{"id":"legal-profession-regulations-2007","name":"LEGAL PROFESSION REGULATIONS 2007","slug":"legal-profession-regulations-2007","collection":"regulation","jurisdiction":"nt","status":"in_force","isInForce":true,"actNumber":null,"makingDate":null,"administeringDepartment":null,"currentVersion":{"id":176938,"registerId":"nt-legal-profession-regulations-2007-current","compilationNumber":null,"startDate":"2026-04-05","status":"InForce","reasons":null,"registeredAt":null},"sections":[{"sectionNumber":"Part 1","sectionType":"part","heading":"1 Preliminary matters","content":"Part 1.1 Preliminary matters\n","sortOrder":0},{"sectionNumber":"1","sectionType":"section","heading":"Citation","content":"1 Citation\nThese Regulations may be cited as the Legal Profession\nRegulations 2007.\nNote\nThe Part numbering of these Regulations follows the Part numbering of the Legal\nProfession Act 2006. Accordingly, regulations in each Part of these Regulations\nrelate to the corresponding Part in the Act. As not every Part of the Act has\ncorresponding regulations, the Part numbering of these Regulations is not\nsequential.\nPart 1.2 Interpretation\n","sortOrder":1},{"sectionNumber":"2","sectionType":"section","heading":"Definitions","content":"2 Definitions\nIn these Regulations:\ncourt box, for a law practice or other entity, means:\n(a) a box located at the Supreme Court and labelled with the\nname of the law practice or other entity and to which\ndocuments can be delivered; or\n(b) any other receptacle, approved by the Chief Justice, to which\na person can deliver documents to the law practice or other\nentity.\nemployee, of an entity, means a person who is employed or\nengaged under a contract of service or contract for services in or by\nthe entity whether or not:\n(a) the person works full-time, part-time, or on a temporary or\ncasual basis; or\n\nLegal Profession Regulations 2007 2\n(b) the person is a law clerk, articled clerk or graduate clerk.\nentity means a person or body.\nnamed month means one of the 12 named months of the year\nstarting with January.\n","sortOrder":2},{"sectionNumber":"3","sectionType":"section","heading":"Default determination of associate's home jurisdiction","content":"3 Default determination of associate's home jurisdiction\n(1) This regulation applies to an associate of a law practice who is\nneither an Australian legal practitioner nor an Australian-registered\nforeign lawyer, if:\n(a) section 8(4)(b) of the Act is applicable to the associate; and\n(b) the home jurisdiction for the associate can be determined\nunder neither subparagraph (i) nor subparagraph (ii) of that\nparagraph.\n(2) For section 8(4)(b)(iii) of the Act, the home jurisdiction for the\nassociate must be determined in accordance with the following\ncriteria:\n(a) the jurisdiction of the associate's place of residence in\nAustralia;\n(b) if the associate does not have a place of residence in\nAustralia – the jurisdiction of the associate's last place of\nresidence in Australia.\n","sortOrder":3},{"sectionNumber":"4","sectionType":"section","heading":"Presumptions about taking or using name, title or description","content":"4 Presumptions about taking or using name, title or description\n(1) For section 20(2) of the Act, the kinds of persons specified in\ncolumn 3 of Schedule 1 to these regulations are persons who are\nentitled, in the circumstances specified opposite in column 4, to\ntake a name, title or description specified opposite in column 2.\n(2) In this regulation:\nAustralian law means a law of the Commonwealth or of a State\nor Territory.\ngovernment agency means:\n(a) a government department of the Commonwealth or of a State\nor Territory; or\n\nLegal Profession Regulations 2007 3\n(b) a body that is established by or under Australian law for a\npublic purpose or to exercise governmental functions;\nand includes an entity (or a class of entities) prescribed by\nregulation 17(2) as being within the definition government agency\nin section 90 of the Act.\n","sortOrder":4},{"sectionNumber":"Part 2","sectionType":"part","heading":"2 Admission of local lawyers","content":"Part 2.2 Admission of local lawyers\n","sortOrder":5},{"sectionNumber":"5","sectionType":"section","heading":"Information on roll of persons admitted","content":"5 Information on roll of persons admitted\n(1) For section 27(7)(a) of the Act, the following information must be\nincluded in the local roll for each person who is admitted to the legal\nprofession under the Act:\n(a) the lawyer's date of birth;\n(b) the lawyer's date of admission;\n(c) a unique identifying number for the lawyer;\n(d) other information prescribed by the admission rules.\n(2) In addition, the roll may include information considered appropriate\nby the Supreme Court to include for the lawyer.\n","sortOrder":6},{"sectionNumber":"6","sectionType":"section","heading":"Compliance certificate","content":"6 Compliance certificate\nThe prescribed period for section 36(2) and (4) of the Act is 2 days.\n","sortOrder":7},{"sectionNumber":"7","sectionType":"section","heading":"Categories of local practising certificate","content":"7 Categories of local practising certificate\n(1) For section 46(2) of the Act, the following are the prescribed\ncategories of local practising certificates:\n(a) unrestricted;\n(b) restricted (barrister and solicitor);\n(c) restricted (corporate lawyer);\n(ca) restricted (volunteer lawyer);\n(d) barrister.\n(2) A local practising certificate in the category of unrestricted entitles\nthe holder to practise as a legal practitioner without restriction.\n\nLegal Profession Regulations 2007 4\n(3) A local practising certificate in the category of restricted (barrister\nand solicitor) entitles the holder to practise as a legal practitioner\nonly when engaged in supervised legal practise.\n(4) A local practising certificate in the category of restricted (corporate\nlawyer) entitles the holder to practise as a legal practitioner while\nemployed by an entity but only to the extent of providing legal\nservices to the entity or an associated entity.\n(4A) A local practising certificate in the category of restricted (volunteer\nlawyer) entitles the holder to practise as a legal practitioner only\nwhen engaged in supervised legal practise as a volunteer in a\ncomplying community legal centre.\n(5) A local practising certificate in the category of barrister entitles the\nholder to practise as a legal practitioner on his or her own account\nas a barrister only.\nNote for subregulations (2) to (5)\nA local practising certificate may be restricted, or further restricted, by conditions\nimposed by the Law Society under section 70 of the Act.\nassociated entity, see section 50AAA of the Corporations\nAct 2001.\nentity means a body other than a government agency or law\ngovernment agency, see regulation 4.\nvolunteer means a person who:\n(a) receives no remuneration for the work the person does; or\n(b) is only reimbursed for expenses actually incurred during the\ncourse of the person carrying out the work.\n","sortOrder":8},{"sectionNumber":"8","sectionType":"section","heading":"Exemption from requirement to apply for grant or renewal of","content":"8 Exemption from requirement to apply for grant or renewal of\npractising certificate\nThe exemption from the requirement to apply for the grant or\nrenewal of a local practising certificate provided by section 50(7) of\nthe Act ceases to operate at the end of the financial year for which\nthe application would otherwise be required.\n\nLegal Profession Regulations 2007 5\n","sortOrder":9},{"sectionNumber":"9","sectionType":"section","heading":"Application for local practising certificate","content":"9 Application for local practising certificate\n(1) For section 51(1) of the Act, an application for the grant or renewal\nof a local practising certificate must be accompanied by the\nfollowing information:\n(a) the applicant's name, residential address and personal\ntelephone number;\n(b) if the applicant is an associate of a law practice – the name of\nthe law practice;\n(c) if the applicant is an officer or employee of an incorporated\nlegal practice – the particulars of the incorporated legal\npractice including:\n(i) its Australian Company Number (ACN); and\n(ii) the names of its directors;\n(d) the address of the office or offices at which the applicant\npractises or provides legal services and, if more than one\noffice, an indication as to which of the addresses is that of the\nprincipal office;\n(e) if the applicant is a member of, or employed by, a partnership\nor is an officer or employee of an incorporated legal practice:\n(i) the address of the office or offices at which the\npartnership or incorporated legal practice practises or\nprovides legal services; and\n(ii) if more than one office – an indication as to which of the\naddresses is that of the principal office;\n(f) if the applicant is employed otherwise than by a partnership or\nincorporated legal practice – the name of the employer and\nthe address of the principal office of the employer;\n(g) the telephone number, facsimile number and email address of\nthe applicant at the office or offices at which the applicant\npractises or provides legal services;\n(h) if the applicant has been convicted of an offence that would\nhave to be disclosed under the admission rules in relation to\nan application for admission to the legal profession under the\nAct – the nature of the offence;\n\nLegal Profession Regulations 2007 6\n(i) if a show cause event has occurred in relation to the\napplicant – details of the event including, for section 61(2) of\nthe Act, a written statement:\n(i) about the event; and\n(ii) explaining why, despite the show cause event, the\napplicant considers himself or herself to be a fit and\nproper person to hold a local practising certificate;\n(j) if a pre-admission event has occurred in relation to the\napplicant – details of the event;\n(k) a copy of the financial report and director's report most\nrecently lodged with the Australian Securities and Investments\nCommission if:\n(i) the applicant is a legal practitioner director of an\nincorporated legal practice; and\n(ii) the reports are required to be prepared in respect of the\nincorporated legal practice under section 292 of the\nCorporations Act 2001;\n(l) the date the applicant was admitted as an Australian lawyer\nand the jurisdiction in which the applicant was admitted.\n(2) Neither subregulation (1)(h), (i) nor (j) requires the disclosure of\ninformation previously disclosed to the Law Society.\nincorporated legal practice includes a practising company as\ndefined in section 720 of the Act.\n","sortOrder":10},{"sectionNumber":"10","sectionType":"section","heading":"Timing of application for renewal of local practising certificate","content":"10 Timing of application for renewal of local practising certificate\nFor section 52(1) of the Act, the prescribed periods for the renewal\nof a local practising certificate which commences on 1 July of a\nparticular year are as follows:\n(a) the standard renewal period is the period from 1 April to\n","sortOrder":11},{"sectionNumber":"31","sectionType":"section","heading":"May of that year;","content":"31 May of that year;\n(b) the late fee period is the period from 1 June to 30 June of that\nyear.\n\nLegal Profession Regulations 2007 7\n","sortOrder":12},{"sectionNumber":"11","sectionType":"section","heading":"Continuing legal education","content":"11 Continuing legal education\nThe continuing professional development scheme in Schedule 2 is\nprescribed for section 70(3)(a)(i) of the Act.\n","sortOrder":13},{"sectionNumber":"12","sectionType":"section","heading":"Completion of periods of supervised legal practice","content":"12 Completion of periods of supervised legal practice\n(1) For sections 73 and 82 of the Act, completion by a person of a\nperiod or periods of supervised legal practice equivalent to the\nrequired period of 18 months or 2 years must be worked out by\nsatisfying the requirements of this regulation.\n(2) The person satisfies the requirements of this regulation if the\nperson completes:\n(a) one period of supervised legal practice, worked on a full-time\nbasis, equal to the required period worked out on a full-time\nbasis; or\n(b) one period of supervised legal practice, worked on a part-time\nbasis, equivalent to the required period worked out on a\nfull-time basis; or\n(c) 2 or more periods of supervised legal practice, worked on\neither or both of these bases, that together are equal to or\nequivalent to the required period.\nExamples for subregulation (2)\n1. A person undertakes supervised legal practice for 40 weeks at 28 hours a\nweek. For the purpose of working out the required period, the 40 weeks must\nbe multiplied by 28 and divided by 35, making this equivalent to 32 weeks\nsupervised legal practice.\n2. A person undertakes supervised legal practice for 28 weeks at 40 hours a\nweek. For the purpose of working out the required period, this is equivalent\nto 28 weeks supervised legal practice.\n(3) For subregulation (2):\n(a) public holidays during a relevant period must be included as\ndays of supervised legal practice, whether or not the person\nengages in legal practice on those days; and\n(b) normal periods of leave taken during a relevant period by the\nperson are to be included as periods of supervised legal\n\nLegal Profession Regulations 2007 8\n","sortOrder":14},{"sectionNumber":"13","sectionType":"section","heading":"Statutory condition regarding practice as a barrister","content":"13 Statutory condition regarding practice as a barrister\n(1) A barrister must not do a thing mentioned in section 74(a) and (b) of\nthe Act.\n(2) However, subregulation (1) does not prevent a barrister from\nengaging in legal practice through a practising company as defined\nin section 720 of the Act:\n(a) of which the barrister is the only director; and\n(b) on behalf of which the barrister is the only person who:\n(i) provides legal services; and\n(ii) receives payment for the provision of those services.\nbarrister means the holder of a local practising certificate as a\nbarrister (but not a barrister and solicitor).\n","sortOrder":15},{"sectionNumber":"14","sectionType":"section","heading":"Address for notice of offence","content":"14 Address for notice of offence\nFor section 76(3) of the Act, the person to whom a notice under\nsection 76(1) must be sent or delivered is the chief executive officer\nof the Law Society.\n","sortOrder":16},{"sectionNumber":"15","sectionType":"section","heading":"Requirements for professional indemnity insurance for","content":"15 Requirements for professional indemnity insurance for\ninterstate legal practitioners\n(1) For section 79(1)(b) of the Act, professional indemnity insurance for\nan interstate legal practitioner complies with the requirements of\nthese regulations if the insurance:\n(a) provides cover equivalent to that which would be provided by\napproved professional indemnity insurance; and\n(b) complies with the requirements of the home jurisdiction of the\npractitioner.\n(2) For section 79(4) of the Act, an interstate legal practitioner must\ndisclose the level of coverage of the practitioner's insurance to\nclients and prospective clients.\n\nLegal Profession Regulations 2007 9\n","sortOrder":17},{"sectionNumber":"16","sectionType":"section","heading":"Register of local practising certificates","content":"16 Register of local practising certificates\n(1) For section 87(2)(b) of the Act, the particulars mentioned in\nsubregulation (2) are prescribed as particulars to be included in the\nregister kept under section 87 of the Act in relation to a local legal\npractitioner, except if the Law Society is required by\nsubregulation (5) not to include them in the register.\n(2) The particulars to be included in the register are as follows:\n(a) the name of the local legal practitioner;\n(b) the type of local practising certificate held by the practitioner;\n(c) the name of the law practice of which the practitioner is an\nassociate or, if the practitioner is not an associate of a law\npractice, the name of the entity of which the practitioner is a\ndirector, officer or employee or with which the practitioner is\notherwise engaged in legal practice;\n(d) the contact details of the office of the law practice or other\nentity in this jurisdiction;\n(e) by way of separate additional entry, the name of the law\npractice or other entity and the contact details of the office of\nthe law practice or other entity:\n(i) in this jurisdiction; and\n(ii) in any other jurisdictions in which it has an office, except\nwhere the Society considers those particulars need not\nbe included in respect of an entity that is not a law\npractice;\n(f) any other particulars about the practitioner, law practice or\nother entity that the Society considers should be included.\n(3) Contact details of an office are the following:\n(a) its street address (the address where the office is physically\nlocated);\n(b) its postal address (a post office box number and the location\nand postcode of the post office), if any;\n(c) whether or not it has a court box.\n\nLegal Profession Regulations 2007 10\n(4) A local legal practitioner may, by written notice to the Society,\nrequest the Society not to include any or any specified particulars\nabout the practitioner, law practice or other entity in the register, on\nthe ground that special circumstances warrant the particulars not\nbeing publicly available (for example, if the safety or well-being of a\nperson would be substantially affected by making the particulars\npublicly available).\n(5) If the Society is satisfied those special circumstances exist, the\nSociety must not include the particulars concerned in the register,\nunless the Society considers the public interest in maintaining\npublic access to the particulars outweighs any individual interest in\nthe particulars not being publicly available.\n","sortOrder":18},{"sectionNumber":"17","sectionType":"section","heading":"Government lawyers – general exemption from certain","content":"17 Government lawyers – general exemption from certain\nconditions\n(1) For section 90(2) of the Act, each of the following offices is\nprescribed:\n(a) the Solicitor-General;\n(b) the Director of Public Prosecutions;\n(c) the Chief Executive Officer of the department primarily\nresponsible to the Minister administering the Act;\n(d) the Director, Northern Territory Legal Aid Commission.