Western Australia: Legal Profession Uniform Law (WA)

Western Australia Legal Profession Uniform Law (WA) The Legal Profession Uniform Law (as enacted by the Legal Profession Uniform Law Application Act 2014 (Victoria) Schedule 1) is applied and modified as a law of Western Australia by or under the Legal Profession Uniform Law Application Act 2022 (the WA Application Act). Provisions in Victorian Acts that amend the Legal Profession Uniform Law (the Law) also amend the Law as it applies in Western Australia where those amendments have effect and have commenced in Western Australia under sections 9 and 10 of the WA Application Act. This version is the Law as it applies in Western Australia (as modified and amended) as at the date specified below. It may be cited as the Legal Profession Uniform Law (WA). Western Australia Legal Profession Uniform Law (WA) Contents Chapter 1—Preliminary Part 1.1—Introduction 1 Citation 1 2 Commencement 1 3 Objectives 1 4 Extraterritorial operation of this Law 1 5 Jurisdictional arrangements 1 Part 1.2—Interpretation 6 Definitions 1 7 Interpretation generally 1 8 Meaning of pro bono basis 1 Chapter 2—Threshold requirements for legal practice Part 2.1—Unqualified legal practice 9 Objectives 1 10 Prohibition on engaging in legal practice by unqualified entities 1 11 Prohibition on advertisements or representations by or about unqualified entities 1 12 Entitlement of certain persons to use certain titles, and presumptions with respect to other persons 1 13 Protection of lay associates 1 14 Functions of local regulatory authority with respect to offence 1 Part 2.2—Admission to the Australian legal profession Division 1—Introduction 15 Objective 1 Division 2—Admission 16 Admission 1 17 Prerequisites for compliance certificates 1 18 Exemption from certain prerequisites 1 19 Compliance certificates 1 20 Conditional admission of foreign lawyers 1 21 Declaration of early assessment of suitability for a compliance certificate 1 22 Supreme Court roll 1 23 Removal from Supreme Court roll 1 24 Notice to be given of interjurisdictional action 1 25 Australian lawyer is officer of Supreme Court 1 Division 3—Appeals 26 Right of appeal about compliance certificates 1 27 Right of appeal about early assessment of suitability for a compliance certificate 1 28 Provisions relating to appeals 1 Division 4—Miscellaneous 29 Accreditation of law courses and providers of practical legal training 1 Chapter 3—Legal practice Part 3.1—Introduction 30 Objectives 1 31 Action in relation to certificates is taken locally 1 Part 3.2—Law practices—general provisions 32 Business structures 1 33 Obligations not affected by nature of business structures 1 34 Responsibilities of principals 1 35 Liability of principals 1 36 Discharge by legal practitioner associate of obligations of law practice 1 37 Involvement of practitioners 1 38 Privileges of practitioners 1 39 Undue influence 1 40 Approval of relationships regarding principals 1 41 Uniform Rules 1 Part 3.3—Australian legal practitioners Division 1—Introduction 42 Objectives 1 Division 2—Australian practising certificates 43 Entitlement to practise 1 44 Grant or renewal of Australian practising certificates in this jurisdiction 1 45 Prerequisites for grant or renewal of Australian practising certificates in this jurisdiction 1 46 Notification of principal place of practice 1 Division 3—Conditions of Australian practising certificates 47 Conditions—categories of practice and trust money 1 48 Statutory conditions—to comply with admission conditions and to hold only one practising certificate 1 49 Statutory condition—to engage in supervised legal practice 1 50 Statutory condition—barrister to undertake reading program 1 51 Statutory condition—to notify certain events 1 52 Statutory condition—continuing professional development 1 53 Discretionary conditions 1 54 Compliance with conditions 1 Division 4—Miscellaneous 55 Alteration or substitution of varied certificate 1 56 Government lawyers 1 57 Uniform Rules for Australian practising certificates and associated matters 1 Part 3.4—Foreign lawyers Division 1—Introduction 58 Objective 1 59 This Part does not apply to Australian legal practitioners 1 Division 2—Limited practice without registration 60 Practice of foreign law without registration but for limited periods 1 Division 3—Registration 61 Entitlement to practise 1 62 Grant or renewal of Australian registration certificates 1 63 Notification of principal place of practice 1 Division 4—Conditions of Australian registration certificates 64 Conditions—trust money 1 65 Statutory condition—to hold only one Australian registration