uniform Rules from being an incorporated legal practice— but does not include a community legal service; independent entity means an independent statutory body (not being a professional association) or an independent statutory office holder; indexed means indexed in accordance with section 471; insolvent under administration has the same meaning as it has in the Corporations Act; Intergovernmental Agreement means the Bilateral Agreement on the Legal Profession Uniform Framework between New South Wales and Victoria dated 5 December 2013, and any successor agreement, as respectively in force from time to time; investigator (in Chapter 7)—see section 368; jurisdiction means a State of the Commonwealth, the Australian Capital Territory or the Northern Territory of Australia; jurisdictional legislation means legislation of a jurisdiction; Law Council of Australia means Law Council of Australia Limited; 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 practice means— (a) a sole practitioner; or (b) a law firm; or (c) a community legal service; or (d) an incorporated legal practice; or (e) an unincorporated legal practice; lawyer— (a) in Part 4.5—see section 219; and (b) when used alone in Chapter 5, Chapter 7, section 461 or Schedule 3—see section 261, section 369, section 461(3) or clause 1 of Schedule 3, respectively; lay associate of a law practice means a person who is not an Australian legal practitioner and who is— (a) an associate of the law practice; or (b) a consultant to the law practice (however described) who provides services related to legal services to the law practice, other than services of a kind specified in the Uniform Rules for the purposes of this definition; or (c) a person who shares the receipts, revenue or other income arising from the law practice; legal costs means— (a) 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; or (b) without limitation, amounts that a person has been or may be charged, or is or may become liable to pay, as a third party payer in respect of the provision of legal services by a law practice to another person— including disbursements but not including interest; Legal Practice Rules means the provisions of the Uniform Rules that are designated as Legal Practice Rules (see section 420); legal practitioner associate of a law practice means an associate of the law practice who is an Australian legal practitioner; Legal Profession Conduct Rules means the provisions of the Uniform Rules designated as Legal Profession Conduct Rules (see section 420); Legal Profession Uniform Law Act of a jurisdiction means the Act of that jurisdiction that applies this Law (whether with or without modification) as a law of that jurisdiction; Note It is intended that the Intergovernmental Agreement will provide for permissible modifications of the Uniform Law. legal services means work done, or business transacted, in the ordinary course of legal practice; litigious matter means a matter that involves, or is likely to involve, the issue of proceedings in a court or tribunal; Note A matter is a litigious matter when proceedings are initiated or at any stage when proceedings are reasonably likely. local legal profession register means the register (if any) maintained under jurisdictional legislation of this jurisdiction (see section 434); local regulations means regulations made under the Legal Profession Uniform Law Act of this jurisdiction; local regulatory authority, in the context of a reference to "a local regulatory authority" or "local regulatory authorities" in a provision of this Law, means any designated local regulatory authority; managed investment scheme has the same meaning as it has in the Corporations Act; management system direction means a direction under section 257; member includes an acting member; member of the staff of the Council, the Commissioner or a local regulatory authority means a person employed, engaged or assigned to provide assistance in the exercise of the respective functions of the Council, Commissioner or authority; modifications includes modifications by way of alteration, omission, addition or substitution; mortgage means an instrument or proposed instrument under which an interest in real property is charged, encumbered or transferred as security for the payment or repayment of money; mortgage financing means facilitating a loan secured or intended to be secured by mortgage by— (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 or preparing an instrument for the loan; non-associated third party payer—see section 171; non-participating jurisdiction means a jurisdiction that is not a participating jurisdiction; obstruct includes hinder, delay, resist and attempt to obstruct; officer of a law practice includes a principal of the law practice; operational term of the Council—see section 395; Parliament of a jurisdiction includes, in the case of the Australian Capital Territory or the Northern Territory of Australia, the Legislative Assembly of the Territory; participating jurisdiction means— (a) a jurisdiction in which this Law applies as a law of the jurisdiction and on behalf of which the Intergovernmental Agreement has been signed; or (b) a jurisdiction in respect of which the Standing Committee decides that a law of the jurisdiction substantially corresponds to the provisions of this Law; partnership includes a limited partnership; pecuniary loss (in Part 4.5)—see section 219; penalty unit means an amount equal to the value of a penalty unit under an Act of