\n(2) For section 90(5) of the Act, definition government agency:\n(a) the following entities are prescribed:\n(i) the Attorney-General's Department of the\nCommonwealth;\n(ii) the Australian Government Solicitor;\n(iii) each Agency;\n(iv) the Northern Territory Legal Aid Commission;\n(v) the Office of the Director of Public Prosecutions;\n(vi) each Government owned corporation as defined in\nsection 3 of the Government Owned Corporations\nAct 2001;\n(vii) the Law Society; and\n\nLegal Profession Regulations 2007 11\n(b) government agencies in other jurisdictions performing the\nsame functions as those performed by the entities specified in\nparagraph (a) are prescribed.\nPart 2.6 Incorporated legal practices and multi-\ndisciplinary partnerships\n","sortOrder":19},{"sectionNumber":"18","sectionType":"section","heading":"Prohibited non-legal services and businesses of incorporated","content":"18 Prohibited non-legal services and businesses of incorporated\nlegal practice\n(1) An incorporated legal practice must not act as the conveyancing\nlawyer for the purchaser of a property if the legal practice or a\nrelated body corporate of the legal practice acts:\nMaximum penalty: 500 penalty units.\n(2) A related body corporate of an incorporated legal practice must not\nact as the conveyancing lawyer for the purchaser of a property if\nthe body corporate, another related body corporate of the legal\npractice or the legal practice acts:\nMaximum penalty: 500 penalty units.\n","sortOrder":20},{"sectionNumber":"19","sectionType":"section","heading":"Notice of ceasing provision of legal services","content":"19 Notice of ceasing provision of legal services\nFor section 124(1)(b) of the Act, the prescribed period within which\na corporation must give a notice under the section is 14 days after it\nceases to engage in legal practice in this jurisdiction.\n","sortOrder":21},{"sectionNumber":"20","sectionType":"section","heading":"Disqualifications and prohibitions","content":"20 Disqualifications and prohibitions\n(1) This regulation applies to:\n(a) an order made under section 139 of the Act disqualifying a\ncorporation from providing legal services in this jurisdiction; or\n(b) an order made under section 140 of the Act disqualifying a\nperson from managing a corporation that is an incorporated\nlegal practice; or\n\nLegal Profession Regulations 2007 12\n(c) an order made under section 165 of the Act prohibiting an\nAustralian legal practitioner from being a partner of a specified\nperson;\nbeing an order made on the application of the Law Society.\n(2) The Society may publicise an order in any manner the Society\nthinks fit.\n(3) The Society:\n(a) must, as soon as practicable after the order is made, give\nwritten notice of the order to the corresponding authority of\nevery other jurisdiction; and\n(b) may give written notice of the order to any other regulatory\nauthority of any jurisdiction.\n(4) The notice under subregulation (3) for an order made under\nsection 139 of the Act:\n(a) must specify:\n(i) the corporation's name; and\n(ii) the Australian Company Number (ACN) of the\ncorporation; and\n(iii) the office or business address of the corporation, as last\nknown to the applicant for the order; and\n(iv) the date of the order; and\n(b) may contain other relevant information; and\n(c) may be accompanied by a copy or summary of, or extract\nfrom, the order.\n(5) The notice under subregulation (3) for an order made under\nsection 140 or 165 of the Act:\n(a) must specify:\n(i) the person's name; and\n(ii) the person's address, as last known to the applicant for\nthe order; and\n(iii) the date of the order; and\n(b) may contain other relevant information; and\n\nLegal Profession Regulations 2007 13\n(c) may be accompanied by a copy or summary of, or extract\nfrom, the order.\n(6) No liability is incurred by a protected person in respect of anything\ndone or omitted to be done in good faith for the purpose of this\nregulation.\n(7) In this regulation:\nprotected person means:\n(a) the Territory; or\n(b) the Law Society; or\n(c) a person responsible for keeping the whole or any part of a\nregister or any similar record in or by which an order is\npublicised; or\n(d) an Internet service provider or Internet content host; or\n(e) a person acting at the direction of the Territory or of any entity\nmentioned in this definition.\n","sortOrder":22},{"sectionNumber":"21","sectionType":"section","heading":"Prohibition on conduct of managed investment scheme by","content":"21 Prohibition on conduct of managed investment scheme by\nincorporated legal practice\n(1) Section 120(2) of the Act is declared to be a Corporations\nlegislation displacement provision for the purposes of section 5G of\nthe Corporations Act 2001 in relation to Corporations legislation.\n(2) In this regulation:\nCorporations legislation means the Corporations legislation to\nwhich Part 1.1A of the Corporations Act 2001 applies.\n","sortOrder":23},{"sectionNumber":"22","sectionType":"section","heading":"Multi-disciplinary partnership","content":"22 Multi-disciplinary partnership\n(1) An Australian legal practitioner who acts as the conveyancing\nlawyer for the purchaser of a property must not be in partnership\nwith a person who acts:\n\nLegal Profession Regulations 2007 14\n(2) For section 153(1)(c) of the Act, written notice to the Law Society of\na person's intention to start providing legal services in this\njurisdiction as a member of a multi-disciplinary partnership must\ninclude the following information:\n(a) the name and residential address of each partner;\n(b) the kinds of services (other than legal services) and\nbusinesses the partnership proposes to provide or conduct in\nthe Territory.\n","sortOrder":24},{"sectionNumber":"23","sectionType":"section","heading":"Scope of practice","content":"23 Scope of practice\n(1) For section 174(1)(b) of the Act, arbitration proceedings in which:\n(a) the arbitrator is not required to apply the rules of evidence;\nand\n(b) knowledge of Australian law is not essential;\nare prescribed as a kind of arbitration proceedings in relation to\nwhich an Australian-registered foreign lawyer may provide legal\nservices (including appearances).\n(2) For section 174(1)(d) of the Act, all forms of dispute resolution are\nprescribed as kinds of dispute resolution in relation to which an\nAustralian-registered foreign lawyer may provide legal services,\nexcept to the extent to which:\n(a) the provisions of other legislation applying to dispute\nresolution; or\n(b) the requirements of a body responsible for dispute resolution;\nor\n(c) the provisions of a contract that provides for dispute\nresolution;\nrestrict participation in dispute resolution to persons of a specified\nclass that does not include Australian-registered foreign lawyers.\ndispute resolution means conciliation, mediation and other forms\nof consensual dispute resolution.\n\nLegal Profession Regulations 2007 15\n","sortOrder":25},{"sectionNumber":"24","sectionType":"section","heading":"Trust money and trust accounts","content":"24 Trust money and trust accounts\nFor section 181 of the Act:\n(a) the provisions of Part 3.1 of the Act and any other provisions\nof the Act (other than Part 3.5 of the Act) relating to trust\nmoney and trust accounts; and\n(b) the provisions of Part 3 of these Regulations and any other\nprovisions of these Regulations relating to trust money and\ntrust accounts; and\n(c) any provisions of any legal profession rules relating to trust\nmoney and trust accounts;\napply to Australian-registered foreign lawyers as if a reference in\nthose provisions to a law practice or an Australian legal practitioner\nwere a reference to an Australian-registered foreign lawyer.\n","sortOrder":26},{"sectionNumber":"25","sectionType":"section","heading":"Professional indemnity insurance","content":"25 Professional indemnity insurance\nFor section 182(4) of the Act, a disclosure by an Australian-\nregistered foreign lawyer must:\n(a) be given prior to the provision of the legal services to the client\nby the foreign lawyer; and\n(b) set out what, if any, professional indemnity insurance is held\nby the foreign lawyer in respect of those services.\n","sortOrder":27},{"sectionNumber":"26","sectionType":"section","heading":"Fidelity cover","content":"26 Fidelity cover\n(1) This regulation applies to a foreign lawyer who:\n(a) is practising, or intends to practise, foreign law in the Territory\nas an associate to a law practice; and\n(b) has applied for the grant or renewal of registration as a foreign\nlawyer under the Act.\n(2) When the foreign lawyer's registration is granted or renewed by the\nLaw Society, the foreign lawyer must pay to the Society, on account\nof the Fidelity Fund, the appropriate contribution to the Fidelity Fund\nfor the year ending on 30 June for which the registration is granted\nor renewed.\n(3) For subregulation (2), the appropriate contribution for a year is the\namount notified by the Funds Management Committee under\nsection 392(4) of the Act for the year.\n\nLegal Profession Regulations 2007 16\n(4) However, if the foreign lawyer is registered after 31 December in a\nyear ending 30 June, the appropriate contribution is one half the\namount that would otherwise be payable under subregulation (3).\n(5) The Society may permit the contribution to be paid by instalments\nunder an arrangement approved by the Society.\n(6) If a foreign lawyer:\n(a) has paid a contribution under this regulation for a year ending\n","sortOrder":28},{"sectionNumber":"30","sectionType":"section","heading":"June; and","content":"30 June; and\n(b) ceases to practise as a locally-registered foreign lawyer at any\ntime before 30 June in that year;\nthe Society may refund a part of the contribution at a rate\ndetermined by the Society.\n","sortOrder":29},{"sectionNumber":"27","sectionType":"section","heading":"Application of Part 35 of Act","content":"27 Application of Part 35 of Act\nThe following provisions of Part 3.5 of the Act, with the specified\nmodifications, apply to a locally-registered foreign lawyer practising\nin the Territory as an associate of a law practice, as if the foreign\nlawyer were a local legal practitioner to whom section 392 of the\nAct applies:\n(a) section 394;\n(b) section 395(5), as if a reference to a contribution required\nunder section 392 were a reference to a contribution required\nunder regulation 26.\n","sortOrder":30},{"sectionNumber":"28","sectionType":"section","heading":"Locally-registered foreign lawyer not covered by Fidelity Fund","content":"28 Locally-registered foreign lawyer not covered by Fidelity Fund\n(1) This regulation applies to a locally-registered foreign lawyer\npractising foreign law in the Territory otherwise than as an\nassociate of a law practice.\n(2) A foreign lawyer to whom this regulation applies must not practise\nforeign law in the Territory on behalf of a client unless the foreign\nlawyer has provided the client with a disclosure statement in\nrespect of the foreign lawyer's lack of cover by the Fidelity Fund.\n(3) A disclosure statement under subregulation (2) is not valid unless:\n(a) it is in writing; and\n(b) it is written:\n(i) in English; or\n\nLegal Profession Regulations 2007 17\n(ii) if the client does have a reasonable understanding of\nEnglish – in another language of which the client has a\nreasonable understanding; and\n(c) it states the foreign lawyer is not covered by the Fidelity Fund\nwith respect to the practice of foreign law in the Territory; and\n(d) it states that Australian legal practitioners generally are\ncovered by the Fidelity Fund.\n","sortOrder":31},{"sectionNumber":"29","sectionType":"section","heading":"Application for local registration – show cause event","content":"29 Application for local registration – show cause event\n(1) A written statement given to the Law Society by a person under\nsection 199(2) of the Act must, if it relies on documentary evidence\nof the matters contained in the statement, be accompanied by the\noriginal documents.\n(2) However, subregulation (1) does not apply if copies of the\ndocuments have been given to the Society and the Society is\notherwise satisfied as to the authenticity of the copies.\n30 Register of locally-registered foreign lawyers\n(1) For section 218(2)(b) of the Act and subject to subregulation (5),\nthe particulars mentioned in subregulation (2) must be included in\nthe register kept under section 218 of the Act in relation to a locally-\nregistered foreign lawyer.\n(2) The particulars to be included in the register are as follows:\n(a) the name of the foreign lawyer;\n(b) the name of the partnership of which the lawyer is a member\nor employee or, if the lawyer is not a member or employee of\na partnership, the name of the entity of which the lawyer is a\ndirector, officer or employee or with which the lawyer is\notherwise engaged in legal practice;\n(c) the contact details of the office of the partnership or other\nentity in this jurisdiction;\n(d) by way of separate additional entry, the name of the\npartnership or other entity and the contact details of the office\nof the partnership or other entity:\n(i) in this jurisdiction; and\n\nLegal Profession Regulations 2007 18\n(ii) in any other jurisdictions in which it has an office, except\nwhere the domestic registration authority considers\nthose particulars need not be included in respect of an\nentity that is not a law practice;\n(e) details of the foreign registration authority, or authorities, by\nwhich the lawyer is registered to engage in legal practice in a\nforeign country or foreign countries;\n(f) any other particulars about the lawyer, partnership or other\nentity that the authority considers should be included.\n(3) Contact details of an office are the following:\n(a) its street address (the address where the office is physically\nlocated);\n(b) its postal address (a post office box number and the location\nand postcode of the post office), if any;\n(c) whether or not it has a court box.\n(4) A locally-registered foreign lawyer may, by written notice to the\nSociety, request the Society not to include any or any specified\nparticulars about the lawyer, partnership or other entity in the\nregister, on the ground that special circumstances warrant the\nparticulars not being publicly available (for example, if the safety or\nwell-being of a person would be substantially affected by making\nthe particulars publicly available).\n(5) If the Society is satisfied those special circumstances exist, the\nSociety is required not to include the particulars concerned in the\nregister unless the Society considers the public interest in\nmaintaining public access to the particulars outweighs any\nindividual interest in the particulars not being publicly available.\n31 Refund of fees\n(1) The Law Society may refund a part of a fee paid in relation to\nregistration as a foreign lawyer if the registration is suspended or\ncancelled during its currency in circumstances not involving\ndisciplinary action in this jurisdiction or elsewhere.\n(2) The part of the fee must be:\n(a) refunded as soon as possible after the period of registration\nfor which the full fee relates; and\n(b) proportionate to the period during which the registration is\nsuspended or cancelled.\n\nLegal Profession Regulations 2007 19\nPart 2.8 Complying community legal centres\n","sortOrder":32},{"sectionNumber":"32","sectionType":"section","heading":"Complying community legal centre","content":"32 Complying community legal centre\nFor section 227(e) of the Act:\n(a) the information is the following:\n(i) the financial basis of the operations of the body\ncorporate, including its funding and expected funding;\n(ii) the nature of the legal services provided by the body\ncorporate;\n(iii) any advertisements or publications describing the nature\nof the legal services provided by the body corporate;\n(iv) the name of the supervising legal practitioner; and\n(b) the fee is the amount specified in Schedule 3 as the amount\npayable for the grant or renewal of an unrestricted local\npractising certificate.\n","sortOrder":33},{"sectionNumber":"33","sectionType":"section","heading":"Operation of this Part","content":"33 Operation of this Part\nThis Part has effect for Part 3.1 of the Act, and accordingly applies\nto a law practice in respect of:\n(a) trust money received by the practice in this jurisdiction, unless\nthe practice has an office in one or more other jurisdictions but\nnot in this jurisdiction; and\n(b) trust money received by the practice in another jurisdiction, if\nthe practice has an office in this jurisdiction but in no other\njurisdiction; and\n(c) trust money received by the practice in another jurisdiction, if\nthe practice has an office in:\n(i) this jurisdiction; and\n(ii) one or more other jurisdictions but not in the jurisdiction\nin which the money was received;\n\nLegal Profession Regulations 2007 20\nunless the money is dealt with in accordance with the\ncorresponding law of a jurisdiction in which the practice has an\noffice.\n","sortOrder":34},{"sectionNumber":"34","sectionType":"section","heading":"Definitions","content":"34 Definitions\nIn this Part:\nBSB number (Bank State Branch number) means the number\nassigned to identify a particular branch of a particular ADI.\nmatter description means a brief phrase or expression assigned\nby a law practice to describe a matter.\nmatter reference means a number or other reference assigned by\na law practice to identify a matter.\ntrust money means trust money in respect of which this Part for\nthe time being applies, as mentioned in regulation 33.\n","sortOrder":35},{"sectionNumber":"35","sectionType":"section","heading":"Barrister receiving money on behalf of other persons","content":"35 Barrister receiving money on behalf of other persons\nFor section 244(2) of the Act, a barrister is authorised to receive\nmoney on behalf of another person if:\n(a) the money is payment, in advance, of a fee for the barrister's\nprofessional services; and\n(b) the money is paid as trust money.\n","sortOrder":36},{"sectionNumber":"36","sectionType":"section","heading":"Application of Division","content":"36 Application of Division\nThis Division applies if a law practice maintains trust records\n(including records relating to controlled money) by means of a\ncomputerised accounting system.