certificate 1 66 Statutory condition—to notify certain events 1 67 Discretionary conditions 1 68 Compliance with conditions 1 Division 5—Scope and form of practice 69 Scope of practice 1 70 Form of practice 1 Division 6—Miscellaneous 71 Uniform Rules for foreign lawyers 1 Part 3.5—Variation, suspension and cancellation of, and refusal to renew, certificates Division 1—Introduction 72 Objectives 1 73 References to certificate 1 Division 2—Variation, suspension or cancellation of certificates 74 Variation, suspension or cancellation for minor matters, or at request or with concurrence 1 75 Variation, suspension or cancellation at direction of tribunal 1 76 Variation, suspension or cancellation under Division 3 or 4 1 77 Immediate variation or suspension before or during consideration of proposed action 1 78 Lifting of suspension and renewal during suspension 1 79 Matters involving convictions 1 80 Notice to be given of interjurisdictional action 1 81 Notice to be given to certificate holder 1 Division 3—Variation, suspension or cancellation on specific grounds 82 Grounds for action under this Division 1 83 Local regulatory authority to give notice before acting under this Division 1 84 Action taken after giving notice 1 Division 4—Show cause procedure for variation, suspension or cancellation of, or refusal to renew, certificates Subdivision 1—Preliminary 85 Show cause events 1 Subdivision 2—Automatic show cause events 86 Nature of automatic show cause events 1 87 Automatic show cause events—applicants 1 88 Automatic show cause events—holders 1 89 Automatic show cause events—action by local regulatory authority 1 Subdivision 3—Designated show cause events 90 Nature of designated show cause events 1 91 Designated show cause events—holders 1 92 Designated show cause events—action by local regulatory authority 1 Division 5—Miscellaneous 93 Events or matters occurring before admission or registration 1 94 Restriction on making further applications 1 95 Consideration and investigation of applicants or holders 1 96 Deferral of action or temporary renewal for limited purposes 1 97 Relationship of this Part with Chapter 5 1 98 Uniform Rules 1 Part 3.6—Appeal or review about certificates 99 Objective 1 100 Right of appeal or review about Australian practising certificates 1 101 Right of appeal or review about Australian registration certificates 1 Part 3.7—Incorporated and unincorporated legal practices Division 1—General 102 Application of this Division 1 103 Services that may be provided 1 104 Notice of intention to engage in or terminate legal practice 1 105 Principals 1 106 Law practice without principal 1 107 Disclosure obligations 1 Division 2—Provisions applying to incorporated legal practices only 108 External administration proceedings under Corporations Act or other legislation 1 109 Incorporated legal practice that is subject to receivership under this Law and external administration under Corporations Act 1 110 Incorporated legal practice that is subject to receivership under this Law and external administration under other legislation 1 111 Extension of vicarious liability relating to failure to account, pay or deliver and dishonesty to incorporated legal practices 1 112 Relationship of Law to constitution of, or legislation establishing, incorporated legal practice 1 113 Relationship of Law to Corporations legislation 1 Division 3—Miscellaneous 114 Approval of business structures 1 115 Uniform Rules for incorporated and unincorporated legal practices 1 Part 3.8—Community legal services 116 Status of community legal services 1 117 Supervising legal practitioner 1 118 Uniform Rules for community legal services 1 Part 3.9—Disqualifications Division 1—Making of disqualification orders 119 Disqualification of individuals (other than practitioners) 1 120 Disqualification of entities from providing legal services 1 Division 2—Prohibitions and other provisions regarding disqualified persons and disqualified entities 121 Contravention by law practice—disqualified or convicted person as lay associate 1 122 Contravention by disqualified person 1 123 Contravention by Australian legal practitioner 1 124 Disqualified entity ceases to be incorporated or unincorporated legal practice 1 125 Spent convictions 1 Chapter 4—Business practice and professional conduct Part 4.1—Introduction 126 Objectives 1 Part 4.2—Trust money and trust accounts Division 1—Preliminary 127 Objective 1 128 Definitions 1 129 Meaning of trust money 1 130 Application of this Part to law practices and trust money 1 131 Australian-registered foreign lawyers 1 132 Former practices, principals and associates 