Victoria for an offence, and has that meaning in a provision of this Law regardless of whether the provision gives rise to a criminal offence or is a civil penalty provision; Note The meaning of penalty units for offences in Victorian Acts is contained in section 110 of the Sentencing Act 1991 of Victoria. The value of a penalty unit for a financial year is fixed by the Victorian Treasurer under the Monetary Units Act 2004 of Victoria. permanent form, in relation to a trust record—see section 128; power, in relation to trust money, includes an authority; practical legal training means either or both of the following— (a) legal training by participation in course work; (b) supervised legal training, whether involving articles of clerkship or otherwise; principal of a law practice is an Australian legal practitioner who— (a) in the case of a sole practitioner—is the sole practitioner; or (b) in the case of a law firm—is a partner in the firm; or (c) in the case of a community legal service—is a supervising legal practitioner of the service referred to in section 117; or (d) in the case of an incorporated legal practice or an unincorporated legal practice— (i) holds an Australian practising certificate authorising the holder to engage in legal practice as a principal of a law practice; and (ii) is— (A) if the law practice is a company within the meaning of the Corporations Act—a validly appointed director of the company; or (B) if the law practice is a partnership—a partner in the partnership; or (C) if the law practice is neither—in a relationship with the law practice that is of a kind approved by the Council under section 40 or specified in the Uniform Rules for the purposes of this definition; pro bono basis—see section 8; professional association means an entity whose membership consists principally of Australian legal practitioners and whose principal functions include representing or assisting Australian legal practitioners; professional misconduct—see section 297; professional obligations includes— (a) duties to the Supreme Courts; and (b) obligations in connection with conflicts of interest; and (c) duties to clients, including disclosure; and (d) ethical standards required to be observed— that do not otherwise arise under this Law or the Uniform Rules; qualified entity means— (a) an Australian legal practitioner; or (b) a law practice; or (c) either— (i) an Australian-registered foreign lawyer; or (ii) a foreign lawyer who is not an Australian-registered foreign lawyer but only to the extent that the foreign lawyer's legal practice is limited to the practice of foreign law and is carried out in accordance with the applicable requirements of Part 3.4; or (d) an individual engaged in legal practice under the authority of a law of the Commonwealth or of a jurisdiction, other than this Law or the Uniform Rules; or (e) an entity engaged in legal practice of a kind specified in the Uniform Rules for the purposes of this definition, but only while the entity engages in the legal practice in accordance with any applicable requirements of the Uniform Rules; quashing of a conviction for an offence includes 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— but does not include the quashing of a conviction where a finding of guilt or the acceptance of a guilty plea remains unaffected in relation to the offence; regulated property, in relation to a law practice, means the following— (a) trust money or trust property received, receivable or held by the law practice; (b) interest, dividends or other income or anything else derived from or acquired with money or property referred to in paragraph (a); (c) documents or records of any description relating to anything referred to in paragraph (a) or (b); (d) any computer hardware or software, or other device, in the custody or control of the law practice or an associate of the law practice by which any documents or records referred to in paragraph (c) may be produced or reproduced in visible form; (e) client files; related entity, in relation to a person, means— (a) if the person is a company within the meaning of the Corporations Act—a related body corporate within the meaning of section 50 of that Act; or (b) if the person is not a company within the meaning of that Act—a person specified or described in the Uniform Rules for the purposes of this definition; respondent means the lawyer (within the meaning it has when used alone in Chapter 5) who, or the law practice that, is the subject of a complaint; serious offence means an offence that is— (a) an indictable offence against a law of the Commonwealth, a State or a Territory (whether or not the offence is or may be dealt with summarily); or (b) an offence against a law of a foreign country that would be an indictable offence against a law of the Commonwealth, a State or a Territory if committed in Australia (whether or not the offence could be dealt with summarily if committed in Australia); sole practitioner means an Australian legal practitioner who engages in legal practice on his or her own account; solicitor means an Australian legal practitioner whose Australian practising certificate is not subject to a condition that the holder is authorised to engage in legal practice as or in the manner of a barrister only; staff—see the definition of member of the staff; Standing Committee means the Attorneys-General of the participating jurisdictions; supervised legal practice means legal practice by a person who is an Australian legal