\n","sortOrder":37},{"sectionNumber":"37","sectionType":"section","heading":"Copies of trust records to be printed","content":"37 Copies of trust records to be printed\n(1) The law practice must print a paper copy of trust records as follows:\n(a) trust account cash books must be printed monthly as at the\nend of each named month, unless a copy of the books as at\nthe end of the named month is kept in electronic form that is\nreadable or reportable on demand;\n(b) reconciliation statements prepared under regulation 53 must\nbe printed as at the end of each named month;\n\nLegal Profession Regulations 2007 21\n(c) lists of trust account ledgers and their balances must be\nprinted monthly as at the end of each named month;\n(d) lists of controlled money accounts and their balances must be\nprinted monthly as at the end of each named month;\n(e) trust ledger accounts, the register of controlled money and the\ntrust account transfer journal must be printed before they are\narchived or deleted from the system;\n(f) trust ledger account and controlled money account details\nmust be printed on request by and provided to an investigator\nas defined in section 618 of the Act.\n(2) The trust records printed monthly as at the end of a named month\nunder subregulation (1)(a) to (d) must be printed within 15 working\ndays after the named month.\n(3) The paper copies printed under subregulation (1) must be kept by\nthe law practice, except if they are printed on request under that\nsubregulation.\n(4) The electronic copy of the trust account cash books under\nsubregulation (1)(a) must be kept by the law practice.\n","sortOrder":38},{"sectionNumber":"38","sectionType":"section","heading":"Chronological record of information to be made","content":"38 Chronological record of information to be made\n(1) The law practice must maintain a record, compiled in chronological\nsequence, of the creation, amendment or deletion of information in\nits computerised accounting system in relation to the following:\n(a) client name;\n(b) client address;\n(c) matter reference;\n(d) matter description;\n(e) ledger account number or other descriptor.\n(2) The record must be kept by the law practice.\n","sortOrder":39},{"sectionNumber":"39","sectionType":"section","heading":"Requirements regarding computer accounting systems","content":"39 Requirements regarding computer accounting systems\n(1) The law practice must ensure its computerised accounting system\nis not capable of accepting, in respect of a trust ledger account, the\nentry of a transaction resulting in a debit balance to the account.\n\nLegal Profession Regulations 2007 22\n(2) The law practice must ensure that the system is not capable of\ndeleting a trust ledger account unless:\n(a) the balance of the account is zero and all outstanding cheques\nhave been presented; and\n(b) when the account is deleted, a copy of the account is kept in a\npermanent form.\n(3) The law practice must ensure any entry in a record produced in a\npermanent form appears in chronological sequence.\n(4) The law practice must ensure each page of each printed record is\nnumbered sequentially or is printed in such a way that no page can\nbe extracted.\n(5) The law practice must ensure its computerised accounting system\nis not capable of amending the particulars of a transaction already\nrecorded otherwise than by a transaction separately recorded that\nmakes the amendment.\n(6) The law practice must ensure its computerised accounting system\nrequires input in every field of a data entry screen intended to\nreceive information required by this Part to be included in trust\nrecords.\n","sortOrder":40},{"sectionNumber":"40","sectionType":"section","heading":"Back-ups","content":"40 Back-ups\nThe law practice must ensure:\n(a) a back-up copy of all records required by this Part is made not\nless frequently than once each month; and\n(b) each back-up copy is kept by the law practice; and\n(c) a complete set of back-up copies is kept in a separate location\nso that any incident that may adversely affect the records\nwould not also affect the back-up copy.\n","sortOrder":41},{"sectionNumber":"41","sectionType":"section","heading":"Establishment of general trust account","content":"41 Establishment of general trust account\n(1) A law practice may at any time establish a general trust account\nthat satisfies the requirements of this regulation, but must, as soon\nas practicable after receiving trust money that is required to be paid\ninto a general trust account, establish a general trust account that\nsatisfies those requirements if the practice does not already have\nsuch a general trust account.\n\nLegal Profession Regulations 2007 23\n(2) A general trust account satisfies the requirements of this regulation\nif:\n(a) the account is established in this jurisdiction, before or after\nthe commencement of this regulation, with an approved ADI;\nand\n(b) the account is and is to be maintained in this jurisdiction; and\n(c) the name of the account includes:\n(i) the name of the law practice or the business name under\nwhich the law practice engages in legal practice; and\n(ii) the expression \"law practice trust account\" or \"law\npractice trust a/c\"; and\n(d) the account is of a kind that is for the time being approved by\nthe Law Society.\n(3) Subregulation (2)(c) does not apply to an account established in\nthis jurisdiction before the commencement of this regulation.\n(4) Subregulation (2)(c)(ii) does not require the repetition of the words\n\"law practice\" if those words form part of the name or business\nname of the law practice.\n","sortOrder":42},{"sectionNumber":"42","sectionType":"section","heading":"Receipting of trust money","content":"42 Receipting of trust money\n(1) This regulation applies if a law practice receives trust money that is\nrequired to be paid into a general trust account.\n(2) After receiving the trust money, the law practice must make out a\nreceipt.\n(3) The receipt must be made out as soon as practicable:\n(a) after the trust money is received, except as provided by\nparagraph (b); or\n(b) in the case of trust money received by direct deposit – after\nthe law practice receives or accesses notice or confirmation\n(in written or electronic form) of the deposit from the ADI\nconcerned.\n(4) The receipt, containing the required particulars, must be made out\nin duplicate, whether by way of making a carbon copy or otherwise,\nunless at the time the receipt is made out those particulars are\nrecorded by computer program in the trust account receipts cash\nbook.\n\nLegal Profession Regulations 2007 24\n(5) For subregulation (4), the required particulars are as follows:\n(a) the date the receipt is made out and, if different, the date of\nreceipt of the money;\n(b) the amount of money received;\n(c) the form in which the money was received;\n(e) details clearly identifying the name of the client in respect of\nwhom the money was received and the matter description and\n(g) the name of the law practice, or the business name under\nwhich the law practice engages in legal practice, and the\nexpression \"trust account\" or \"trust a/c\";\n(h) the name of the person who made out the receipt;\n(i) the number of the receipt.\n(6) The original receipt must be delivered, on request, to the person\nfrom whom the trust money was received.\n(7) Receipts must be consecutively numbered and issued in\nconsecutive sequence.\n(8) If a receipt is cancelled or not delivered, the original receipt must be\nkept.\n","sortOrder":43},{"sectionNumber":"43","sectionType":"section","heading":"Deposit records for trust money","content":"43 Deposit records for trust money\n(1) This regulation applies if a law practice receives trust money that is\nrequired to be paid into a general trust account and the money is\nnot paid into a general trust account by direct deposit.\n(2) A deposit record must be produced to the approved ADI when the\ndeposit is made.\n(3) The following particulars must be recorded on the deposit record:\n(a) the date of the deposit;\n(b) the amount of the deposit;\n\nLegal Profession Regulations 2007 25\n(c) whether the deposit consists of cheques, notes or coins (and\nthe amount of each);\n(d) for each cheque:\n(i) the name of the drawer of the cheque; and\n(ii) the name and branch (or BSB number) of the ADI on\nwhich the cheque is drawn; and\n(iii) the amount of the cheque.\n(4) The deposit record must be made out in duplicate, whether by way\nof making a carbon copy or otherwise.\n(5) The duplicate deposit record must be kept for each deposit to the\ngeneral trust account and must be kept in a deposit book or be\notherwise securely filed in the order in which the deposits were\nmade.\n","sortOrder":44},{"sectionNumber":"44","sectionType":"section","heading":"Direction for non-deposit of trust money in general trust","content":"44 Direction for non-deposit of trust money in general trust\naccount\nFor section 246(4) of the Act, the period for which a written direction\nmentioned in section 246(2)(a) of the Act must be kept is 7 years\nafter finalisation of the matter to which the direction relates.\n","sortOrder":45},{"sectionNumber":"45","sectionType":"section","heading":"Manner of withdrawal of trust money","content":"45 Manner of withdrawal of trust money\n(1) A law practice must not withdraw trust money from a general trust\naccount otherwise than by cheque or electronic funds transfer.\n(2) Without limiting subregulation (1), the following are specifically\nprohibited:\n(a) cash withdrawals;\n(b) ATM withdrawals or transfers;\n(c) telephone banking withdrawals or transfers.\n(3) If a law practice that is an Australian legal practitioner who is a sole\npractitioner, or an incorporated legal practice, contravenes\nsubregulation (1), the practitioner or practice is guilty of an offence.\n\nLegal Profession Regulations 2007 26\n(4) If a law practice that is a law firm or multi-disciplinary partnership\ncontravenes subregulation (1), each principal of the practice is\nguilty of an offence.\n(5) An offence against subregulation (3) or (4) is an offence of strict\nliability.\n(6) This regulation has effect despite anything to the contrary in any\ndirections given to the law practice concerned, even if the directions\nare given by a person who is otherwise legally entitled to give the\nlaw practice directions in respect of dealings with controlled money.\n","sortOrder":46},{"sectionNumber":"46","sectionType":"section","heading":"Payment by cheque","content":"46 Payment by cheque\n(1) This regulation applies to the withdrawal of trust money from a\ngeneral trust account of a law practice by cheque.\n(2) A cheque must:\n(a) be made payable to or to the order of a specified person or\npersons and not to bearer or cash; and\n(b) be crossed \"not negotiable\"; and\n(c) include:\n(i) the name of the law practice or the business name under\nwhich the law practice engages in legal practice; and\n(ii) the expression \"law practice trust account\" or \"law\npractice trust a/c\".\n(3) A cheque must be signed:\n(a) by an authorised principal of the law practice; or\n(i) by an authorised legal practitioner associate; or\n(ii) by an authorised Australian legal practitioner who holds\nan unrestricted practising certificate authorising the\nreceipt of trust money; or\n(iii) by 2 or more authorised associates jointly.\n\nLegal Profession Regulations 2007 27\n(4) A written record of the required particulars (which may be in the\nform of a cheque butt) must be kept of each payment made by\ncheque, whether by way of making a carbon copy or otherwise,\nunless at the time the cheque is issued those particulars are\nrecorded by computer program in the trust account payments cash\nbook.\n(5) If at the time the cheque is issued the required particulars are\nrecorded by computer program in the trust account payments cash\nbook, a written record must be kept that is sufficient to enable the\naccuracy of the particulars recorded by the computer program to be\nverified.\n(6) For subregulations (4) and (5), the required particulars are as\nof the ADI and the name of the person receiving the benefit of\n(d) details clearly identifying the name of the person on whose\n(e) details clearly identifying the ledger account to be debited;\n(7) Written records relating to payments by cheque (including cheque\nrequisitions) must be kept in the order in which the cheques were\nissued.\n(8) Subregulation (2)(c) does not apply to an account established in\nthis jurisdiction before the commencement of this regulation.\n(9) Subregulation (2)(c)(ii) does not require the repetition of the words\n\"law practice\" if those words form part of the name or business\nname of the law practice.\n(10) In this regulation:\nauthorised means authorised by the law practice to sign cheques\ndrawn on the general trust account.\n\nLegal Profession Regulations 2007 28\n","sortOrder":47},{"sectionNumber":"47","sectionType":"section","heading":"Payment by electronic funds transfer","content":"47 Payment by electronic funds transfer\n(1) This regulation applies to the withdrawal of trust money from a\ngeneral trust account of a law practice by electronic funds transfer.\n(2) An electronic funds transfer must be effected by, under the direction\nof or with the authority of:\n(a) an authorised principal of the law practice; or\n(i) an authorised legal practitioner associate; or\n(ii) an authorised Australian legal practitioner who holds an\nunrestricted practising certificate authorising the receipt\nof trust money; or\n(iii) two or more authorised associates jointly.\n(3) A written record of the required particulars must be kept of each\npayment unless at the time the electronic funds transfer is effected\nthose particulars are recorded by computer program in the trust\naccount payments cash book.\n(4) If at the time the electronic funds transfer is effected the required\nparticulars are recorded by computer program in the trust account\npayments cash book, a written record must be kept that is sufficient\nto enable the accuracy of the particulars recorded by the computer\nprogram to be verified.\n(5) For subregulations (3) and (4), the required particulars are as\ntransferred and relevant BSB number;\n(f) details clearly identifying the ledger account to be debited;\n\nLegal Profession Regulations 2007 29\n(6) Written records relating to payments by electronic funds transfer\n(including transfer requisitions) must be kept in the order in which\nthe transfers were effected.\n(7) In this regulation:\nauthorised means authorised by the law practice to effect, direct or\ngive authority for an electronic funds transfer from the general trust\n","sortOrder":48},{"sectionNumber":"48","sectionType":"section","heading":"Recording transactions in trust account cash books","content":"48 Recording transactions in trust account cash books\nA law practice that maintains a general trust account must keep the\nfollowing trust account cash books:\n(a) a trust account receipts cash book in accordance with\nregulation 49;\n(b) a trust account payments cash book in accordance with\nregulation 50.\n","sortOrder":49},{"sectionNumber":"49","sectionType":"section","heading":"Trust account receipts cash book","content":"49 Trust account receipts cash book\n(1) The following particulars must be recorded in a law practice's trust\naccount receipts cash book in respect of each receipt of trust\nmoney:\n(a) the date a receipt was made out for the money and, if\ndifferent, the date of receipt of the money;\n(b) the receipt number;\n(c) the amount of money received;\n(d) the form in which the money was received;\n(e) the name of the person from whom the money was received;\n(f) details clearly identifying the name of the client in respect of\nwhom the money was received and the matter description and\n(h) details clearly identifying the ledger account to be credited.\n\nLegal Profession Regulations 2007 30\n(2) The date and amount of each deposit in the general trust account\nmust be recorded in the trust account receipts cash book.\n(3) The particulars in respect of receipts must be recorded in the order\nin which the receipts are made out.\n(4) The particulars in respect of a receipt must be recorded within\n5 working days counting from and including the day the receipt was\nmade out.\n","sortOrder":50},{"sectionNumber":"50","sectionType":"section","heading":"Trust account payments cash book","content":"50 Trust account payments cash book\n(1) The following particulars must be recorded in a law practice's trust\naccount payments cash book in respect of each payment of trust\nmoney by cheque:\nor BSB number of the ADI and the name of the person\nreceiving the benefit of the payment;\n(d) details clearly identifying the name of the person on whose\n(e) details clearly identifying the ledger account to be debited;\n(2) The following particulars must be recorded in a law practice's trust\naccounts payments cash book in respect of each payment of trust\nmoney by electronic funds transfer:\n\nLegal Profession Regulations 2007 31\n(f) details clearly identifying the ledger account to be debited;\n(3) The particulars in respect of payments must be recorded in the\norder in which the payments are made.\n(4) The particulars in respect of a payment must be recorded within\n5 working days counting from and including the day the payment\nwas made.\n","sortOrder":51},{"sectionNumber":"51","sectionType":"section","heading":"Recording transactions in trust ledger accounts","content":"51 Recording transactions in trust ledger accounts\n(1) A law practice that maintains a general trust account must keep a\ntrust account ledger containing separate trust ledger accounts in\nrelation to each client of the practice in each matter for which trust\nmoney has been received by the practice.\n(2) The following particulars must be recorded in the title of a trust\nledger account:\n(a) the name of the person for or on behalf of whom the trust\nmoney was paid;\n(b) the person's address;\n(c) particulars sufficient to identify the matter in relation to which\nthe trust money was received.\n(3) Details of any changes in the title of a trust ledger account must be\nrecorded.\n(4) The following particulars must be recorded in the trust ledger\naccount in respect of each receipt of trust money for the matter:\n(a) the date a receipt was made out for the money and, if\ndifferent, the date of receipt of the money;\n(b) the receipt number;\n(c) the amount of money received;\nmoney was received.