1 133 Receiving or holding money by or on behalf of barristers on account of legal costs for legal services 1 134 Provisions relating to certain money 1 Division 2—Trust money and trust accounts 135 Dealing with trust money 1 136 General trust account for each jurisdiction 1 137 Certain trust money to be deposited in general trust account 1 138 Holding, disbursing and accounting for trust money in general trust account 1 139 Controlled money 1 140 Transit money 1 141 Trust money subject to specific powers 1 142 Trust money subject to a written direction 1 143 Trust money received in the form of cash 1 144 Withdrawal of trust money 1 145 Protection of trust money 1 146 Intermixing money 1 147 Keeping trust records 1 148 Deficiency in trust account 1 149 Authorised deposit-taking institutions 1 150 Authority to receive trust money 1 151 Disclosure of accounts used to hold money 1 152 Determinations about status of money 1 153 When, how and where money is received 1 154 Reporting irregularities and suspected irregularities 1 Division 3—External examinations of trust records 155 Appointment of external examiner to conduct external examination of trust records 1 156 Qualifications of external examiners 1 157 External examinations 1 158 Carrying out external examination 1 159 External examiner's report 1 160 Costs of external examination 1 Division 4—External investigations 161 Principal purposes of external investigation 1 162 Appointment of external investigators 1 163 External investigations 1 164 Carrying out external investigation 1 165 Investigator's report 1 166 Costs of external investigation 1 Division 5—Miscellaneous 167 Unclaimed money 1 168 Uniform Rules for trust money and trust accounts 1 Part 4.3—Legal costs Division 1—Introduction 169 Objectives 1 170 Commercial or government clients 1 171 Third party payers 1 Division 2—Legal costs generally 172 Legal costs must be fair and reasonable 1 173 Avoidance of increased legal costs 1 Division 3—Costs disclosure 174 Disclosure obligations of law practice regarding clients 1 175 Disclosure obligations if another law practice is to be retained 1 176 Disclosure obligations of law practice regarding associated third party payers 1 177 Disclosure obligations regarding settlement of litigious matters 1 178 Non-compliance with disclosure obligations 1 Division 4—Costs agreements 179 Client's right to costs agreement 1 180 Making costs agreements 1 181 Conditional costs agreements 1 182 Conditional costs agreements involving uplift fees 1 183 Contingency fees are prohibited 1 184 Effect of costs agreement 1 185 Certain costs agreements are void 1 Division 5—Billing 186 Form of bills 1 187 Request for itemised bills 1 188 Responsible principal for bill 1 189 Giving bills 1 190 Progress reports 1 191 Charging for bills prohibited 1 192 Notification of client's rights 1 193 Interim bills 1 Division 6—Unpaid legal costs 194 Restriction on commencing proceedings to recover legal costs 1 195 Interest on unpaid legal costs 1 Division 7—Costs assessment 196 Application of this Division generally 1 197 Application of this Division where complaint made 1 198 Applications for costs assessment 1 199 Costs assessment 1 200 Factors in a costs assessment 1 201 Reasons to be given 1 202 Referral for disciplinary action 1 203 Admissibility determinations in disciplinary proceedings 1 204 Costs of costs assessment 1 205 Right of appeal or review 1 Division 8—Miscellaneous 206 Security for legal costs 1 207 Unreasonable legal costs—disciplinary action 1 208 Uniform Rules for legal costs 1 Part 4.4—Professional indemnity insurance 209 Objectives 1 210 Approved insurance policy 1 211 Australian legal practitioners 1 212 Incorporated legal practices 1 213 Community legal services 1 214 Australian-registered foreign lawyers 1 215 Exemptions 1 216 Notification of proposed change of jurisdiction in which professional indemnity insurance is obtained 1 217 Uniform Rules for professional indemnity insurance 1 Part 4.5—Fidelity cover Division 1—Introduction 218 Objective 1 219 Definitions 1 220 Meaning of relevant jurisdiction 1 221 Defaults to which this Part applies 1 Division 2—Fidelity funds and fidelity authorities 222 Fidelity fund for this jurisdiction 1 223 How this Part applies to this jurisdiction 1 Division 3—Fidelity fund 224 Funding 1 225 Annual contributions 1 226 Levies 1 227 Failure to pay annual contribution or levy 1 228 Insurance 1 229 Borrowing 1 230 Caps on payments for claims 1 231 Sufficiency 1 232 Audit 1 Division 4—Claims about defaults 233 Entitlement to make a claim 1 234 Making a claim 1 235 Advertisements 1 236 