practitioner— (a) as an employee of, or other person working under supervision in, a law practice, where— (i) at least one legal practitioner associate of the law practice is an authorised principal; and (ii) the person engages in legal practice under the supervision of an authorised principal referred to in subparagraph (i); or (b) as a principal of a law practice (other than a community legal service), where the person engages in legal practice under the supervision of an authorised principal of the law practice; or (c) as a corporate legal practitioner or government legal practitioner, where the person engages in legal practice under the supervision of a person who holds, or is eligible to hold but is exempted from holding, an Australian practising certificate authorising the holder to supervise legal practice by others; or (d) in a capacity or in circumstances specified in the Uniform Rules for the purposes of this definition; supervising legal practitioner, in relation to a community legal service, means an Australian legal practitioner who is designated under section 117 as a supervising legal practitioner for the service; Supreme Court means— (a) the Supreme Court of this jurisdiction; but (b) so far as the term is used in the context of (or that includes or implies the inclusion of) another jurisdiction (for example, by the words "a Supreme Court")—the Supreme Court of the other jurisdiction; Note See also subsection (4). Supreme Court roll means— (a) the roll of Australian lawyers maintained by the Supreme Court; but (b) so far as the term is used in the context of (or that includes or implies the inclusion of) another jurisdiction (for example, by the words "a Supreme Court roll"), it means a roll of Australian lawyers maintained by the Supreme Court of the other jurisdiction; tax offence means any offence under the Taxation Administration Act 1953 of the Commonwealth; third party payer—see section 171; transit money—see section 128; tribunal includes a panel or person authorised to hear or determine a matter; trust account—see section 128; trust money—see section 129; trust property—see section 128; trust records—see section 128; trust records examination means an external examination of trust records under Division 3 of Part 4.2; trust records investigation means an external investigation of trust records under Division 4 of Part 4.2; Uniform Regulations means the Legal Profession Uniform Regulations made under Part 9.1; Uniform Rules means the Legal Profession Uniform Rules made under Part 9.2; unincorporated legal practice means an unincorporated body or group that satisfies the following criteria— (a) it is— (i) a partnership; or (ii) an unincorporated body or group, or an unincorporated body or group of a kind, approved by the Council under section 114 or specified in the Uniform Rules for the purposes of this definition; (b) it has given notice under section 104 that it intends to engage in legal practice in Australia and that notice is still operative; (c) the legal services it provides or proposes to provide are not limited to either or both of the following services— (i) in-house legal services for the unincorporated body or group; (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; (d) it is not excluded by the Uniform Rules from being an unincorporated legal practice— but does not include— (e) a law firm; or (f) a community legal service; or (g) an incorporated legal practice; unsatisfactory professional conduct—see section 296; uplift fee means additional legal costs (excluding disbursements) payable under a costs agreement on the successful outcome of the matter to which the agreement relates; vary includes, in relation to an Australian practising certificate or an Australian registration certificate, impose a condition on the certificate and alter or revoke a condition (other than a statutory condition) already imposed on the certificate. Note For the term this jurisdiction, see the Legal Profession Uniform Law Act of each participating jurisdiction. (2) In this Law, a reference to this Law (or to a provision of this Law) is a reference to this Law (or a provision of this Law) as applied in this jurisdiction, except as expressly provided otherwise and except where the context or subject matter otherwise indicates or requires. (3) In this Law, a reference to this Law as applied in a participating jurisdiction (or to a provision of this Law as applied in a participating jurisdiction), is a reference to— (a) this Law (or a provision of this Law) as applied by the Legal Profession Uniform Law Act of that jurisdiction; or (b) a law (or corresponding provision of a law) of that jurisdiction that the Standing Committee decides is a law that substantially corresponds to the provisions of this Law (see section 392(2)). (4) In this Law, a reference to the Supreme Court of a jurisdiction (whether express or implied) is a reference— (a) to that Supreme Court as constituted in accordance with the law of that jurisdiction, including (where applicable) a provision of the Legal Profession Uniform Law Act of that jurisdiction; or (b) if the law of that jurisdiction, including (where applicable) a provision of the Legal Profession Uniform Law Act of that jurisdiction, provides for a particular function of that Supreme Court to be exercised by a member, part or official of that Supreme Court—to that member, part or official exercising that function. (5) In this Law, a reference to an Australian practising certificate or Australian