\n\nLegal Profession Regulations 2007 32\n(5) The following particulars must be recorded in the trust ledger\naccount in respect of each payment of trust money by cheque:\nor BSB number of the ADI and the name of the person\nreceiving the benefit of the payment;\n(d) particulars sufficient to identify the purpose for which the\n(6) The following particulars must be recorded in the trust ledger\naccount in respect of each payment of trust money by electronic\nfunds transfer:\n(7) The following particulars must be recorded in the trust ledger\naccount in respect of each transfer of trust money effected by a\njournal entry:\n(a) the date of the transfer;\n(c) the journal reference number;\n(d) the name of the other trust ledger account from which or to\nwhich the money was transferred;\n\nLegal Profession Regulations 2007 33\n(8) Transactions relating to trust money must be recorded in the trust\nledger account in the order in which the transactions occur.\n(9) The particulars in respect of a receipt, payment or transfer of trust\nmoney must be recorded within 5 working days counting from and\nincluding the day the receipt was made out, the payment was made\nor the transfer was effected, as the case requires.\n(10) The trust ledger account balance must be recorded in the trust\nledger account after each receipt, payment or transfer of trust\nmoney.\n","sortOrder":52},{"sectionNumber":"52","sectionType":"section","heading":"Journal transfers","content":"52 Journal transfers\n(1) Trust money may be transferred by journal entry from one trust\nledger account in a law practice's trust ledger to another trust ledger\naccount in the trust ledger, but only if:\n(a) the law practice is entitled to withdraw the money and pay it to\nthe other trust ledger account; and\n(b) the transfer has been authorised in writing by:\n(i) if the law practice is constituted by a sole practitioner –\nthe sole practitioner; or\n(ii) a manager or receiver for the law practice; or\n(iii) a person who is duly authorised by the law practice or by\na manager or receiver for the law practice to sign\ncheques drawn on the general trust account without a\nco-signatory; or\n(iv) two or more persons who are duly authorised by the law\npractice or by a manager or receiver for the law practice\nto sign cheques drawn on the general trust account\njointly.\n(2) A law practice must keep a trust account transfer journal if it\ntransfers trust money by journal entry.\n(3) The following particulars must be recorded in the trust account\ntransfer journal in respect of each transfer of trust money by journal\nentry:\n(a) the date of the transfer;\n(b) the trust ledger account from which the money is transferred\n(including its identifying reference);\n\nLegal Profession Regulations 2007 34\n(c) the trust ledger account to which the money is transferred\n(including its identifying reference);\n(d) the amount transferred;\ntransfer is made, the matter reference and a short description\nof the matter.\n(4) Journal pages or entries must be consecutively numbered.\n(5) A law practice must keep particulars of the authorisation for each\ntransfer of trust money by journal entry, whether in the trust account\ntransfer journal or in some other way.\nresponsible person, in relation to a law practice, means a person\nwho has authority to deal with trust money of the law practice.\n","sortOrder":53},{"sectionNumber":"53","sectionType":"section","heading":"Reconciliation of trust records","content":"53 Reconciliation of trust records\n(1) A law practice that maintains one or more general trust accounts\nmust reconcile the trust records relating to each account.\n(2) The trust records relating to a general trust account must be\nreconciled as at the end of each named month by preparing:\n(a) a statement:\n(i) reconciling the general trust account balance as shown\nin ADI records with the balance of the practice's trust\naccount cash books; and\n(ii) showing the date the statement was prepared; and\n(b) a statement:\n(i) reconciling the balance of the trust ledger accounts with\nthe balance of the practice's trust account cash books;\nand\n(ii) containing a list of the practice's trust ledger accounts\nshowing the name, identifying reference and balance of\neach and a short description of the matter to which each\nrelates; and\n(iii) showing the date the statement was prepared.\n(3) The statements must be prepared within 15 working days after the\nend of the month concerned.\n\nLegal Profession Regulations 2007 35\n(4) The statements must be kept by the law practice.\n","sortOrder":54},{"sectionNumber":"54","sectionType":"section","heading":"Trust ledger account in name of law practice or legal","content":"54 Trust ledger account in name of law practice or legal\npractitioner associate\n(1) A law practice must not maintain a trust ledger account in the name\nof the practice or a legal practitioner associate of the practice\nexcept as authorised by this regulation.\n(2) A law practice may maintain in its trust ledger:\n(a) a trust ledger account in the practice's name, but only for the\npurpose of aggregating in the account, by transfer from other\naccounts in the trust ledger, money properly due to the\npractice for legal costs; and\n(b) a trust ledger account in a legal practitioner associate's name,\nbut only in respect of money in which the associate has a\npersonal and beneficial interest as a vendor, purchaser, lessor\nor lessee or in another similar capacity.\n(3) In a case to which subregulation (2)(a) applies, the law practice\nmust ensure that the money in the trust ledger account is withdrawn\nfrom the general trust account not later than one month after the\nday on which the money was transferred to the trust ledger\n(4) In a case to which subregulation (2)(b) applies, the law practice\nmust ensure that the money in the trust ledger account is withdrawn\nfrom the general trust account at the conclusion of the matter to\nwhich the money relates.\n","sortOrder":55},{"sectionNumber":"55","sectionType":"section","heading":"Notification requirements regarding general trust accounts","content":"55 Notification requirements regarding general trust accounts\n(1) Within 14 days after establishing a general trust account, a law\npractice must give the Law Society written notice of that fact.\n(2) A law practice:\n(a) either before, or within 14 days after, authorising or\nterminating the authority of an associate of the practice or an\nAustralian legal practitioner:\n(i) to sign cheques drawn on a general trust account of the\n(ii) otherwise to effect, direct or give authority for the\nwithdrawal of money from a general trust account of the\npractice;\n\nLegal Profession Regulations 2007 36\nmust give the Society written notice of that fact (including the\nname and address of the associate or practitioner and\nindicating, in the case of an associate, whether the associate\nis an employee of the practice); and\n(b) during July of each year, must give the Society written notice\nof the associates and Australian legal practitioners (including\ntheir names and addresses) who are authorised, as at 1 July\nof that year:\n(i) to sign cheques drawn on a general trust account of the\n(ii) otherwise to effect, direct or give authority for the\nwithdrawal of money from a general trust account of the\n(3) Within 14 days after the closure of a general trust account\nmaintained by it, a law practice must give the Society written notice\nof that fact.\n(4) A notice under this regulation given by a law practice must include\nparticulars sufficient to identify the general trust accounts of the\n(5) In this regulation:\nlaw practice includes a former law practice and the persons who\nwere principals of a law practice immediately before the law\npractice ceased to exist as a law practice or to engage in legal\npractice in this jurisdiction.\n","sortOrder":56},{"sectionNumber":"56","sectionType":"section","heading":"Maintenance of controlled money accounts","content":"56 Maintenance of controlled money accounts\n(1) For section 248(4) of the Act, a controlled money account must be\nmaintained under an account name that includes the following\nparticulars:\n(a) the name of the law practice concerned;\n(b) the expression \"controlled money account\" or the abbreviation\n\"CMA\" or \"CMA/c\";\n(c) such particulars as are sufficient to identify the purpose of the\naccount and to distinguish the account from any other account\nmaintained by the law practice.\n\nLegal Profession Regulations 2007 37\n(2) This regulation does not apply to an account established in this\njurisdiction before the commencement of this regulation.\n","sortOrder":57},{"sectionNumber":"57","sectionType":"section","heading":"Receipt of controlled money","content":"57 Receipt of controlled money\n(1) This regulation applies if a law practice receives controlled money.\n(2) The law practice must operate a single controlled money receipt\nsystem for the receipt of controlled money for all its controlled\nmoney accounts.\n(3) After receiving controlled money, the law practice must make out a\nreceipt.\n(4) The receipt must be made out as soon as practicable:\n(a) after the controlled money is received, except as provided by\nparagraph (b); or\n(b) in the case of controlled money received by direct deposit –\nafter the law practice receives or accesses notice or\nconfirmation (in written or electronic form) of the deposit from\nthe ADI concerned.\n(5) The receipt, containing the required particulars, must be made out\nin duplicate, whether by way of making a carbon copy or otherwise,\nunless at the time the receipt is made out those particulars are\nrecorded by computer program in the register of controlled money.\n(6) For subregulation (5), the required particulars are as follows:\n(a) the date the receipt is made out and, if different, the date of\nreceipt of the money;\n(b) the amount of money received;\n(c) the form in which the money was received;\nbehalf the money was received and the matter description and\n(g) the name of and other details clearly identifying the controlled\nmoney account to be credited, unless the account has not\nbeen established by the time the receipt is made out;\n\nLegal Profession Regulations 2007 38\n(h) the name of the law practice, or the business name under\nwhich the law practice engages in legal practice, and the\nexpression \"controlled money receipt\";\n(i) the name of the person who made out the receipt;\n(j) the number of the receipt.\n(7) If the controlled money account to be credited has not been\nestablished by the time the receipt is made out, the name of and\nother details clearly identifying the account when established must\nbe included on the duplicate receipt (if any).\n(8) The original receipt must be delivered, on request, to the person\nfrom whom the controlled money was received.\n(9) Receipts must be consecutively numbered and issued in\nconsecutive sequence.\n(10) If a receipt is cancelled or not delivered, the original receipt must be\nkept.\n(11) A receipt is not required to be made out for any interest or other\nincome received from the investment of controlled money and\ncredited directly to a controlled money account.\n","sortOrder":58},{"sectionNumber":"58","sectionType":"section","heading":"Deposit of controlled money","content":"58 Deposit of controlled money\nFor section 248(5) of the Act, the prescribed period for which a\nwritten direction referred to in section 248(1) of the Act must be\nkept is 7 years after finalisation of the matter to which the direction\nrelates.\n","sortOrder":59},{"sectionNumber":"59","sectionType":"section","heading":"Manner of withdrawal of controlled money","content":"59 Manner of withdrawal of controlled money\n(1) A law practice must not withdraw controlled money from a\ncontrolled money account otherwise than by cheque or electronic\nfunds transfer.\n(2) Without limiting subregulation (1), the following are specifically\nprohibited:\n(a) cash withdrawals;\n(b) ATM withdrawals or transfers;\n(c) telephone banking withdrawals or transfers.\n\nLegal Profession Regulations 2007 39\n(3) If a law practice that is an Australian legal practitioner who is a sole\npractitioner, or an incorporated legal practice, contravenes\nsubregulation (1), the practitioner or practice is guilty of an offence.\n(4) If a law practice that is a law firm or multi-disciplinary partnership\ncontravenes subregulation (1), each principal of the practice is\nguilty of an offence.\n(5) An offence against subregulation (3) or (4) is an offence of strict\nliability.\n(6) This regulation has effect despite anything to the contrary in any\ndirections given to the law practice concerned, even if the directions\nare given by a person who is otherwise legally entitled to give the\nlaw practice directions in respect of dealings with controlled money.\n","sortOrder":60},{"sectionNumber":"60","sectionType":"section","heading":"Withdrawal of controlled money must be authorised","content":"60 Withdrawal of controlled money must be authorised\n(1) A withdrawal of money from a controlled money account of a law\npractice must be effected by, under the direction of or with the\nauthority of:\n(a) an authorised principal of the law practice; or\n(i) an authorised legal practitioner associate; or\n(ii) an authorised Australian legal practitioner who holds an\nunrestricted practising certificate authorising the receipt\nof trust money; or\n(iii) two or more authorised associates jointly.\n(2) A written record of the required particulars must be kept of each\nwithdrawal unless at the time the withdrawal is made those\nparticulars are recorded by computer program.\n(3) If at the time the withdrawal is made the required particulars are\nrecorded by computer program, a written record must be kept that\nis sufficient to enable the accuracy of the particulars recorded by\nthe computer program to be verified.\n\nLegal Profession Regulations 2007 40\n(4) For subregulations (2) and (3), the required particulars are as\n(b) the amount withdrawn;\n(c) in the case of a transfer made by electronic funds transfer –\nthe name and number of the account to which the amount was\n(d) the name of the person to whom payment is to be made or, in\npayment was made;\n(g) the person or persons effecting, directing or authorising the\nwithdrawal.\n(5) The particulars must be recorded in the order in which the\npayments are recorded and must be recorded separately for each\ncontrolled money account.\nauthorised means authorised by the law practice to effect, direct or\ngive authority for a withdrawal of money from the controlled money\n","sortOrder":61},{"sectionNumber":"61","sectionType":"section","heading":"Register of controlled money","content":"61 Register of controlled money\n(1) A law practice that receives controlled money must maintain a\nregister of controlled money consisting of the records of controlled\nmoney movements for the controlled money accounts of the\n(2) A separate record of controlled money movements must be\nmaintained for each controlled money account.\n\nLegal Profession Regulations 2007 41\n(3) A record of controlled money movements for a controlled money\naccount must record the following information:\n(a) the name of the person on whose behalf the controlled money\nis held;\n(b) the person's address;\n(c) particulars sufficient to identify the matter;\n(d) any changes to the information referred to in paragraphs (a)\nto (c).\n(4) The following particulars must be recorded in a record of controlled\nmoney movements for a controlled money account:\n(a) the date the controlled money was received;\n(b) the number of the receipt;\n(c) the date the money was deposited in the controlled money\naccount;\n(d) the name of and other details clearly identifying the controlled\nmoney account;\n(e) the amount of controlled money deposited;\n(f) details of the deposit sufficient to identify the deposit;\n(g) interest received;\n(h) details of any payments from the controlled money account,\nincluding the particulars required to be recorded under\nregulation 60(4).\n(5) With the exception of interest and other income received in respect\nof controlled money, particulars of receipts and payments must be\nentered in the register as soon as practicable after the controlled\nmoney is received by the law practice or any payment is made.\n(6) Interest and other income received in respect of controlled money\nmust be entered in the register as soon as practicable after the law\npractice is notified of its receipt.\n(7) The law practice must retain as part of its trust records all\nsupporting information (including ADI statements and notifications\nof interest received) relating to controlled money.\n\nLegal Profession Regulations 2007 42\n(8) Within 15 working days after each named month, the law practice\nmust prepare and keep as a permanent record a statement as at\nthe end of the named month:\n(a) containing a list of the practice's controlled money accounts\nshowing:\n(i) the name, number and balance of each account in the\nregister; and\n(ii) the name of the person on whose behalf the controlled\nmoney in each account was held; and\n(iii) a short description of the matter to which each account\nrelates; and\n(b) showing the date the statement was prepared.\n","sortOrder":62},{"sectionNumber":"Div 5","sectionType":"division","heading":"Transit money","content":"Division 5 Transit money\n","sortOrder":63},{"sectionNumber":"62","sectionType":"section","heading":"Information to be recorded about transit money","content":"62 Information to be recorded about transit money\n(1) This regulation has effect for section 249 of the Act.\n(2) A law practice must, in respect of transit money received by the\npractice, record and retain brief particulars sufficient to identify the\nrelevant transaction and any purpose for which the money was\nreceived.\n","sortOrder":64},{"sectionNumber":"63","sectionType":"section","heading":"Trust account statements","content":"63 Trust account statements\n(1) A law practice must furnish a trust account statement to each\nperson for whom or on whose behalf trust money (other than transit\nmoney) is held or controlled by the law practice or an associate of\nthe practice.\n(2) In the case of trust money in respect of which the law practice is\nrequired to maintain a trust ledger account, the practice must\nfurnish a separate statement for each trust ledger account.\n(3) In the case of controlled money in respect of which the law practice\nis required to maintain a record of controlled money movements,\nthe practice must furnish a separate statement for each record.\n\nLegal Profession Regulations 2007 43\n(4) In the case of trust money subject to a power given to the law\npractice or an associate of the practice in respect of which the\npractice is required to keep a record of all dealings with the money\nto which the practice or associate is a party, the practice must\nfurnish a separate statement for each record.