Time limit for making claims 1 237 Processing and investigation of claims 1 238 Advance payments 1 239 Claims by law practices or associates about notional defaults 1 Division 5—Determination of claims 240 Determination of claims 1 241 Maximum amount allowable 1 242 Costs 1 243 Interest 1 244 Reduction of claim because of other benefits 1 245 Repayment of certain amounts 1 246 Subrogation 1 247 Right of appeal against decision on claim 1 248 Right of appeal against failure to determine claim 1 249 Court proceedings 1 Division 6—Defaults involving interjurisdictional elements 250 Concerted interjurisdictional defaults 1 251 Default involving interjurisdictional elements if committed by one associate only 1 252 Interjurisdictional agency 1 Division 7—Miscellaneous 253 Cooperation 1 254 Protection from liability 1 255 Uniform Rules for fidelity cover 1 Part 4.6—Business management and control 256 Compliance audits 1 257 Management system directions 1 258 Prohibited services and business 1 259 Uniform Rules for legal services 1 Chapter 5—Dispute resolution and professional discipline Part 5.1—Introduction 260 Objectives 1 261 References to lawyers 1 262 Application of this Chapter to conduct of lawyer or law practice 1 263 Application of this Chapter to lawyers and law practices 1 264 Jurisdiction of Supreme Courts 1 Part 5.2—Complaints Division 1—Making complaints and other matters about complaints 265 What is a complaint? 1 266 Who may make a complaint? 1 267 How is a complaint made? 1 268 Matters in a complaint 1 269 Consumer matters (including costs disputes) 1 270 Disciplinary matters 1 271 Mixed complaints 1 272 Time limits on making complaints 1 273 Withdrawing complaints 1 274 Where complaint is dealt with 1 275 Other rights not affected 1 Division 2—Preliminary assessment of complaints 276 Preliminary assessment of complaint 1 277 Closure of whole or part of complaint after preliminary assessment 1 278 Immediate suspension of practising or registration certificate 1 Division 3—Notification to and submissions by respondents 279 Notification to respondent about complaint 1 280 Submissions by respondent 1 281 Exceptions to requirement for notification of complaint 1 Division 4—Investigation of complaints 282 Power to investigate complaints 1 283 Extending scope of investigation 1 284 Referral of matters for costs assessment 1 Part 5.3—Consumer matters Division 1—Preliminary 285 Application of this Part 1 Division 2—Provisions applicable to all consumer matters 286 Prerequisite to resolution action by local regulatory authority 1 287 Informal resolution of consumer matters 1 288 Mediation 1 289 Settlement agreements 1 290 Determination of consumer matters by local regulatory authority 1 Division 3—Further provisions applicable to costs disputes 291 General role of local regulatory authority in costs disputes 1 292 Binding determinations in costs disputes 1 293 Cases where binding determinations are not made in costs disputes 1 294 GST excluded in calculations 1 Part 5.4—Disciplinary matters Division 1—Preliminary 295 Application of this Part 1 296 Unsatisfactory professional conduct 1 297 Professional misconduct 1 298 Conduct capable of constituting unsatisfactory professional conduct or professional misconduct 1 Division 2—Determination by local regulatory authority 299 Determination by local regulatory authority—unsatisfactory professional conduct 1 Division 3—Role of designated tribunal 300 Initiation and prosecution of proceedings in designated tribunal 1 301 Procedure of designated tribunal 1 302 Determination by designated tribunal—disciplinary matters 1 303 Costs 1 304 Compliance with orders of designated tribunal 1 305 Power to disregard procedural lapses 1 Part 5.5—Compensation orders 306 Making of compensation orders 1 307 Request by complainant for compensation order 1 308 Nature of compensation orders 1 309 Prerequisites for making of compensation orders 1 310 Enforcement of compensation orders 1 311 Other remedies not affected 1 Part 5.6—Appeal or review 312 Finality of determinations of local regulatory authority 1 313 Internal review of decisions of local regulatory authority 1 314 Right of appeal or review of decisions of local regulatory authority 1 Part 5.7—General duties of local regulatory authority 315 Duty to deal with complaints 1 316 Duty to exercise discretions fairly 1 317 Duty to deal with complaints efficiently and expeditiously 1 318 Notice of decisions and determinations 1 319 Rules of procedural fairness 1 Part 5.8—Miscellaneous 320 Power to make orders includes power to make recommendations 1 321 Waiver of privilege or duty of