registration certificate "granted" in a jurisdiction is a reference to a certificate granted, issued or renewed under a law in force in the jurisdiction. (6) Notes included in this Law (including footnotes and endnotes) are part of this Law. 7 Interpretation generally (1) The Interpretation of Legislation Act 1984 of Victoria applies to the interpretation of this Law, the Uniform Regulations and the Uniform Rules in the same way as it applies to the interpretation of legislation and statutory instruments of Victoria. (2) Definitions, words and other expressions have in the Uniform Regulations or part of the Uniform Regulations the same meanings as they have in this Law or the relevant part of this Law, unless a contrary intention appears in this Law or the Uniform Regulations. (3) Definitions, words and other expressions have in the Uniform Rules or part of the Uniform Rules the same meanings as they have in this Law or the relevant part of this Law, unless a contrary intention appears in this Law or the Uniform Rules. 8 Meaning of pro bono basis For the purposes of this Law, an Australian legal practitioner provides legal services on a pro bono basis where— (a) the practitioner, without fee, gain or reward or at a reduced fee, advises or represents a client in cases where— (i) the client would not otherwise have access to legal services; or (ii) the client's case raises a wider issue of public interest; or (b) the practitioner is involved in free community legal education or law reform; or (c) the practitioner is involved in the giving of free legal advice or representation to charitable and community organisations. Chapter 2 Threshold requirements for legal practice Part 2.1 Unqualified legal practice 9 Objectives The objectives of this Part are— (a) to ensure, in the interests of the administration of justice, that legal work is carried out only by those who are properly qualified to do so; and (b) to protect clients of law practices by ensuring that persons carrying out legal work are entitled to do so. 10 Prohibition on engaging in legal practice by unqualified entities (1) An entity must not engage in legal practice in this jurisdiction, unless it is a qualified entity. Penalty: 250 penalty units or imprisonment for 2 years, or both. (2) An entity is not entitled to recover any amount, and must repay any amount received, in respect of anything the entity did in contravention of subsection (1). Any amount so received may be recovered as a debt by the person who paid it. (3) Subsection (1) does not apply to an entity or class of entities declared by the Uniform Rules to be exempt from the operation of subsection (1), but only to the extent (if any) specified in the declaration. 11 Prohibition on advertisements or representations by or about unqualified entities (1) An entity must not advertise or represent, or do anything that states or implies, that it is entitled to engage in legal practice, unless it is a qualified entity. Penalty: 250 penalty units. (2) A director, partner, officer, employee or agent of an entity must not advertise or represent, or do anything that states or implies, that the entity is entitled to engage in legal practice, unless the entity is a qualified entity. Penalty: 50 penalty units. 12 Entitlement of certain persons to use certain titles, and presumptions with respect to other persons (1) Titles This section applies to the following titles— (a) lawyer, legal practitioner, barrister, solicitor, attorney, counsel or proctor; (b) Senior Counsel, Queen's Counsel, King's Counsel, Her Majesty's Counsel or His Majesty's Counsel; (c) any other title specified in the Uniform Rules for the purposes of this section. (2) Entitlement to take or use title A person is entitled by force of this section to take or use a title to which this section applies if— (a) the person is of a class authorised by the Uniform Rules for the purposes of this section to take or use that title; and (b) where the Uniform Rules so provide—the person does so in circumstances, or in accordance with restrictions, specified in the Uniform Rules for the purposes of this section. (3) Presumption of representation of entitlement of person The taking or use of a title to which this section applies by a person gives rise to a rebuttable presumption (for the purposes of section 11(1)) that the person represented that he or she is entitled to engage in legal practice. (4) Presumption of representation of entitlement of entity The taking or use of a title to which this section applies by a person in connection with an entity, of which the person is a partner, director, officer, employee or agent, gives rise to a rebuttable presumption (for the purposes of section 11(2)) that the person represented that the entity is entitled to engage in legal practice. 13 Protection of lay associates A lay associate of a law practice does not contravene a provision of this Law or the Uniform Rules merely because of any of the following— (a) he or she receives any fee, gain or reward for business of the law practice that is the business of an Australian legal practitioner; (b) he or she holds out, advertises or represents himself or herself as a lay associate of the law practice where its business includes the provision of legal services; (c) he or she shares with any other person the receipts, revenue or other income of the law practice where its business is the business of an Australian legal practitioner— unless the provision expressly applies to lay associates of law practices. 