\n(5) A trust account statement is to contain particulars of:\n(a) all the information required to be kept under this Part in\nrelation to the trust money included in the relevant ledger\naccount or record; and\n(b) the remaining balance (if any) of the money.\n(6) A trust account statement must be furnished:\n(a) as soon as practicable after completion of the matter to which\nthe ledger account or record relates; or\n(b) as soon as practicable after the person for whom or on whose\nbehalf the money is held or controlled makes a reasonable\nrequest for the statement during the course of the matter; or\n(c) except as provided by subregulation (7), as soon as\npracticable after 30 June in each year.\n(7) The law practice is not required to furnish a trust account statement\nunder subregulation (6)(c) in respect of a ledger account or record if\nat 30 June:\n(a) the ledger account or record has been open for less than\n6 months; or\n(b) the balance of the ledger account or record is zero and no\ntransaction affecting the account has taken place within the\nprevious 12 months; or\n(c) a trust account statement has been furnished within the\nprevious 12 months and there has been no subsequent\ntransaction affecting the ledger account or record.\n(8) The law practice must retain a copy of a trust account statement\nfurnished under this regulation.\n","sortOrder":65},{"sectionNumber":"64","sectionType":"section","heading":"Trust account statements for sophisticated clients","content":"64 Trust account statements for sophisticated clients\n(1) Regulation 63 does not apply to a sophisticated client to the extent\nto which the client directs the law practice not to provide trust\naccount statements under that regulation.\n\nLegal Profession Regulations 2007 44\n(2) If the sophisticated client directs the law practice to provide trust\naccount statements on a basis different from that prescribed by\nregulation 63, the law practice must supply those statements as\ndirected, except to the extent to which the direction is unreasonably\nonerous.\n(3) The law practice must retain a copy of a trust account statement\nfurnished under this regulation.\n(4) In this regulation:\nsophisticated client, see section 295(1) of the Act.\n","sortOrder":66},{"sectionNumber":"65","sectionType":"section","heading":"Register of Investments","content":"65 Register of Investments\n(1) This regulation applies if trust money mentioned in section 236(3) of\nthe Act is invested by a law practice for or on behalf of a client, but\nthis regulation does not itself confer power to make investments.\n(2) The law practice must maintain a register of investments of trust\nmoney.\n(3) The register must record the following information in relation to\neach investment:\n(a) the name in which the investment is held;\n(b) the name of the person on whose behalf the investment is\nmade;\n(c) the person's address;\n(d) particulars sufficient to identify the investment;\n(e) the amount invested;\n(f) the date the investment was made;\n(g) particulars sufficient to identify the source of the investment,\nincluding, for example:\n(i) a reference to the relevant trust ledger; and\n(ii) a reference to the written authority to make the\ninvestment; and\n(iii) the number of the cheque for the amount to be invested;\n(h) details of any documents evidencing the investment;\n\nLegal Profession Regulations 2007 45\n(i) details of any interest received from the investment or credited\ndirectly to the investment;\n(j) details of the repayment of the investment and any interest, on\nmaturity or otherwise.\n(4) This regulation does not require particulars to be recorded in the\nregister if the particulars are required to be recorded elsewhere by\nanother regulation.\n","sortOrder":67},{"sectionNumber":"66","sectionType":"section","heading":"Trust money subject to specific powers","content":"66 Trust money subject to specific powers\n(1) This regulation has effect for section 250 of the Act.\n(2) If a law practice or an associate of the practice is given a power to\ndeal with trust money for or on behalf of another person, the\npractice must keep:\n(a) a record of all dealings with the money to which the practice or\nassociate is a party; and\n(b) all supporting information in relation to the dealings;\nin a manner that enables the dealings to be clearly understood.\n(3) The record, supporting information and power must be kept by the\nlaw practice as part of the practice's trust records.\n","sortOrder":68},{"sectionNumber":"67","sectionType":"section","heading":"Register of powers and estates in relation to trust money","content":"67 Register of powers and estates in relation to trust money\n(1) A law practice must maintain a register of powers and estates in\nrespect of which the law practice or an associate of the practice is\nacting or entitled to act, alone or jointly with the law practice or one\nor more associates of the practice, in relation to trust money.\n(2) Subregulation (1) does not apply where the law practice or\nassociate is also required to act jointly with one or more persons\nwho are not associates of the practice.\n(3) The register of powers and estates must record:\n(a) the name and address of the donor and date of each power;\nand\n(b) the name and date of death of the deceased in respect of\neach estate of which the law practice or associate is executor\nor administrator.\n\nLegal Profession Regulations 2007 46\n","sortOrder":69},{"sectionNumber":"68","sectionType":"section","heading":"Withdrawing trust money for legal costs","content":"68 Withdrawing trust money for legal costs\n(1) This regulation prescribes, for section 254(1)(b) of the Act, the\nprocedure for the withdrawal of trust money held in a general trust\naccount or controlled money account of a law practice for payment\nof legal costs owing to the practice by the person for whom the trust\nmoney was paid into the account.\n(2) The trust money may be withdrawn in accordance with the\nprocedure set out in either subregulation (3) or (4).\n(3) The law practice may withdraw the trust money:\n(a) if:\n(i) the money is withdrawn in accordance with a costs\nagreement that complies with the legislation under which\nit is made and that authorises the withdrawal; or\n(ii) the money is withdrawn in accordance with instructions\nthat have been received by the practice and that\nauthorise the withdrawal; or\n(iii) the money is owed to the practice by way of\nreimbursement of money already paid by the practice on\nbehalf of the person; and\n(b) if, before effecting the withdrawal, the practice gives or sends\nto the person:\n(i) a request for payment, referring to the proposed\nwithdrawal, or\n(ii) a written notice of withdrawal.\n(4) The law practice may withdraw the trust money:\n(a) if the practice has given the person a bill relating to the\nmoney; and\n(b) if:\n(i) the person has not objected to withdrawal of the money\nwithin 7 days after being given the bill; or\n(ii) the person has objected within 7 days after being given\nthe bill but has not applied for a review of the legal costs\nunder the Act within 60 days after being given the bill; or\n(iii) the money otherwise becomes legally payable.\n\nLegal Profession Regulations 2007 47\n(5) Instructions mentioned in subregulation (3)(a)(ii):\n(a) if given in writing, must be kept as a permanent record; or\n(b) if not given in writing, must be confirmed in writing either\nbefore, or not later than 5 working days after, the law practice\neffects the withdrawal and a copy must be kept as a\npermanent record.\n(6) For subregulation (3)(a)(iii), money is taken to have been paid by\nthe law practice on behalf of the person when the relevant account\nof the practice has been debited.\n","sortOrder":70},{"sectionNumber":"69","sectionType":"section","heading":"Keeping of trust records","content":"69 Keeping of trust records\n(1) This regulation has effect for section 257 of the Act for the keeping\nin a permanent form of a law practice's trust records in relation to\ntrust money received by the practice.\n(2) The trust records must be kept for a period of 7 years after:\n(a) in the case of a trust record mentioned in paragraphs (a)\nto (m) of the definition \"trust records\" in section 235(1) of the\nAct – the only or the last transaction entry in the trust record;\nor\n(b) in the case of any other trust record – finalisation of the matter\nto which the trust record relates.\n(3) This regulation does not apply to a written direction mentioned in\nsection 246(2)(a) or 248(1) of the Act.\n","sortOrder":71},{"sectionNumber":"70","sectionType":"section","heading":"Retaining other records and information","content":"70 Retaining other records and information\n(1) A record maintained under regulation 38 is, so far as it relates to\nparticular information, to be kept by the law practice for a period of\n7 years after finalisation of the matter to which the record relates.\n(2) Any other record or information required by this Part to be kept by a\nlaw practice must be kept for a period of 7 years after finalisation of\nthe matter to which the record relates.\n(3) This regulation does not apply to records to which regulation 44, 58\nor 69 applies.\n\nLegal Profession Regulations 2007 48\n","sortOrder":72},{"sectionNumber":"71","sectionType":"section","heading":"Statements regarding receipt or holding of trust money","content":"71 Statements regarding receipt or holding of trust money\n(1) The Law Society may, by notice given under this regulation, require\na law practice to give the Society a statement:\n(a) specifying whether or not the practice has during a period\nspecified by the Society received or held trust money; and\n(b) if it has received or held trust money during that period,\nspecifying to which of the following categories the trust money\nbelongs:\n(i) general trust money (being trust money other than that\nreferred to in subparagraphs (ii) to (iv));\n(ii) controlled money;\n(iii) transit money;\n(iv) money subject to a power.\n(2) A notice may be given so as to apply in respect of one or more\nperiods (whether they occur annually or otherwise), and may be\nwithdrawn or varied by a further notice.\n(3) A notice may specify the time by which or the period during which\nthe requirement must be complied with.\n(4) A notice is given to:\n(a) a particular law practice by sending the notice by post to the\n(b) a particular class of law practices by publishing the notice in a\ncircular distributed generally to law practices of the class or in\na magazine or other publication available generally to law\npractices of the class.\n(5) A law practice:\n(a) must comply with a requirement imposed on it under this\nregulation and must do so by the time or during the period\nspecified in the notice for compliance; and\n(b) must not include in the statement any information that is false\nor misleading in a material particular.\n\nLegal Profession Regulations 2007 49\n","sortOrder":73},{"sectionNumber":"72","sectionType":"section","heading":"Requirement for external examinations","content":"72 Requirement for external examinations\n(1) For section 270(1) of the Act, a law practice must appoint a\ndesignated person as an external examiner to examine the\npractice's trust records.\nNote\nA designated person is a person appointed as such under section 268 of the Act.\n(2) If the only trust money received or held by a law practice during a\nfinancial year is transit money, the practice's trust records in respect\nof that year are not required to be externally examined.\n","sortOrder":74},{"sectionNumber":"73","sectionType":"section","heading":"Law practice closing down, closing office or ceasing to receive","content":"73 Law practice closing down, closing office or ceasing to receive\nor hold trust money\n(1) A law practice that holds trust money must give the Law Society at\nleast 14 days' written notice of its intention:\n(a) to cease to exist as a law practice; or\n(b) to cease to engage in legal practice in this jurisdiction; or\n(c) to cease to practise in such a way as to receive trust money.\n(2) Within 14 days of ceasing to hold trust money, a law practice that\nholds trust money must give the Society:\n(a) written notice of that fact; and\n(b) if the practice has not given a notice under subregulation (1)\nwithin the previous 28 days, a notice that complies with that\nsubregulation.\n(3) A notice under this regulation must include particulars sufficient to\nidentify:\n(a) a law practice's general trust accounts and controlled money\naccounts; and\n(b) trust money controlled by the practice (or by an associate)\npursuant to a power; and\n(c) trust money invested by the practice.\n\nLegal Profession Regulations 2007 50\n(4) In this regulation:\nlaw practice includes a former law practice and the persons who\nwere principals of a law practice immediately before the law\npractice ceased to exist as a law practice or to engage in legal\npractice in this jurisdiction.\n","sortOrder":75},{"sectionNumber":"74","sectionType":"section","heading":"Carrying out examination","content":"74 Carrying out examination\nFor section 273(3)(b) of the Act, the form and content of an external\nexaminer's report (but not the substance of the report) must be\napproved by the Law Society.\n","sortOrder":76},{"sectionNumber":"75","sectionType":"section","heading":"Conditions on approval of ADIs","content":"75 Conditions on approval of ADIs\nFor section 278(3) of the Act, the kinds of conditions that may be\nimposed on an approval of an ADI under section 278 of the Act are\nconditions that provide for, or conditions that require arrangements\nto be negotiated and entered into between the ADI and the Law\nSociety that provide for, any one or more of the following:\n(a) the payment of interest to the Funds Management Committee\non the whole or any part of deposits in trust accounts;\n(b) the manner in which the Society is informed of amounts held\nin trust accounts;\n(c) the auditing of balances in trust accounts;\n(d) the keeping of any trust accounts or only trust accounts of a\nparticular class (for example, controlled money accounts);\n(e) any matters relevant to paragraphs (a) to (d).\n","sortOrder":77},{"sectionNumber":"76","sectionType":"section","heading":"Report by ADI to Law Society","content":"76 Report by ADI to Law Society\nFor section 280(3) of the Act, a report about a trust account given to\nthe Law Society by an ADI must contain the following:\n(a) identifying details of the account;\n(b) the daily balances of trust money held in the account.\n\nLegal Profession Regulations 2007 51\n","sortOrder":78},{"sectionNumber":"77","sectionType":"section","heading":"Disclosure of accounts used to hold money entrusted to legal","content":"77 Disclosure of accounts used to hold money entrusted to legal\npractitioners\n(1) For section 286(1) of the Act, the details of which a law practice is\nrequired to give notice to the Law Society in relation to each\naccount maintained at an ADI in which the practice or any legal\npractitioner associate holds money entrusted to the practice or\nassociate, are as follows:\n(a) the name of the ADI, together with its BSB number;\n(b) the name of the account, together with its account number;\n(c) the name of each person authorised to operate on the\naccount;\n(d) for each amount of money so entrusted:\n(i) the name of the person for whom the money is\nentrusted; and\n(ii) the purpose for which the money is entrusted; and\n(iii) the date on which the money is deposited in the account,\ntogether with the manner in which it is deposited; and\n(iv) the date on which the money is withdrawn from the\naccount, together with the manner in which it is\nwithdrawn.\n(2) The details mentioned in subregulation (1) must be notified to the\nSociety at the times and in the manner required by the Society.\n","sortOrder":79},{"sectionNumber":"78","sectionType":"section","heading":"Exemptions","content":"78 Exemptions\nThe Law Society:\n(a) may exempt a law practice from complying with any of the\nprovisions of this Part or Part 3.1 of the Act, subject to any\nconditions that may be imposed by the Society; and\n(b) may, at any time, impose a new condition on the exemption,\namend or revoke a condition already imposed on the\nexemption, or revoke the exemption.\n\nPart 3.2 Advertising legal services for personal injury claims\nLegal Profession Regulations 2007 52\nPart 3.2 Advertising legal services for personal injury\nclaims\n79 Exemptions from the application of Part 32 of the Act\nFor section 288(1)(g) of the Act, the following advertisements or\npublications are prescribed:\n(a) an advertisement or publication made by the Law Society, the\nNorthern Territory Legal Aid Commission or a community legal\ncentre informing persons about where they may obtain legal\nadvice about the law relating to personal injuries, including the\nnames and addresses of firms of legal practitioners that\nprovide legal services in connection with making a claim for\ncompensation or damages for a personal injury;\n(b) an advertisement or publication circulated within a firm of legal\npractitioners relating to legal services provided in connection\nwith making a claim for compensation or damages for a\npersonal injury by the firm or a particular legal practitioner in\nthe firm.\n","sortOrder":80},{"sectionNumber":"80","sectionType":"section","heading":"Prescribed persons for section 288(2)(b) of the Act","content":"80 Prescribed persons for section 288(2)(b) of the Act\nFor section 288(2)(b) of the Act, the following persons are\nprescribed:\n(a) the Law Society;\n(b) the Northern Territory Legal Aid Commission or a person\nacting for the Commission;\n(c) a community legal centre or a supervising legal practitioner\nemployed or engaged by the centre acting for the centre;\n(d) the Commissioner of Consumer Affairs or a person acting for\nthe Commissioner;\n(e) an ambassador, consul or diplomat of a foreign country\ncarrying out consular or diplomatic duties in the Territory.\n\nLegal Profession Regulations 2007 53\n","sortOrder":81},{"sectionNumber":"80A","sectionType":"section","heading":"When does matter have substantial connection with this","content":"80A When does matter have substantial connection with this\nFor Part 3.3 of the Act, a matter involving a client of a law practice\nhas a substantial connection with this jurisdiction in any of the\nfollowing circumstances:\n(a) the client is an individual resident in this jurisdiction;\n(b) the client is a body corporate and either of the following\napplies:\n(i) the client carries on its business activities principally in\nthis jurisdiction;\n(ii) the legal services provided or to be provided relate\nprincipally to business activities carried on by the client\nin this jurisdiction;\n(c) the law practice, or the associate of the practice who is\nprincipally involved in the matter, engages in legal practice\nprincipally in this jurisdiction;\n(d) the legal services provided, or to be provided, relate to this\njurisdiction, including, for example, legal services provided or\nto be provided for or in connection with:\n(i) the conveyance or transfer of real property located in\nthis jurisdiction; or\n(ii) court proceedings in this jurisdiction.