confidentiality—complaints 1 322 Uniform Rules 1 Chapter 6—External intervention Part 6.1—Introduction 323 Objectives 1 324 Further application of this Chapter 1 325 Operation of appointment of external intervener in another participating jurisdiction 1 Part 6.2—Initiation of external intervention 326 Circumstances warranting external intervention 1 327 Determination to initiate external intervention 1 328 Appointment of external intervener may be general or limited 1 Part 6.3—Supervisors of trust money 329 Appointment of supervisor of trust money 1 330 Effect of service of notice of appointment 1 331 Role of supervisor of trust money 1 332 Records of and dealing with trust money of law practice under supervision 1 333 Termination of supervisor's appointment 1 Part 6.4—Managers 334 Appointment of manager 1 335 Effect of service of notice of appointment 1 336 Role of managers 1 337 Records and accounts of law practice under management and dealings with trust money 1 338 Deceased estates 1 339 Lien for costs on regulated property 1 340 Termination of manager's appointment 1 Part 6.5—Receivers 341 Appointment of receiver 1 342 Effect of service of notice of appointment 1 343 Role of receivers 1 344 Records and accounts of law practice under receivership and dealings with trust money 1 345 Power of receiver to take possession of regulated property 1 346 Power of receiver to take delivery of regulated property 1 347 Power of receiver to deal with regulated property 1 348 Power of receiver to require documents or information 1 349 Examinations about regulated property 1 350 Lien for costs on regulated property 1 351 Regulated property not to be attached 1 352 Recovery of regulated property where there has been a breach of trust etc. 1 353 Improperly destroying property etc. 1 354 Deceased estates 1 355 Termination of receiver's appointment 1 Part 6.6—General 356 Conditions on appointment of external intervener 1 357 Status of acts of external intervener 1 358 Right of appeal or review about appointment of external intervener 1 359 Directions of designated tribunal 1 360 Manager and receiver appointed for law practice 1 361 ADI disclosure requirements 1 362 Confidentiality 1 363 Provisions relating to requirements under this Chapter 1 364 Obstruction of external intervener 1 365 Fees, costs and expenses 1 366 Protection from liability 1 367 Uniform Rules for external intervention 1 Chapter 7—Investigatory powers Part 7.1—Introduction 368 Objective 1 369 References to lawyers 1 Part 7.2—Requirements relating to documents, information and other assistance 370 Requirements—trust records examinations, trust records investigations and compliance audits 1 371 Requirements—complaint investigations 1 372 Inspection and copying of documents 1 373 Retention and return of documents 1 Part 7.3—Entry and search of premises 374 Investigator's power to enter premises—trust records investigations, compliance audits and complaint investigations 1 375 Powers of investigator while on premises 1 376 Provisions relating to entry and search with consent 1 377 Search warrants 1 378 Search warrants—announcement before entry 1 379 Search warrants—details of warrant to be given to occupier 1 380 Retention and return of things seized during search 1 381 Copies of seized things to be provided 1 Part 7.4—Additional powers in relation to incorporated legal practices 382 Application and operation of this Part 1 383 Examination of persons 1 384 Inspection of books 1 385 Power to hold hearings 1 Part 7.5—Miscellaneous 386 Report to local regulatory authority of disciplinary matters 1 387 Obstruction of investigator 1 388 Obligation of lawyers 1 389 Protection from liability 1 390 Uniform Rules 1 Chapter 8—Regulatory authorities Part 8.1—Standing committee 391 Role of Standing Committee 1 392 Decisions of Standing Committee 1 393 Reports for Standing Committee 1 Part 8.2—Legal services council 394 Establishment and objectives of Council 1 395 Provisions relating to Council 1 396 Functions of Council in relation to Commissioner 1 397 Delegation of Council's functions 1 Part 8.3—Commissioner for uniform legal services regulation 398 Establishment and objectives of office of Commissioner 1 399 Provisions relating to Commissioner 1 400 Delegation of Commissioner's functions 1 401 Independence of Commissioner 1 Part 8.4—Admissions committee 402 Establishment and functions of Admissions Committee 1 403 Provisions relating to Admissions Committee 1 Part 8.5—Local regulatory authorities 404 Independence of local regulatory authorities 1 405 Local regulatory authority for Chapter 5 functions to be independent entity 1 