14 Functions of local regulatory authority with respect to offence The designated local regulatory authority may— (a) take any steps that in its opinion may be necessary or proper for or with respect to the investigation of any question as to conduct by any entity (whether or not an Australian lawyer) that is, or may be, a contravention of a provision of this Part; and (b) institute prosecutions and other proceedings for the contravention of a provision of this Part by any entity (whether or not an Australian lawyer). Part 2.2 Admission to the Australian legal profession Division 1 Introduction 15 Objective The objective of this Part is to protect the administration of justice and the clients of law practices by providing a system under which persons are eligible for admission to the Australian legal profession only if— (a) they have appropriate academic qualifications and practical legal training, whether obtained in Australia or elsewhere; and (b) they are fit and proper persons to be admitted. Notes 1 Admission does not of itself entitle a person to engage in legal practice, but is a prerequisite for being able to apply in this jurisdiction for an Australian practising certificate, which entitles the holder to engage in legal practice. 2 The admission of New Zealand lawyers is effected by the operation of the Trans-Tasman Mutual Recognition Act 1997 of the Commonwealth. Division 2 Admission 16 Admission (1) The Supreme Court of this jurisdiction may admit an individual aged 18 years or over to the Australian legal profession as an Australian lawyer, but only if— (a) the designated local regulatory authority has provided the Supreme Court with a compliance certificate in respect of the person and the certificate is still in force; and (b) the person is not already admitted to the Australian legal profession; and (c) the person takes an oath of office, or makes an affirmation of office, in the form required by the Supreme Court. (2) Residence in, or any other connection with, this jurisdiction is not a requirement for admission by the Supreme Court. Note A person may seek admission by the Supreme Court of any participating jurisdiction, subject to compliance with this Law and applicable jurisdictional legislation. (3) Any person may, in accordance with any applicable rules of court, object to the Supreme Court to the admission of a particular person. (4) Nothing in this section is intended to interfere with the inherent jurisdiction of the Supreme Court to refuse admission. 17 Prerequisites for compliance certificates (1) The prerequisites for the issue of a compliance certificate in respect of a person are that he or she— (a) has attained the academic qualifications specified under the Admission Rules for the purposes of this section (the specified academic qualifications prerequisite); and (b) has satisfactorily completed the practical legal training requirements specified in the Admission Rules for the purposes of this section (the specified practical legal training prerequisite); and (c) is a fit and proper person to be admitted to the Australian legal profession. (2) In considering whether a person is a fit and proper person to be admitted to the Australian legal profession— (a) the designated local regulatory authority may have regard to any matter relevant to the person's eligibility or suitability for admission, however the matter comes to its attention; and (b) the designated local regulatory authority must have regard to the matters specified in the Admission Rules for the purposes of this section. 18 Exemption from certain prerequisites (1) The designated local regulatory authority may exempt a person from satisfying the specified academic qualifications prerequisite or the specified practical legal training prerequisite or both, if the designated local regulatory authority is satisfied that the person has sufficient legal skills or relevant experience so as to render the person eligible for admission. (2) The legal skills or relevant experience or both can be obtained in legal practice, in service with a government authority or in another way considered appropriate by the designated local regulatory authority. They can be obtained wholly in Australia or overseas or obtained partly in Australia and partly overseas. 19 Compliance certificates (1) A person may apply, in accordance with the Admission Rules, to the designated local regulatory authority for a compliance certificate if the person proposes to be admitted in this jurisdiction. Note Section 474(2) contemplates that jurisdictional legislation may fix fees for payment in relation to any function of the Supreme Court, the designated tribunal or a local regulatory authority under this Law or the Uniform Rules. This could, for example, extend to processing an application for a compliance certificate. (2) The designated local regulatory authority may require an applicant for a compliance certificate to provide further information to it within a specified time. (3) The designated local regulatory authority may issue and provide to the Supreme Court a compliance certificate stating that the applicant has satisfied it that he or she— (a) has satisfied the specified academic qualifications prerequisite and the specified practical legal training prerequisite (or is exempted under section 18); and (b) is a fit and proper person to be admitted to the Australian legal profession (as referred to in section 17(1)(c)). (4) The designated local regulatory