\n","sortOrder":82},{"sectionNumber":"80B","sectionType":"section","heading":"Disclosure of costs to clients – form","content":"80B Disclosure of costs to clients – form\nFor section 303(5) of the Act, form 1 of Schedule 2A is prescribed.\n","sortOrder":83},{"sectionNumber":"80C","sectionType":"section","heading":"Exceptions to requirement for disclosure","content":"80C Exceptions to requirement for disclosure\nFor section 306(1)(f) of the Act, disclosure under section 303\nor 304(1) of the Act is not required in the following circumstances:\n(a) the client is an overseas-registered foreign lawyer or a foreign\nlaw practice (respectively, within the meaning of Part 2.7 of\nthe Act);\n(b) the client is a corporation that has a share capital and whose\nshares or the majority of whose shares are held beneficially\nfor the Commonwealth, a State or Territory.\n\nLegal Profession Regulations 2007 54\n","sortOrder":84},{"sectionNumber":"80D","sectionType":"section","heading":"Interest on unpaid legal costs","content":"80D Interest on unpaid legal costs\n(1) For section 316(4) of the Act, the rate of interest is the rate equal to\nthe Cash Rate Target as at the relevant date, increased by\n2 percentage points.\n(2) Subregulation (1) does not apply to a period legal costs are unpaid\noccurring before the commencement of this regulation.\nCash Rate Target means the percentage (or maximum\npercentage) specified by the Reserve Bank of Australia as the Cash\nTarget Rate.\nrelevant date means the date the bill was issued by the law\npractice concerned.\n","sortOrder":85},{"sectionNumber":"80E","sectionType":"section","heading":"Reference to client","content":"80E Reference to client\nFor section 317(6) of the Act, sections 318 and 330 of the Act are\nprescribed.\n","sortOrder":86},{"sectionNumber":"80F","sectionType":"section","heading":"Proceedings for conditional costs agreement","content":"80F Proceedings for conditional costs agreement\nFor section 318(2)(c) of the Act, proceedings under the following\nActs are prescribed:\n(a) Adoption of Children Act 1994;\n(b) Care and Protection of Children Act 2007;\n(d) Victims of Crime Assistance Act 2006.\n","sortOrder":87},{"sectionNumber":"80G","sectionType":"section","heading":"Notice of client's rights – form","content":"80G Notice of client's rights – form\nFor section 326(3) of the Act, form 2 of Schedule 2A is prescribed.\n","sortOrder":88},{"sectionNumber":"80H","sectionType":"section","heading":"Application for costs assessment","content":"80H Application for costs assessment\n(1) For section 335(1)(a) of the Act, an application for a costs\nassessment must be made in the approved form.\n(2) For section 335(1)(b) of the Act, the fee is the greatest of the\nfollowing amounts:\n(a) 100 revenue units;\n(b) 1% of the amount remaining unpaid on the bill of costs when\nthe application is made;\n\nLegal Profession Regulations 2007 55\n(c) 1% of the amount of costs in dispute when the application is\nmade.\n(3) For subregulation (2)(c), the amount of costs in dispute is the total\namount of costs for the legal services for which the costs claimed\nare disputed by the person liable to pay them.\n","sortOrder":89},{"sectionNumber":"80J","sectionType":"section","heading":"Circumstance in which assessor may not refuse to issue","content":"80J Circumstance in which assessor may not refuse to issue\nFor section 345(8) of the Act, section 345(7) of the Act does not\napply if the fee for the application for the costs assessment has\nbeen waived or postponed, either wholly or in part, by the costs\nassessor under section 335(4) of the Act.\n","sortOrder":90},{"sectionNumber":"80K","sectionType":"section","heading":"Supplementary information for certificate of determination –","content":"80K Supplementary information for certificate of determination –\nsections 345 and 346 of Act\nFor section 347(1)(b) of the Act, the following supplementary\ninformation is required:\n(a) the total amount of costs for providing legal services\ndetermined to be fair and reasonable;\n(b) the total amount of disbursements determined to be fair and\nreasonable;\n(c) each disbursement varied by the determination;\n(d) for any disputed costs – an explanation of:\n(i) the basis on which the costs were assessed; and\n(ii) how the submissions made by the parties were dealt\nwith;\n(e) if the costs assessor declines to assess a bill of costs – the\nbasis for declining to do so;\n(f) any further information the costs assessor considers\nnecessary to clarify the determination of the application for a\ncosts assessment.\n\nLegal Profession Regulations 2007 56\n","sortOrder":91},{"sectionNumber":"80L","sectionType":"section","heading":"Application for review of determination","content":"80L Application for review of determination\n(1) For section 352(2)(b) of the Act:\n(a) an application for a review of a determination of a cost\nassessor must be in the approved form and be accompanied\nby the following:\n(i) an affidavit that notice of the application has been given\nto the other parties;\n(ii) a copy of all the costs assessor's certificates of\ndetermination relating to the assessment that is the\nsubject of the application;\n(iii) a copy of the costs assessor's statement of reasons for\nthe determination; and\n(b) the applicant must give a copy of the application to each of the\nother parties.\n(2) For section 352(2)(c) of the Act, the fee is 275 revenue units.\n","sortOrder":92},{"sectionNumber":"80M","sectionType":"section","heading":"Circumstance in which availability of certificate not contingent","content":"80M Circumstance in which availability of certificate not contingent\non payment of reviewer's costs\nFor section 357(6) of the Act, section 357(5) of the Act does not\napply if the fee for the application for the review of the\ndetermination has been waived or postponed, either wholly or in\npart, by the reviewer under section 352(3) of the Act.\n","sortOrder":93},{"sectionNumber":"80N","sectionType":"section","heading":"Supplementary information for certificate of determination –","content":"80N Supplementary information for certificate of determination –\nsection 357 of Act\nFor section 359(1)(b) of the Act, the following supplementary\ninformation is required:\n(a) the total amount of costs for providing legal services\ndetermined to be fair and reasonable;\n(b) the total amount of disbursements determined to be fair and\nreasonable;\n(c) each disbursement varied by the determination;\n(d) for any disputed costs – an explanation of:\n(i) the basis on which the costs were assessed; and\n(ii) how the submissions made by the parties were dealt\nwith;\n\nLegal Profession Regulations 2007 57\n(e) a statement of any determination of who (and to what extent)\nmust pay either or both of the following:\n(i) the fee paid or payable for the application of the review;\n(ii) the costs of the costs assessor;\n(f) if the determination relates to costs other than party/party\ncosts and the reviewer declines to deal with an application for\nreview of a bill of costs – the basis for declining to do so;\n(g) if the determination deals with any matter of the kind referred\nto in section 323(1) or (4) of the Act (relating to the setting\naside of a costs agreement) – a statement as to the panel's\nreasons for its decision on the matter;\n(h) any further information the reviewer considers necessary to\nclarify the determination of the review of the costs\nassessment.\n","sortOrder":94},{"sectionNumber":"81","sectionType":"section","heading":"Exemptions","content":"81 Exemptions\n(1) For section 375(1) of the Act, an Australian legal practitioner who is\na government lawyer within the meaning of section 90(5) or 91(5) of\nthe Act is exempt from the requirement to be insured under the Act.\n(2) However, the exemption only applies in relation to work done by the\ngovernment lawyer in the course of the lawyer's duties for the entity\nin relation to which the lawyer is an employee.\n","sortOrder":95},{"sectionNumber":"82","sectionType":"section","heading":"Prescribed requirements for professional indemnity insurance","content":"82 Prescribed requirements for professional indemnity insurance\n(1) For section 377 of the Act, the requirements for professional\nindemnity insurance for a law practice or community legal centre\nare:\n(a) the insurance provides the minimum coverage for each legal\npractitioner who is a member or an employee of the law\npractice or community legal centre; and\n(b) the insurance is provided under an agreement or arrangement\nentered into by the Law Society under section 378 of the Act.\n(2) Whether insurance complies with the requirement of\nsubregulation (1)(a) must be determined by the Society.\n\nLegal Profession Regulations 2007 58\n","sortOrder":96},{"sectionNumber":"83","sectionType":"section","heading":"Determination for funding from Fidelity Fund","content":"83 Determination for funding from Fidelity Fund\nA determination of a payment of an amount to a regulatory authority\nfrom the Fidelity Fund under section 388(1) of the Act must not be\nmade unless the regulatory authority enters into an agreement with\nthe Funds Management Committee regarding accounting of\nexpenditure from the amount to be paid.\n","sortOrder":97},{"sectionNumber":"84","sectionType":"section","heading":"Annual contributions","content":"84 Annual contributions\n(1) For section 392(1) of the Act, the class of legal practitioners who\nare not government lawyers is prescribed.\n(2) For section 392(2) of the Act, the amount of contribution payable by\na legal practitioner who is a member of the class prescribed under\nsubregulation (1) must not exceed $1 500.\n(3) For section 393(1) of the Act, the contribution for the period of\n12 months beginning on 1 July in a year, is the amount notified by\nthe Funds Management Committee under section 392(4) for the\nyear.\nNote\nSection 392 of the Act requires the Committee to decide an amount each year\nhaving regard to advice of an actuary and this amount is notified in the Gazette.\n","sortOrder":98},{"sectionNumber":"85","sectionType":"section","heading":"Levies","content":"85 Levies\n(1) For section 394(3) of the Act, the class of legal practitioners who\nare not government lawyers is prescribed.\n(2) For section 394(2) of the Act, the amount of a levy imposed by the\nFunds Management Committee on each legal practitioner must not\nexceed $500.\n(3) If classes of legal practitioners have been determined for\nsection 392(1) of the Act, the Committee may impose different\nlevies (not exceeding $500) on those classes.\n(4) A legal practitioner who has paid levies in the aggregate of $1 500\nduring the whole period of the practitioner's practice in the Territory\nis not required to pay a further levy.\n\nLegal Profession Regulations 2007 59\n","sortOrder":99},{"sectionNumber":"86","sectionType":"section","heading":"Caps on payment","content":"86 Caps on payment\n(1) The amounts paid under section 417 of the Act for compensating\nclaimants in relation to claims against the same legal practice,\nallowed under Part 3.5 of the Act for defaults to which that Part\napplies, must not exceed, in the aggregate, $200 000.\n(2) Subregulation (3) applies if:\n(a) there is more than one claimant against a legal practice; and\n(b) the aggregate of the amounts that the Committee would\notherwise be required by section 417 of the Act to pay to the\nclaimants exceeds the amount mentioned in subregulation (1).\n(3) The Funds Management Committee must divide the amount\navailable under subregulation (1) among the claimants in proportion\nto the amounts determined under section 405 of the Act for each\nclaimant.\n(4) If, at any time, the amount of the Fidelity Fund is insufficient for the\npayment of all amounts that the Committee would otherwise be\nrequired to pay under Part 3.5 of the Act, the Committee must\ndivide the amount in the Fidelity Fund among the persons to whom\nit would be required to pay those amounts in proportion to those\namounts.\n","sortOrder":100},{"sectionNumber":"87","sectionType":"section","heading":"Fidelity protocols","content":"87 Fidelity protocols\n(1) The Law Society may enter into fidelity protocols with\ncorresponding authorities for or with respect to any of the following\nmatters:\n(a) the forwarding of claims, or copies of claims, under\nsection 426 of the Act and corresponding laws;\n(b) the making and acceptance of requests to act as agent under\n","sortOrder":101},{"sectionNumber":"Part 3","sectionType":"part","heading":"5 of the Act and corresponding laws;","content":"Part 3.5 of the Act and corresponding laws;\n(c) the processing or investigation of claims or aspects of claims\nas agent under Part 3.5 of the Act and corresponding laws.\n(2) A protocol may be amended, revoked or replaced by agreement of\nthe parties to it.\n\nLegal Profession Regulations 2007 60\n","sortOrder":102},{"sectionNumber":"88","sectionType":"section","heading":"Interstate legal practitioner becoming authorised to withdraw","content":"88 Interstate legal practitioner becoming authorised to withdraw\nfrom local trust account: notification\n(1) This regulation has effect for section 434 of the Act and applies to\nan interstate legal practitioner who (whether alone or with a\nco-signatory) becomes authorised to withdraw money from a local\ntrust account of a law practice.\n(2) The practitioner must notify the Law Society of the authorisation.\n(3) The notification must include the following particulars:\n(a) the practitioner's name;\n(b) the jurisdiction in which the practitioner's only or most recent\ncurrent Australian practising certificate was granted;\n(c) the practitioner's principal business address;\n(d) details of the local trust account, including the following:\n(i) the name of the law practice operating the account;\n(ii) the practice's principal business address;\n(iii) the name of the ADI with which the account is held;\n(iv) the names of any other signatories to the account;\n(e) the date on which the practitioner became authorised to\nwithdraw money from the trust account.\n(4) The practitioner must notify the Society of any change to the\nparticulars mentioned in subregulation (3).\n(5) A notification under this regulation must be in writing and must be\nsent or delivered to the business address of the Society before the\nend of the period of 7 days starting on the day the practitioner\nbecomes authorised to withdraw money from the local trust account\nor the change occurs.\n","sortOrder":103},{"sectionNumber":"89","sectionType":"section","heading":"Register of Disciplinary Action","content":"89 Register of Disciplinary Action\nFor section 541(2)(e) of the Act, particulars of the date and\njurisdiction of the person's first and each later admission to the legal\nprofession are prescribed.\n\nLegal Profession Regulations 2007 61\n","sortOrder":104},{"sectionNumber":"Part 7","sectionType":"part","heading":"1 Regulatory bodies","content":"Part 7.1 Regulatory bodies\n","sortOrder":105},{"sectionNumber":"90","sectionType":"section","heading":"Application of Associations Act 2003","content":"90 Application of Associations Act 2003\nThe provisions of the Associations Act 2003 applied under\nsection 645(1)(a) to (d) of the Legal Profession Act 2006 are\nsubject to the following modifications:\n(a) a reference to the committee of an association is a reference\nto the Council;\n(b) section 94 does not apply to the extent that it requires the Law\nSociety or its officers to give information relating to the\nperformance of its statutory functions;\n(c) section 109(2)(a) and (d) do not apply.\n","sortOrder":106},{"sectionNumber":"Part 9","sectionType":"part","heading":"Miscellaneous matters","content":"Part 9 Miscellaneous matters\n","sortOrder":107},{"sectionNumber":"91","sectionType":"section","heading":"Fees, contributions and levies","content":"91 Fees, contributions and levies\nThe fee, contribution or levy payable under the Act for or in respect\nof a matter specified in column 1 of Schedule 3 is the amount\nspecified opposite in column 2.\n","sortOrder":108},{"sectionNumber":"92","sectionType":"section","heading":"Definition","content":"92 Definition\nIn this Part:\nformer Act means the Legal Practitioners Act 1978 as in force\nimmediately before the commencement of section 707 of the Legal\nProfession Act 2006.\n","sortOrder":109},{"sectionNumber":"93","sectionType":"section","heading":"Supervised legal practice","content":"93 Supervised legal practice\n(1) Service as an employee or officer in the performance of work of a\nlegal nature in a department, body or organisation prescribed for\nsection 25(1)(c) of the former Act is supervised legal practice for the\ndefinition of that term in section 4 of the Act.\n(2) Subregulation (1) ceases to have effect 12 months after the\ncommencement of these Regulations.\n\nLegal Profession Regulations 2007 62\n","sortOrder":110},{"sectionNumber":"94","sectionType":"section","heading":"Local practising certificates","content":"94 Local practising certificates\nSection 46(3) of the Act does not apply to a person who holds an\ninterstate practising certificate issued prior to 1 July 2008.\n","sortOrder":111},{"sectionNumber":"95","sectionType":"section","heading":"Notification requirements regarding general trust accounts","content":"95 Notification requirements regarding general trust accounts\nBefore 1 July 2007, the Master must give the Law Society all\nnotices given to the Master for the purposes of section 60 of the\nformer Act.\n","sortOrder":112},{"sectionNumber":"96","sectionType":"section","heading":"Members constituting Law Society","content":"96 Members constituting Law Society\n(1) This regulation applies despite section 637 of the Act.\n(2) In addition to the persons mentioned in section 637 of the Act, the\nLaw Society consists of persons who, immediately before the\ncommencement of these Regulations, were members of the\nSociety.