406 Delegation of functions of local regulatory authorities 1 407 Guidelines and directions by Council or Commissioner for local regulatory authorities 1 408 Guidelines and directions by local regulatory authorities for their delegates 1 409 Functions of Council in relation to local regulatory authorities 1 410 Functions of Commissioner in relation to Chapter 5 functions of local regulatory authorities 1 411 Power of local regulatory authority to take over exercise of delegated function 1 Part 8.6—General 412 Exercise of functions generally 1 413 Registers of delegations 1 414 Documents lodged with Council or Commissioner instead of local regulatory authority 1 415 Limitation as to individual matters 1 416 Application of certain Acts of New South Wales 1 Chapter 9—Miscellaneous Part 9.1—Legal Profession Uniform Regulations 417 Legal Profession Uniform Regulations 1 418 Publication of Uniform Regulations 1 Part 9.2—Legal Profession Uniform Rules 419 Power to make Uniform Rules 1 420 Categories of Uniform Rules 1 421 Contents of Admission Rules 1 422 Contents of Legal Practice Rules 1 423 Contents of Legal Profession Conduct Rules 1 424 Contents of Continuing Professional Development Rules 1 425 Development of general Uniform Rules 1 426 Development of Admission Rules 1 427 Development of Legal Practice Rules, Legal Profession Conduct Rules and Continuing Professional Development Rules 1 428 Making of Uniform Rules 1 429 Cases where public consultation not required 1 430 Urgent matters 1 431 Publication of Uniform Rules 1 Part 9.3—Legal Profession Registers 432 Australian Legal Profession Register 1 433 Public availability of Australian Legal Profession Register 1 434 Local legal profession register 1 435 Content of registers 1 Part 9.4—Cooperative and other arrangements 436 Arrangements with authorities 1 437 Ad hoc communication with authorities 1 438 Disclosure of information to ASIC 1 439 Disclosure of information between relevant persons 1 440 Information, assistance and cooperation 1 441 Cooperation with Commonwealth, States and Territories 1 Part 9.5—Notices and evidentiary matters 442 Service of notices on lawyers and law practices 1 443 Service of notices on Council, Commissioner, Admissions Committee, local regulatory authority or delegate 1 444 Service of notices on other persons 1 445 Time of service 1 446 Evidentiary matters 1 Part 9.6—Injunctions 447 Injunctions to restrain contraventions of Law or Uniform Rules 1 448 Amendment or discharge of injunctions 1 449 Interim injunctions—undertakings about costs or damages 1 450 Supreme Court's other powers not limited 1 Part 9.7—Criminal and civil penalties Division 1—Criminal penalties 451 Criminal penalties 1 Division 2—Civil penalties 452 Civil penalties 1 453 Designated tribunal may order payment of pecuniary penalty 1 454 Contravening a civil penalty provision is not an offence 1 455 Persons involved in contravening civil penalty provision 1 456 Recovery of a pecuniary penalty 1 457 Civil proceedings after criminal proceedings 1 458 Criminal proceedings during civil proceedings 1 459 Criminal proceedings after civil proceedings 1 460 Evidence given in proceedings for penalty order not admissible in criminal proceedings 1 Part 9.8—Interjurisdictional provisions relating to certain matters 461 Compliance with recommendations or orders made under corresponding laws 1 Part 9.9—General 462 Prohibition on disclosure of information 1 463 Effect of decision on appeal or review 1 464 General provisions about appeal or review 1 465 Duty to report suspected offences 1 466 Provisions relating to certain requirements under this Law 1 467 Protection from liability 1 468 Non-compellability of certain witnesses 1 469 Investigation of offences 1 470 Contraventions by partnerships or other unincorporated bodies 1 471 Indexation of amounts 1 472 Supreme Court may order delivery up of documents etc. 1 473 Forms 1 474 Fees 1 475 Provisions applying in relation to non-participating jurisdictions 1 476 Transitional provisions 1 Schedule 1 — Provisions relating to Council Part 1—Introduction 1 Definitions 1 Part 2—Constitution of Council 2 Membership of Council 1 3 Terms of office of members 1 4 Diversity of membership 1 5 Vacancy in office of member 1 6 Extension of term of office during vacancy in membership 1 7 Remuneration of members 1 8 Disclosure of conflict of interest 1 Part 3—Procedure of Council 9 General procedure 1 10 Quorum 1 11 Chief Executive Officer may attend meetings 1 12 Presiding member 1 13 Voting 1 14 Transaction of business outside meetings or by telecommunication 1 15 Defects in appointment of members 1 