authority may revoke a compliance certificate issued in respect of a person if satisfied that the certificate was issued on the basis of information provided by the person that was false, misleading or incomplete in a material particular or that the certificate was issued in error. The designated local regulatory authority must notify the person of the revocation of the compliance certificate. (5) However, revocation of a compliance certificate under this section does not of itself affect the person's admission if he or she is already admitted. (6) The designated local regulatory authority must ensure that notice is given, in accordance with the Admission Rules, on an appropriate website of an application for admission. (7) Any person may object to the designated local regulatory authority against the issue by it of a compliance certificate to a particular person. (8) The designated local regulatory authority is not to issue a compliance certificate until after it— (a) has given notice under subsection (6) of the application; and (b) has afforded a reasonable opportunity for persons to object to the issue of the certificate; and (c) has— (i) given the applicant a copy of each objection that is received within a reasonable period and that the designated local regulatory authority considers affects the applicant's eligibility or suitability for admission; and (ii) afforded the applicant an opportunity to respond to each objection referred to in subparagraph (i) within a reasonable period specified by the designated local regulatory authority and notified to the applicant; and (d) has considered all objections received within a reasonable period as contemplated by paragraph (b) and all responses received from the applicant within the specified period as contemplated by paragraph (c). (9) Failure to give notice under subsection (6), or to give notice in accordance with the Admission Rules, does not affect the validity of the applicant's admission. 20 Conditional admission of foreign lawyers (1) The designated local regulatory authority may recommend in a compliance certificate in respect of a foreign lawyer that the foreign lawyer be admitted subject to conditions of one or more of the following kinds— (a) a condition limiting the period of the foreign lawyer's admission; (b) a condition requiring the foreign lawyer to undertake particular academic or practical legal training or both; (c) a condition requiring the foreign lawyer to engage in supervised legal practice; (d) a condition limiting the area of law in which the foreign lawyer may engage in legal practice; (e) a condition otherwise restricting the foreign lawyer's practising entitlements. (2) The admission of a foreign lawyer is subject to the conditions (if any) recommended by the designated local regulatory authority in the compliance certificate. (3) The Supreme Court may, after the admission of a foreign lawyer, vary or revoke a condition to which the foreign lawyer's admission by the Court is subject. The designated local regulatory authority may make recommendations about the variation or revocation of a condition, and the Court must consider any recommendations made by the designated local regulatory authority in deciding on the variation or revocation of the condition. (4) Without limiting the grounds on which a person's name may be removed from the Supreme Court roll, the Supreme Court may order the removal of a person's name from the Supreme Court roll for a contravention of a condition. (5) Without limiting subsection (4), a contravention of a condition is capable of constituting unsatisfactory professional conduct or professional misconduct. Note Section 48(1) provides that it is a statutory condition of an Australian practising certificate granted in this jurisdiction that the holder must not contravene a condition that was imposed on the admission of the person to the Australian legal profession and that is still in force. (6) Nothing in this section is intended to interfere with the inherent jurisdiction of the Supreme Court to refuse admission. 21 Declaration of early assessment of suitability for a compliance certificate (1) A person may apply to the designated local regulatory authority for a declaration that matters disclosed by the person will not, without more, adversely affect an assessment by it as to whether the person is a fit and proper person to be admitted. (2) The designated local regulatory authority may make the declaration applied for in relation to any or all of the matters disclosed and specified in the declaration or may refuse to do so. (3) A declaration made under this section is binding on the designated local regulatory authority unless the applicant failed to make a full and fair disclosure of all matters relevant to the declaration sought. 