\n","sortOrder":113},{"sectionNumber":"96A","sectionType":"section","heading":"Investigations into professional conduct","content":"96A Investigations into professional conduct\n(1) If, on completion of an investigation under section 745(2) of the Act,\nthe Law Society would have been entitled to lay a charge of\nprofessional misconduct under the repealed Act, the Society must\nstart proceedings in the Disciplinary Tribunal under Chapter 4.\n(2) If, on completion of an investigation under section 745(2) of the Act,\nthe Society decides to dismiss the complaint and the complainant\nwould have been entitled to lay a charge of professional misconduct\nunder the repealed Act, the complainant may appeal against the\ndecision as if it were made under section 498.\n\nLegal Profession Regulations 2007 63\n","sortOrder":114},{"sectionNumber":"Sch 1","sectionType":"schedule","heading":"Entitlement to take or use names, titles and","content":"Schedule 1 Entitlement to take or use names, titles and\ndescriptions\nregulation 4\nColumn 1 Column 2 Column 3 Column 4\nItem No. Name, title or\nKinds of persons\nwho are entitled\nto take or use\nname, title or\nCircumstances in\nwhich the persons are\nentitled to take or use\nname, title or\n1 lawyer Australian lawyer all circumstances (no\n2 lawyer Australian-\nregistered foreign\nlawyer\n3 legal\nAustralian legal\n4 legal\nlegal practice as an\nemployee of a\n5 barrister and\nsolicitor and\nbarrister, or\nAustralian legal\nwhen the Australian\nlegal practitioner holds\nan Australian practising\ncertificate and engages\nin legal practice in the\nmanner of a solicitor\n\nLegal Profession Regulations 2007 64\n6 barrister and\nsolicitor and\nbarrister, or\nlegal practice in the\nmanner of a solicitor as\nan employee of a\n7 barrister Australian legal\nwhen the Australian\nlegal practitioner holds a\nlocal practising\ncertificate and engages\nin legal practice in the\nmanner of a barrister\n8 barrister Australian lawyer when the Australian\nlegal practice in the\nmanner of a barrister as\nan employee of a\n9 counsel Australian legal\n\nLegal Profession Regulations 2007 65\n10 counsel Australian lawyer when the Australian\nlegal practice as an\nemployee of a\ncertificate or when the\nAustralian lawyer, not\nholding an Australian\npractising certificate,\nprovides legal services\nto his or her employer,\nor to a related entity, in\nthe ordinary course of\nhis or her employment\nand for no fee, gain or\nreward other than his or\nher ordinary\nremuneration as an\nemployee\n11 Senior Counsel\nor SC\nlawyer currently holds\nthe status of Senior\nCounsel, as recognised\nby the High Court or a\nSupreme Court of any\n12 Queen's\nCounsel or QC,\nor King's\nCounsel or KC,\nor Her\nMajesty's\nCounsel, or His\nMajesty's\nCounsel\nlawyer currently holds\nthe appropriate status,\nas conferred by the\nCrown in any capacity or\nas recognised by the\nHigh Court or a\nSupreme Court of any\n\nLegal Profession Regulations 2007 66\n13 attorney Australian-\nregistered foreign\nlawyer\nwhen entitled to use the\nname, title or description\nunder section 177 of the\nAct\n14 attorney patent attorney when using the\nexpression \"patent\nattorney\"\n15 attorney donee of a power\nof attorney\nwhen indicating that the\ndonee holds or is acting\nunder a power of\n16 Attorney Attorney-General\nof any jurisdiction,\nthe\nCommonwealth or\na foreign country\n17 Solicitor Solicitor-General of\nany jurisdiction, the\nCommonwealth or\na foreign country\n\nLegal Profession Regulations 2007 67\nregulation 11\nPart 1 Interpretation\n1 Definitions\nIn this Schedule:\nattend, a seminar, includes chair the seminar but does not include\ngiving a presentation at the seminar.\nclaim, for a CPD point, means count the point towards satisfying a\nlegal practitioner's CPD obligation.\ncore competencies means:\n(a) competency in professional ethics and responsibility\n(including, for example, conflicts of interest and lawyers duties\nto court); and\n(b) competency in practice management and business skills\n(including, for example, risk management and business\nplanning); and\n(c) competency in professional skills in legal practice (including,\nfor example, plain English drafting and communication and\ninterpersonal skills); and\n(d) competency in skills relating to identifying, addressing and\npreventing bullying, discrimination and harassment in the\nworkplace (including, for example, responding to claims of\nsexual harassment and developing strategies for a safe\nworkplace culture).\nCPD means continuing professional development.\nCPD activity, see clause 2.\nCPD obligation means a legal practitioner's obligation under\nclause 4 to accrue CPD points for a CPD year.\nCPD points, see clause 3.\nCPD year means the period starting on 1 April in a year and ending\non 31 March in the next year.\nseminar includes a workshop, conference and discussion group.\n\nLegal Profession Regulations 2007 68\nsubstantive law competency means competency in substantive\nlaw, including, for example:\n(a) an area of law prescribed by the admission rules for courses\nleading to a law degree; and\n(b) statute law and common law.\nPart 2 CPD scheme\nDivision 1 Basic concepts about CPD activities and CPD\n2 CPD activity\n(1) A CPD activity is:\n(a) preparing a presentation for giving (including by\nvideoconference) at a seminar; or\n(b) giving (including by videoconference) a presentation at a\nseminar; or\n(c) attending (including by videoconference) a seminar or\nmultimedia or website based program conducted by a person\nwho is qualified by practical or academic experience in the\nsubject covered; or\n(d) private study involving the use of audio or video material\nspecifically aimed at increasing or updating the substantive\nlaw or core competencies of legal practitioners; or\n(e) preparing or giving (including by videoconference) a lecture:\n(i) on a subject for a Graduate Diploma in Legal Practice,\nBachelor of Laws or Master of Laws; or\n(ii) on a subject for another university course that is covered\nin a course mentioned in subparagraph (i); or\n(f) writing an article that is published in a legal publication, or a\nlegal article that is published in a non-legal publication, or\nrefereeing or structural editing of such a published article; or\n(g) participating in a committee; or\n(h) completing a specialist accreditation examination approved by\nthe Law Society; or\n\nLegal Profession Regulations 2007 69\n(i) attending lectures or writing assignments or a thesis as part of\npost-graduate studies.\n(2) A CPD activity must:\n(a) be of significant intellectual or practical content; and\n(b) deal primarily with matters related to the practice of law or a\nmatter mentioned in clause 1, definition core competencies,\nparagraph (d); and\n(c) be relevant to the practitioner's immediate or long-term\nprofessional development needs.\n(3) Private study is not a CPD activity unless it is covered by\nsubclause (1)(d).\n(4) Engaging in legal practice is not a CPD activity.\n3 CPD points\nA legal practitioner accrues points (CPD points) for participating in\nCPD activities.\n","sortOrder":115},{"sectionNumber":"Div 2","sectionType":"division","heading":"Basic concepts about CPD obligation","content":"Division 2 Basic concepts about CPD obligation\n4 CPD obligation\nSubject to clause 5, for each CPD year a legal practitioner engages\nin legal practice, the practitioner must accrue 10 CPD points, of\nwhich at least 1 CPD point must be accrued in:\n(a) each of the 4 core competencies; and\n(b) a substantive law competency.\nNote for clause 4\nUnder clause 6, CPD points accrued within 3 months before and after a CPD\nyear may be claimed for that year.\n5 Starting legal practice during CPD year\n(1) This clause applies to a legal practitioner who:\n(a) is not engaging in legal practice on 1 April of a CPD year; but\n(b) starts engaging in legal practice later in that CPD year.\n\nLegal Profession Regulations 2007 70\n(2) If the legal practitioner starts engaging in legal practice in a month\nof the CPD year mentioned in the Table below, the practitioner\nmust, for that CPD year, accrue the number of CPD points specified\nopposite, of which at least 1 CPD point must be accrued in:\n(a) the number of core competencies specified opposite; and\n(b) a substantive law competency.\nMonth CPD points\nrequired\nCore competencies\nApril 10 4\nMay 9 4\nJune 8 3\nJuly 7 2\nAugust 6 2\nSeptember 5 2\nOctober 4 1\nNovember 3 1\nDecember 2 1\nJanuary 1 0\n(3) If the legal practitioner starts engaging in legal practice in February\nor March of the CPD year, the practitioner is not required to comply\nwith the practitioner's CPD obligation for that CPD year.\n","sortOrder":116},{"sectionNumber":"Div 3","sectionType":"division","heading":"Basic concepts about accruing and claiming CPD","content":"Division 3 Basic concepts about accruing and claiming CPD\n6 Claiming CPD points for CPD year\n(1) A legal practitioner who accrues CPD points for participating in a\nCPD activity within 3 months before the start of a CPD year, or\nwithin 3 months after the end of that CPD year, may claim the\npoints for that CPD year.\n(2) However, the legal practitioner may claim CPD points accrued for\nthe activity for only 1 CPD year.\n\nLegal Profession Regulations 2007 71\n7 Fraction of CPD point\nThe only fraction of a CPD point that may be claimed is 0.5 point.\nDivision 4 Accruing and claiming CPD points for CPD\nactivities\n8 Preparing or giving presentation at seminar\n(1) For preparing or giving a presentation at a seminar, 0.5 CPD point\naccrues for each 30 minutes of preparing or giving the presentation.\n(2) However, no more than 5 CPD points may be claimed for preparing\nand giving the presentation.\n(3) In addition, if the presentation is repeated in the same CPD year,\nCPD points may be claimed only once.\n(4) Also, a legal practitioner cannot claim CPD points for preparing or\ngiving a presentation that covers substantially the same matter as\nwas covered by any of the following for which the practitioner has\n(a) a lecture;\n(b) a published article;\n9 Attending seminar or multimedia or website based program\nFor attending a seminar or multimedia or website based program,\n0.5 CPD point accrues for each 30 minutes of attendance.\n10 Private study – audio and video material\n(1) For private study involving the use of audio or video material,\n0.5 CPD point accrues for each 30 minutes of study.\n(2) However, no more than 5 CPD points may be claimed for private\nstudy in a CPD year.\n11 Preparing or giving lecture\n(1) For preparing or giving a lecture, 0.5 CPD point accrues for each\n30 minutes of preparing or giving the lecture.\n(2) However, no more than 5 CPD points may be claimed for preparing\nand giving the lecture.\n\nLegal Profession Regulations 2007 72\n(3) In addition, if the lecture is repeated in the same CPD year, CPD\npoints may be claimed only once.\n(4) Also, a legal practitioner cannot claim CPD points for preparing or\ngiving a lecture that covers substantially the same matter as was\ncovered by any of the following for which the practitioner has\n(b) a published article;\n12 Published article\n(1) For writing a published article, 0.5 CPD point accrues for each\n500 words of the article.\n(2) However, no more than 5 CPD points may be claimed for writing\npublished articles in a CPD year.\n(3) Also, a legal practitioner cannot claim CPD points for writing a\npublished article that covers substantially the same matter as was\ncovered by any of the following for which the practitioner has\n(b) a lecture;\n(4) For refereeing or structural editing of a published article, 0.5 CPD\npoint accrues for each 500 words of the article.\n(5) However, no more than 5 CPD points may be claimed for\nrefereeing or structural editing in a CPD year.\n13 Participating in committee\n(1) For participating in a committee, 0.5 CPD point accrues for each\n60 minutes of meeting attendance or other work.\n(2) However, no more than 3 CPD points may be claimed for\nparticipating in a committee in a CPD year.\n\nLegal Profession Regulations 2007 73\n14 Completing specialist accreditation examination\nA legal practitioner accrues 10 CPD points for a CPD year in which\nthe practitioner successfully completes a specialist accreditation\nexamination approved by the Law Society.\n15 Undertaking post-graduate studies\n(1) For attending a lecture as part of post-graduate studies, 0.5 CPD\npoint accrues for each 30 minutes of attendance.\n(2) However, no more than 5 CPD points may be claimed for attending\nlectures in a CPD year.\n(3) For writing an assignment or thesis as part of post-graduate\nstudies, 0.5 CPD point accrues for each 500 words of:\n(a) an assignment for which at least a pass mark is received; or\n(b) a thesis that is completed.\n(4) However, no more than 5 CPD points may be claimed for writing\nassignments and theses in a CPD year.\n(5) Also, a legal practitioner cannot claim CPD points for writing an\nassignment or thesis that covers substantially the same matter as\nwas covered by any of the following for which the practitioner has\n(b) a lecture;\n(c) a published article.\nPart 3 Miscellaneous matters\n16 Certificate about compliance with CPD obligation\n(1) A legal practitioner must, before the end of each CPD year, give the\nLaw Society a certificate in the approved form about the\npractitioner's compliance with the practitioner's CPD obligation for\nthe CPD year.\n(2) If a legal practitioner wishes to claim for a CPD year CPD points\naccrued after the end of the year, as permitted under clause 6(1),\nthe legal practitioner must:\n(a) include a statement to that effect in the certificate given under\nsubclause (1); and\n\nLegal Profession Regulations 2007 74\n(b) give to the Law Society a supplementary certificate before the\nexpiry of 3 months after the end of the CPD year.\n17 Exemption\n(1) A legal practitioner may, at any time, apply to the Law Society for\nexemption (in whole or part) from the requirement to comply with\nthe practitioner's CPD obligation for a CPD year.\n(2) The application must be made in the approved form.\n(3) The Law Society may give the exemption if:\n(a) it is satisfied, because of the legal practitioner's geographical\nlocation, physical disability or any particular constraints of the\npractitioner's practice, the practitioner has experienced\nhardship or difficulty in complying with the CPD obligation; or\n(b) it is satisfied the practitioner has been substantially absent\nfrom practice because of leave, illness or unemployment; or\n(c) it is satisfied the practitioner will undertake further CPD\nactivities after the CPD year to meet the CPD obligation; or\n(d) the practitioner has been admitted to practice for at least\n40 years and either:\n(i) holds a local practising certificate in a category other\nthan unrestricted; or\n(ii) acts solely as a notary public; or\n(e) it considers other special circumstances exist.\n18 Law Society may require information about CPD obligation\n(1) The Law Society may, by written notice, require a legal practitioner\nto give it information about the practitioner's compliance with the\npractitioner's CPD obligation.\n(2) The legal practitioner must comply with the notice within 14 days\nafter it is given.\n\nLegal Profession Regulations 2007 75\n","sortOrder":117},{"sectionNumber":"Part 4","sectionType":"part","heading":"Transitional matters for Legal Profession","content":"Part 4 Transitional matters for Legal Profession\nAmendment Regulations 2012\n19 Application of amendments\n(1) The amendments made to this Schedule by the Legal Profession\nAmendment Regulations 2012 apply in relation to the CPD year\nstarting on 1 April 2012.\n(2) However, if, immediately before the commencement, a legal\npractitioner had, in relation to that CPD year:\n(a) complied with the practitioner's CPD obligation under the\nprevious Scheme – the practitioner is taken to have complied\nwith the CPD obligation under the new Scheme; or\n(b) accrued 3 or more CPD points in legal practice competencies\nunder the previous Scheme – the practitioner is taken to have\naccrued 1 CPD point in each core competency under the new\nScheme; or\n(c) accrued 2 CPD points in legal practice competencies under\nthe previous Scheme – the practitioner is taken to have\naccrued 1 CPD point in any 2 core competencies under the\nnew Scheme; or\n(d) accrued 1 CPD point in a legal practice competency under the\nprevious Scheme – the practitioner is taken to have accrued\n1 CPD point in any core competency under the new Scheme.\n(3) In this clause:\ncommencement means the commencement of the Legal\nProfession Amendment Regulations 2012.\nnew Scheme means the scheme set out in Schedule 2 of the Legal\nProfession Regulations as in force immediately after the\ncommencement.\nprevious Scheme means the scheme set out in Schedule 2 of the\nLegal Profession Regulations as in force immediately before the\ncommencement.\n\nLegal Profession Regulations 2007 76\n","sortOrder":118},{"sectionNumber":"Part 5","sectionType":"part","heading":"Transitional matter for Legal Profession","content":"Part 5 Transitional matter for Legal Profession\nAmendment Regulations 2023\n20 Claiming CPD point for activity undertaken before 2023 CPD\nyear\n(1) This clause applies to a legal practitioner who, within 3 months\nbefore the start of the 2023 CPD year, participated in an activity\nrelating to a matter mentioned in clause 1, definition\ncore competencies, paragraph (d).\n(2) The legal practitioner may claim a CPD point for the activity for the\n2023 CPD year if the practitioner would have accrued a CPD point\nfor the activity had the practitioner participated in it during the\n2023 CPD year.\n(3) In this clause:\n2023 CPD year means the CPD year starting on 1 April 2023.\n\nLegal Profession Regulations 2007 77\nregulations 80B and 80G\nForm 1 Disclosure of costs to clients\nLegal Profession Act 2006 (section 303(5))\nLegal costs – your right to know\nYou have the right to:\n• negotiate a costs agreement with us\n• receive a bill of costs from us\n• request an itemised bill of costs after you receive of a lump sum\nbill from us\n• request written reports about the progress of your matter and the\ncosts incurred in your matter\n• apply for costs to be assessed within 12 months if you are\nunhappy with our costs\n• apply for the costs agreement to be set aside\n• accept or reject any offer we make for an interstate costs law to\napply to your matter\n• notify us that you require an interstate costs law to apply to your\nmatter.\nFor more information about your rights, please read the fact sheet\ntitled Legal Costs – your right to know. You can ask us for a copy,\nobtain it from the Law Society Northern Territory or download it\nfrom the Law Society's website.