LPUL 2015 (NSW) Legal Practice

Question 1

s 34 Law practices – general provisions

Answer 1

Responsibilities of principals

(1) Each principal of a law practice is responsible for ensuring that reasonable steps are taken to ensure that—
(a) all legal practitioner associates of the law practice comply with their obligations under this Law and the Uniform Rules and their other professional obligations; and
(b) the legal services provided by the law practice are provided in accordance with this Law, the Uniform Rules and other professional obligations.
(2) A failure to uphold that responsibility is capable of constituting unsatisfactory professional conduct or professional misconduct.

Question 2

s 35 Law practices – general provisions

Answer 2

Liability of principals

(1) If a law practice contravenes, whether by act or omission, any provision of this Law or the Uniform Rules imposing an obligation on the law practice, a principal of the law practice is taken to have contravened the same provision, if—
(a) the principal knowingly authorised or permitted the contravention; or
(b) the principal was in, or ought reasonably to have been in, a position to influence the conduct of the law practice in relation to its contravention of the provision and failed to take reasonable steps to prevent the contravention by the law practice.
(2) A contravention by a principal arising under subsection (1) is capable of constituting unsatisfactory professional conduct or professional misconduct by the principal.
(3) Neither subsection (1) nor (2) affects any liability of the law practice or any other person for the contravention.

Question 3

s 43 Australian Legal Practitioners

Answer 3

Entitlement to practise

(1) An Australian legal practitioner is entitled to engage in legal practice in this jurisdiction.
(2) That entitlement is subject to any requirements of this Law, the Uniform Rules and the conditions of the practitioner’s Australian practising certificate.

Question 4

s 44 Australian Legal Practitioners

Answer 4

Grant or renewal of Australian practising certificates in this jurisdiction

Question 5

s 45 Australian Legal Practitioners

Answer 5

Prerequisites for grant or renewal of Australian practising certificates in this jurisdiction
(fit and proper person etc)

Question 6

s 52 Australian Legal Practitioners

Answer 6

Statutory condition—continuing professional development
It is a statutory condition of an Australian practising certificate granted in this jurisdiction that the holder must comply with the applicable requirements of the Continuing Professional Development Rules.

Question 7

s 51 Australian Legal Practitioners

Answer 7

Statutory condition—to notify certain events

(1) It is a statutory condition of an Australian practising certificate granted in this jurisdiction that the holder must notify the designated local regulatory authority in writing within 7 days that—
(a) the holder has been charged with or convicted of a serious offence, a tax offence or an offence specified in the Uniform Rules for the purposes of this section; or
(b) a bankruptcy-related event has occurred in relation to the holder; or
(c) the holder has become the subject of disciplinary proceedings as a lawyer in a foreign country.

Question 8

s 85 Disclosures

Answer 8

Show cause events
Show cause events are of 2 kinds, as follows—
(a) automatic show cause events;
(b) designated show cause events.

Question 9

s 77 Disclosures

Answer 9

Immediate variation or suspension [of practicing certificate] before or during consideration of proposed action

Question 10

s 86 Disclosures

Answer 10

Nature of automatic show cause events
An automatic show cause event is any of the following in relation to a person who is an applicant for or the holder of a certificate—
(a) a bankruptcy-related event;
(b) his or her conviction for a serious offence or a tax offence, whether or not—
(i) the offence was committed while he or she was engaging in legal practice as an Australian legal practitioner or was practising foreign law as an Australian-registered foreign lawyer; or
(ii) other persons are prohibited from disclosing the identity of the offender;
(c) an event of a kind specified in the Uniform Rules for the purposes of this section.

Question 11

s 87 Disclosures

Answer 11

Automatic show cause events—applicants

(1) This section applies if an automatic show cause event has occurred at any time in relation to an applicant for the grant or renewal of a certificate.
(2) As part of the application, the applicant must provide to the designated local regulatory authority a statement—
(a) about the show cause event; and
(b) explaining why, despite the show cause event, the applicant considers himself or herself to be a fit and proper person to hold a certificate.

Question 12

s 88 Disclosures

Answer 12

Automatic show cause events—holders

(1) This section applies to an automatic show cause event that occurs in relation to the holder of a certificate.
(2) The holder must, in accordance with subsection (3), give the designated local regulatory authority—
(a) a written notice stating that the show cause event occurred; and
(b) a written statement explaining why, despite the show cause event, the holder considers himself or herself to be a fit and proper person to hold a certificate.
(3) The holder must give the designated local regulatory authority—
(a) the notice within 7 days after the show cause event occurred; and
(b) the statement within 28 days after the show cause event occurred or a longer period allowed by the designated local regulatory authority (not exceeding the maximum period specified in the Uniform Rules) on application made by the holder within the applicable period.
(4) The designated local regulatory authority may nevertheless accept a statement received out of time.

Question 13

s 90 Disclosures

Answer 13

Nature of designated show cause events

A designated show cause event is the service of a notice on a holder of a certificate—

(a) alleging—
(i) in the case of a holder of an Australian practising certificate—that the holder has engaged in legal practice outside the terms of a condition restricting his or her practising entitlements; or
(ii) in the case of a holder of an Australian registration certificate—that the holder has provided legal services not permitted by or under this Law; or
(iii) in the case of a holder of an Australian practising certificate who is required to have professional indemnity insurance—that the holder does not have, or no longer has, professional indemnity insurance that complies with this Law in relation to the certificate; or
(iv) a matter of a kind specified in the Uniform Rules for the purposes of this section; and

(b) requiring the holder to provide a statement showing cause why the designated local regulatory authority should not take action, specified in the notice, to vary, suspend or cancel the certificate.

Question 14

s 91 Disclosures

Answer 14

Designated show cause events—holders

(1) The holder of a certificate
(2) , give the designated local regulatory authority a written statement explaining why, despite the show cause event, the holder considers himself or herself to be a fit and proper person to hold a certificate.
(2) The holder must give the designated local regulatory authority the statement within 28 days

Question 15

s 92 Disclosures

Answer 15

Designated show cause events—action by local regulatory authority

Question 16

s 93 Disclosures

Answer 16

Events or matters occurring before admission or registration

Question 17

s 95 Disclosures

Answer 17

Restriction on making further applications

not exceeding 5 years

Question 18

s 116 Community Legal Centres

Answer 18

Disqualification of individuals (other than practitioners)

Question 19

s 117 Community Legal Centres

Answer 19

Disqualification of entities from providing legal services