22 Supreme Court roll (1) The Supreme Court must maintain a roll of Australian lawyers (the Supreme Court roll) for this jurisdiction containing the names and other relevant particulars of persons admitted by the Court, whether conditionally or without conditions. (2) A person's admission is effective from the time the person signs the Supreme Court roll. 23 Removal from Supreme Court roll (1) The Supreme Court may order the removal of the name and other particulars of a person from the Supreme Court roll, on— (a) its own motion; or (b) the recommendation of the designated local regulatory authority; or (c) the recommendation of the designated tribunal. (2) The designated local roll authority must remove a person's name from the Supreme Court roll (the relevant roll) if satisfied that the person's name has been removed from the Supreme Court roll for another jurisdiction (the other roll) and no order referred to in subsection (3) is, at the time of that removal, in force in relation to it. (3) The Supreme Court may, on application by a person who reasonably expects that his or her name will be removed from the other roll, order that his or her name not be removed from the relevant roll under subsection (2), if the Supreme Court is satisfied that— (a) the person's name is likely to be removed from the other roll; and (b) the reason for the removal of the name will not involve disciplinary action or the possibility of disciplinary action— or may refuse to make an order. (4) An order under subsection (3) may be made subject to any conditions the Supreme Court considers appropriate and remains in force for the period specified in it. (5) The Supreme Court may revoke an order made under subsection (3), and subsection (2) then applies as if the person's name were removed from the other roll when the revocation takes effect. (6) The designated local roll authority— (a) may, but need not, give the person notice of the date on which the authority proposes to remove the name from the relevant roll; and (b) must, as soon as practicable, give the person notice of the removal of the name from the relevant roll, unless notice of the date of the proposed removal was previously given. (7) The person's name is, on his or her application to the designated local roll authority or on the designated local roll authority's own initiative, to be restored to the relevant roll if the name is restored to the other roll. (8) Nothing in this section prevents a person whose name is removed from the relevant roll from afterwards applying for admission under this Part. Notes 1 Section 461(2) contains additional provisions relating to the removal of a person's name from the Supreme Court roll. 2 Removal of a person's name from a Supreme Court roll results in the person becoming a disqualified person. 24 Notice to be given of interjurisdictional action (1) A person whose name is on the Supreme Court roll for this jurisdiction and whose name has been removed from the Supreme Court roll for another jurisdiction must, as soon as practicable, give the designated local roll authority a written notice of the removal. Civil penalty: 50 penalty units. (2) If an authority or tribunal has, under a corresponding law, made a recommendation that a person's name be removed from the Supreme Court roll for this jurisdiction, the person must, as soon as practicable, give the designated local roll authority a written notice of the recommendation. Civil penalty: 50 penalty units. Note See section 80 for the requirement for the holder of an Australian practising certificate granted in this jurisdiction to give a separate notice to a designated local regulatory authority if the holder's name is removed from the Supreme Court roll for another jurisdiction. 25 Australian lawyer is officer of Supreme Court An Australian lawyer is an officer of the Supreme Court of this jurisdiction for as long as his or her name remains on the Supreme Court roll for any jurisdiction. Division 3 Appeals 26 Right of appeal about compliance certificates (1) An applicant for a compliance certificate may appeal to the Supreme Court against the refusal of the designated local regulatory authority to issue a compliance certificate. (2) A person for whom a compliance certificate has been issued by the designated local regulatory authority may appeal to the Supreme Court against the revocation of the compliance certificate. (3) A foreign lawyer for whom a compliance certificate has been issued by the designated local regulatory authority recommending that the foreign lawyer be admitted subject to any conditions referred to in section 20(1) may appeal to the Supreme Court against the recommendation. (4) The Supreme Court may make any order it considers appropriate on an appeal under this section. (5) If the Supreme Court decides that an appeal under subsection (1) should be granted, the order may include a direction that the order has the same effect as a compliance certificate provided to the Court by the designated local regulatory authority. 27 Right of appeal about early assessment of suitability for a compliance certificate (1) An applicant for a declaration of early assessment of suitability for a compliance certificate may appeal to the Supreme Court against the refusal of the designated local regulatory authority to make the declaration. (2) The Supreme Court may make any order it considers appropriate on the appeal, including without limitation a declaration of early assessment of suitability for a compliance certificate. (3) A declaration made under this section is binding on the designated local regulatory authority unless the applicant failed to make a full and fair disclosure of all matters relevant to the declaration sought. 28 Provisions relating to appeals (1) An appeal under this Division is to be by way of a rehearing, and fresh evidence or evidence in addition to or in substitution for the evidence before the designated local regulatory authority may be given on the appeal. (2) On an appeal under this Division, the Supreme Court may make an order as to costs as it thinks fit, other than an order against the designated local regulatory authority in favour of an applicant where the appeal was n