16 First meeting 1 Part 4—Chief Executive Officer of Council 17 Chief Executive Officer of Council 1 Part 5—Staff, consultants and contractors of Council 18 Staff of Council 1 19 Secondment of staff to Council 1 20 Consultants and contractors of Council 1 Part 6—Committees established by Council 21 Admissions Committee 1 22 Advisory committees 1 23 Other committees 1 24 Remuneration of members of committees 1 25 Committees are committees of Council 1 Part 7—Annual reports of Council 26 Annual reports 1 Schedule 2 — Provisions relating to Commissioner Part 1—Introduction 1 Definition 1 Part 2—Appointment and tenure of office 2 Appointment of Commissioner 1 3 Term of office of Commissioner 1 4 Remuneration of Commissioner 1 5 Vacancy in office of Commissioner 1 6 Acting Commissioner 1 Part 3—Staff, consultants and contractors of commissioner 7 Staff of Commissioner 1 8 Secondment of staff to Commissioner 1 9 Consultants and contractors of Commissioner 1 Part 4—Annual reports of commissioner 10 Annual reports 1 Schedule 3 — Provisions applying in relation to non‑participating jurisdictions Part 1—Preliminary 1 Definitions 1 Part 2—Application of this law in relation to non-participant legal practitioners 2 Practising certificate granted in non-participating jurisdiction 1 3 Extent of entitlement to practise in this jurisdiction 1 4 Additional conditions on practice of non-participant legal practitioner 1 5 Non-participant legal practitioner expecting to practise solely or principally in this jurisdiction 1 6 Home jurisdiction of non-participant legal practitioner 1 Part 3—Application of this law in relation to non-participant registered foreign lawyers 7 Registration in non-participating jurisdiction 1 8 Extent of entitlement to practise in this jurisdiction 1 9 Additional conditions on practice of non-participant registered foreign lawyer 1 10 Non-participant registered foreign lawyer expecting to practise solely or principally in this jurisdiction 1 11 Home jurisdiction of non-participant registered foreign lawyer 1 Part 4—Dispute resolution and professional discipline 12 Non-application of Chapter 5 to certain conduct of lawyer occurring within non-participating jurisdiction or outside Australia 1 13 Non-application of Chapter 5 to certain conduct of law practice occurring within non-participating jurisdiction or outside Australia 1 14 Non-application of Chapter 5 to certain conduct occurring within participating jurisdiction or outside Australia 1 Part 5—Miscellaneous 15 Fidelity funds and fidelity authorities for non-participating jurisdiction 1 16 Uniform Rules 1 17 Disclosure of information 1 Schedule 4 — Savings and transitional provisions 1 Definitions 1 2 General savings and transitional provision 1 3 References to old legislation 1 4 Time limits 1 5 Savings and transitional rules and regulations 1 8 Initial appointment of Commissioner 1 9 Local regulatory authority for Chapter 5 functions—postponement of section 405 1 Part 3—Particular provisions Division 1—Application of this Part 10 Application of the other provisions of this Part 1 Division 2—Admission and legal practice 11 Admission 1 12 Practising certificates—local legal practitioners 1 13 Registration certificates—foreign lawyers 1 14 Incorporated legal practices and multi-disciplinary practices 1 15 Disqualification orders 1 16 Approval of lay associates 1 17 Disqualification of entities from providing legal services 1 Division 3—Client information 18 Client information and legal costs 1 Division 4—Trust money and trust accounts 20 External examiners 1 21 Deficiencies and irregularities in trust accounts 1 Division 5—Fidelity cover 22 Current claims 1 23 Claims under this Law about prior default 1 Division 6—Investigations of certain matters Division 8—External intervention 28 External intervention 1 Division 9—Other provisions 29 Injunctions 1 30 Offences 1 Notes Compilation table 1 Other notes 1 Defined terms Western Australia Legal Profession Uniform Law (WA) Chapter 1—Preliminary Part 1.1—Introduction 1 Citation This Law may be cited as the Legal Profession Uniform Law (WA). 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. [Editorial note: This Law commenced in WA on 1 Jul 2022 (see Legal Profession Uniform Law Application Act 2022 (WA) s. 2(b) and (c) and SL 2022/113 cl. 2).] 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. [Editorial note: The Victorian Government provides information on the value of penalty units on this website: Indexation of fees and penalties | Department of Treasury and Finance Victoria (dtf.vic.gov.au).] 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)