\n\nLegal Profession Regulations 2007 78\nForm 2 Notification of client's rights\nLegal Profession Act 2006 (section 326(3))\nYour rights in relation to legal costs\nThe following avenues are available to you if you are not happy with\nthis bill:\n• requesting an itemised bill\n• discussing your concerns with us\n• costs mediation\n• having our costs assessed\n• applying to set aside our costs agreement.\nFor more information about your rights, please read the fact sheet\ntitled Your right to challenge legal costs. You can ask us for a copy,\nobtain it from the Law Society Northern Territory or download it\nfrom the Law Society's website.\n\nLegal Profession Regulations 2007 79\nregulation 91\nDescription of fee Amount\nFee payable by local legal practitioner\nunder section 21(3) of the Act for\nappointment as a Queen's Counsel or\nSenior Counsel 500 revenue units\nFee payable by complying community\nlegal centre under section 227(e) of\nthe Act for grant or renewal of\nunrestricted local practising certificate 100 revenue units\nFee payable under section 51(1)(c)\nor 188(1)(b) of the Act for the grant or\nrenewal of the following:\n(a) a restricted local practising\ncertificate that is:\n(i) a restricted (barrister and\nsolicitor) practising\ncertificate; or\n1 260 revenue units\n(ii) a restricted (corporate\nlawyer) practising\ncertificate; or\n1 260 revenue units\n(iii) a restricted (volunteer\nlawyer) practising\ncertificate;\n100 revenue units\n(b) an unrestricted local practising\ncertificate.\n1 400 revenue units\nLate fee payable under section 53(2)\nof the Act for an application for\nrenewal of a local practising certificate\nduring the late fee period 100 revenue units\n\nLegal Profession Regulations 2007 80\n1 KEY\nKey to abbreviations\namd = amended od = order\napp = appendix om = omitted\nbl = by-law pt = Part\nch = Chapter r = regulation/rule\ncl = clause rem = remainder\ndiv = Division renum = renumbered\nexp = expires/expired rep = repealed\nf = forms s = section\nGaz = Gazette sch = Schedule\nhdg = heading sdiv = Subdivision\nins = inserted SL = Subordinate Legislation\nlt = long title sub = substituted\nnc = not commenced\n2 LIST OF LEGISLATION\nLegal Profession Regulations (SL No. 9, 2007)\nNotified 18 April 2007\nCommenced 18 April 2007\nLegal Profession Amendment (Transitional Disciplinary Matters) Regulations 2007\n(SL No. 14, 2007)\nNotified 27 June 2007\nCommenced 27 June 2007\nLegal Profession (Costs Disclosure and Assessment) Amendment Regulations 2007\n(SL No. 39, 2007)\nNotified 20 December 2007\nCommenced 20 December 2007\nStatute Law Revision Act 2008 (Act No. 6, 2008)\nAssent date 11 March 2008\nCommenced 11 March 2008\nLegal Profession Amendment Regulations 2012 (SL No. 30, 2012)\nNotified 3 August 2012\nCommenced 1 October 2012 (r 2)\nLegal Profession Amendment Regulations 2013 (SL No. 20, 2013)\nNotified 26 June 2013\nCommenced 26 June 2013\nStatute Law Revision Act 2014 (Act No. 38, 2014)\nAssent date 13 November 2014\nCommenced 13 November 2014\nLegal Profession Amendment Regulations 2019 (SL No. 12, 2019)\nNotified 1 July 2019\nCommenced 1 July 2019 (r 2)\n\nLegal Profession Regulations 2007 81\nInterpretation Amendment Act 2021 (Act No. 28, 2021)\nAssent date 15 December 2021\nCommenced 1 January 2022 (s 2)\nLegal Profession Amendment Regulations 2023 (SL No. 5, 2023)\nNotified 2 March 2023\nCommenced 1 April 2023 (r 2)\n3 GENERAL AMENDMENTS\nGeneral amendments of a formal nature (which are not referred to in the table\nof amendments to this reprint) are made by the Interpretation Legislation\nAmendment Act 2018 (Act No. 22, 2018) to: rr 1, 80F, 90 and 92 and sch 2A.\n4 LIST OF AMENDMENTS\nr 7 amd No. 12, 2019 r 4\nr 17 amd No. No. 20, 2013, r 3; Act No. 28, 2021, s 20; No. 5, 2023, r 4\npt 3.3 hdg ins No. 39, 2007, r 3\nrr 80A – 80E ins No. 39, 2007, r 3\nr 80F ins No. 39, 2007, r 3\namd Act No. 38, 2014, s 2\nrr 80G – 80N ins No. 39, 2007, r 3\nr 81 amd No. 5, 2023, r 5\nr 96A ins No. 14, 2007, r 3\nr 97 rep Act No. 6, 2008, s 2\nsch 2\npt 4 hdg exp No. 9, 2007, cl 17\ncl 16 – 17 exp No. 9, 2007, cl 17\nsch 2 sub No. 30, 2012, r 4\namd No. 5, 2023, r 6\nsch 2A ins No. 39, 2007, r 4\nsch 3 amd No. 12, 2019, r 5\nsch 4 rep Act No. 6, 2008, s 2","sortOrder":119}],"analysis":{"flash_summary":{"complexity_score":8,"scope_assessment":{"changed":true,"description":"Compared with a simple implementing instrument that merely supplied administrative detail to the Legal Profession Act, this version has grown into a substantive regulatory code that extends beyond basic implementation. The Regulations now: (a) prescribe a comprehensive, technical trust‑accounting regime (regs 33–76) that dictates precise bookkeeping, electronic system behaviour, timing and retention rules; (b) set out an extensive CPD regime (Schedule 2) specifying point‑earning rules, core competencies and exemptions; (c) impose substantive business‑model constraints on incorporated legal practices and multi‑disciplinary partnerships (prohibitions in rr 18 and 22); (d) define fidelity fund mechanics including contribution classes, levy limits and aggregate caps on payouts (rr 83–86); and (e) create detailed registration, disclosure and consumer‑protection rules for foreign and interstate lawyers (rr 23–31, r 88).\n\nThese additions have increased compliance obligations, introduced specific limits on permissible commercial structures, created new financial impositions (contributions/levies/fees), and given the Law Society and Funds Management Committee substantial discretionary authority (eg rr 75–78, 82). The cumulative effect is a regulatory instrument that now prescribes not only administrative detail but operational, financial and commercial constraints that go beyond a narrow implementing role."},"complexity_factors":["Total instrument length: ~96 regulations plus 3 schedules with multiple clauses (Schedule 2 alone runs to 20+ clauses)","Extensive technical trust accounting regime (regs 33–76) with 30+ distinct recordkeeping, timing and format requirements (eg printing monthly, 5 working day entry rule, 7‑year retention)","Multiple cross‑references to the Legal Profession Act 2006 (numerous sections cited throughout), requiring users to read both instruments to understand effect","Nested conditional rules and exceptions (eg different rules for interstate practitioners, foreign lawyers, government lawyers, sophisticated clients)","Numerous defined terms and regime‑specific definitions across Parts and Schedule 2 (eg ‘trust money’, ‘controlled money’, ‘sophisticated client’, CPD terms)","Prescriptive CPD schedule with fractional point rules, multiple caps per activity and carry‑forward timing windows (Schedule 2, cls 6–15)","Discretionary powers given to the Law Society and Funds Management Committee (eg exemptions r 78, ADI conditions r 75, insurance compliance r 82) adding administrative variability","Detailed fee, contribution and levy regime with caps and proportional allocation rules (regs 26, 84–86 and Schedule 3)"],"plain_english_summary":"**What these Regulations do (mechanically)**\n\n- They fill in the detailed, operational rules that make the Legal Profession Act 2006 work in the Northern Territory. The Regulations prescribe categories of practising certificates (r 7), continuing professional development (Schedule 2), detailed trust‑accounting and controlled‑money rules (Part 3.1, regs 33–78), rules for incorporated legal practices and multi‑disciplinary partnerships (regs 18–22), requirements for foreign and locally‑registered foreign lawyers (regs 23–31), fidelity fund contributions, levies and caps (regs 83–87), fees (Schedule 3) and various administrative registers and reporting obligations (eg r 16, r 30, rr 55–61).\n\n- They set precise recordkeeping, transaction and reporting requirements for trust and controlled money: how receipts and deposits must be recorded, what must be printed or backed up from computer systems, how reconciliations are performed and retained, permitted withdrawal methods (cheque or electronic transfer only), authorisations for withdrawals, and external examination obligations (regs 36–76, 41–76, 72–74).\n\n- They prescribe the Northern Territory’s Continuing Professional Development (CPD) scheme (Schedule 2): the annual CPD points target (generally 10 points), how points are earned for different activities, minimum core competencies and claiming periods, reporting to the Law Society and grounds for exemption (Schedule 2, cls 4–18).\n\n- They regulate foreign lawyers’ scope of practice and supervisory/registration matters (regs 23–31), and set requirements for professional indemnity insurance and disclosure by interstate and foreign practitioners (rr 15, 25).\n\n- They set fidelity fund mechanics: contribution classes, annual contribution limits, levies, protocols with other jurisdictions and caps on aggregate payments from the Fidelity Fund (regs 83–87).\n\n- They give the Law Society significant administrative powers: to approve ADI (bank) arrangements (r 75), determine whether insurers meet prescribed requirements (r 82), grant exemptions from Part 3.1 (r 78), withhold certain register particulars on special‑circumstance grounds (r 16(4)–(5), r 30(4)–(5)).\n\n**Who is affected**\n\n- All law practices and legal practitioners (local and interstate) who practise in the NT: sole practitioners, partnerships, incorporated legal practices, multi‑disciplinary partnerships and in‑house/corporate lawyers (see r 7 categories and Parts 2.6–2.8).\n- Foreign lawyers who seek to provide services in the Territory (regs 23–31).\n- Approved deposit institutions (banks) that hold law practice trust accounts (rr 75–76).\n- The Law Society and Funds Management Committee, which exercise administrative and regulatory functions under many provisions (eg rr 75–76, 82, 83–87).\n\n**Why it matters (official purpose and practical consequences)**\n\n- Officially these Regulations operationalise the Act: protect clients’ money, ensure firms keep auditable records, provide consumer protections on costs and costs assessment, maintain professional standards via CPD, and protect the Fidelity Fund.\n\n- Practical consequences and mechanisms to watch (costs, incentives, trade‑offs, implementation risk):\n  - Compliance cost and administrative burden: detailed, time‑sensitive recordkeeping (monthly prints/back‑ups, 5‑day entry rules, 7‑year retention; regs 37, 49–51, 69–70) increases administrative time and potentially outlays for accounting software and staff. Small firms and sole practitioners bear a larger per‑practitioner compliance cost (see regs 37–40, 69–70).\n  - Behavioural constraints on business models: incorporated legal practices and partners are prohibited from certain combined roles (eg acting for a purchaser where a related corporate acts as real‑estate agent or finance broker—r 18; partnerships must not include a conveyancer partnered with a real‑estate agent or finance broker—r 22). Those prohibitions change incentives about vertical integration and related business structures.\n  - Consumer protection vs firm liquidity: strict rules on how and when trust money can be withdrawn for costs (r 68) and the prohibition on cash/ATM withdrawals (rr 45, 59) protect client funds but impose constraints on how firms manage short‑term liquidity.\n  - Regulatory discretion and information control: the Law Society has scope to impose exemptions (r 78), approve ADI conditions (r 75), determine insurance compliance (r 82) and withhold publication of register particulars on “special circumstances” grounds (r 16(4)–(5), r 30(4)–(5)). That discretion helps tailor regulation but concentrates decision rights in the regulator and creates implementation variance and administrative overhead (appeals, requests for exemptions).\n  - Distribution of costs and concentrated vs diffuse effects: fees, Fidelity Fund contributions and levies (regs 26, 84–85, Schedule 3) are borne by practitioners; caps on Fidelity Fund payouts (r 86) limit systemic fiscal exposure but mean individual claimants may receive proportionally less when the Fund is stressed.\n  - Cross‑jurisdiction interactions: rules for interstate practitioners and foreign lawyers (rr 15, 23–31, 88) require disclosure and equivalence of insurance and may shift where practitioners choose to be based or seek authorisation to sign local trust accounts (r 88).\n\n**Key specific mechanisms (examples with sections cited)**\n\n- Categories of practising certificates and limits on practice types (r 7).\n- Detailed trust‑account mechanics: naming accounts, receipt particulars, deposit books, permitted withdrawal methods, electronic transfer recordkeeping, monthly reconciliations and 7‑year retention (rr 41–55, 36–40, 53, 69–70).\n- External examination of trust records and Law Society oversight of ADI reporting (rr 72–76).\n- CPD points, acceptable activities and reporting to the Law Society (Schedule 2, cls 2–16, 16–18).\n- Restrictions on incorporated legal practices and multi‑disciplinary partnerships (rr 18–22).\n- Fidelity Fund contributions, levies and caps (rr 26, 83–87).\n\n**Immediate practical steps for affected entities**\n\n- Ensure accounting systems can generate required monthly printed or permanent records, chronological audit trails and back‑ups (rr 36–40, 37(1)).\n- Review trust and controlled money procedures to prohibit cash/ATM/telephone withdrawals and ensure authorised signatory arrangements are documented and notified to the Law Society (rr 45–47, 55–61).\n- Map CPD compliance to the Schedule 2 rules and file the annual certificate with the Law Society (Schedule 2, cl 4, cl 16).\n- If operating an incorporated legal practice or MDP, check the specific prohibitions on related non‑legal services (r 18) and prepare for notification and disclosure duties (r 19, r 21).\n\nSources: specific provisions referenced above are drawn from the Legal Profession Regulations 2007 as in force (noting the Regulations implement and modify sections of the Legal Profession Act 2006 such as Part 3.1 and various other sections referenced in the Regulations)."},"kimi_summary":{"_metrics":{"provider":"moonshot","completionTokens":3404},"content_quality":"ok","complexity_score":8,"scope_assessment":{"changed":false,"description":"The Regulations remain within the intended scope of subordinate legislation under the Legal Profession Act 2006. They operationalise the Act by prescribing forms, fees, detailed trust accounting standards, and CPD requirements without expanding into new policy areas beyond the regulation of legal practice."},"complexity_factors":["Extensive cross-referencing to the Legal Profession Act 2006, Corporations Act 2001, and other statutes throughout (e.g., regs 4, 17, 21, 27)","96 regulations plus 3 schedules containing granular technical detail (e.g., Schedule 2 calculates CPD points by 30-minute increments or 500-word blocks)","Nested categorical definitions: Five types of practising certificates (reg 7), four distinct categories of trust money (general, controlled, transit, and power-subject) with different accounting rules for each (Part 3.1)","Highly prescriptive procedural requirements in Part 3.1 (Trust Accounts) specifying exact timeframes (e.g., 5 working days for recording transactions, 15 working days for monthly reconciliations), document formats (reg 42), and prohibited actions (cash withdrawals banned under regs 45 and 59)","Conditional logic and exceptions: Complex calculations for supervised legal practice periods converting part-time to full-time equivalency (reg 12), tiered CPD obligations based on start date (Schedule 2, clause 5), and multiple exemption clauses (e.g., reg 78 allows the Law Society to exempt firms from trust account rules)","Overlapping definitions sections: General definitions in reg 2, Part 3.1-specific definitions in reg 34, and Schedule 2 definitions, creating potential interpretive conflicts"],"plain_english_summary":"**What this is**\n\nThese Regulations are the operational rulebook for the legal profession in the Northern Territory. Made under the *Legal Profession Act 2006*, they translate broad legal principles into the day-to-day mechanics of how lawyers must qualify, practise, bill clients, and handle money.\n\n**Who it affects**\n\n*   **Practitioners:** Solicitors, barristers, in-house corporate lawyers, and foreign lawyers working in the NT.\n*   **Firms:** Traditional partnerships, incorporated legal practices (law firms structured as companies), and multi-disciplinary partnerships (lawyers working with accountants or other professionals).\n*   **Clients:** Anyone paying money to a lawyer, particularly for property transactions or litigation.\n*   **Regulators:** The Law Society of the Northern Territory, which administers licenses and the fidelity fund.\n\n**What it does**\n\n* **Licenses to practise (Practising Certificates)**  \n  Lawyers must hold an annual license. The Regulations prescribe five categories—from \"unrestricted\" (can do anything) to restricted licenses for trainees, corporate in-house lawyers, and volunteers. They specify application requirements (disclosing criminal history or \"show cause\" events), renewal timeframes (April–May each year), and the mandatory **Continuing Professional Development (CPD)** scheme. Lawyers must complete 10 CPD points yearly (roughly 10 hours of education), including training in ethics, practice management, and workplace bullying/harassment prevention.\n\n* **Handling Client Money (Trust Accounts)**  \n  This is the most prescriptive part. Money held for clients (e.g., property deposits, settlement funds) is \"trust money\" and must be kept strictly separate from the lawyer's business funds.\n  *   **Types of money:** The rules distinguish between \"general trust money\" (pooled in a single account), \"controlled money\" (held in separate named accounts), and \"transit money\" (passing through briefly).\n  *   **Strict protocols:** Lawyers must use specially named bank accounts, issue sequentially numbered receipts, and record every transaction in detailed cash books and ledgers. Monthly reconciliations must match the bank's records to the firm's internal records within 15 working days.\n  *   **No cash:** Trust money can only be moved by cheque or electronic transfer—cash withdrawals, ATM transfers, and telephone banking are explicitly banned to prevent theft.\n  *   **Audit trails:** If using computerised accounting, the system must create tamper-proof chronological logs, print monthly reports, and store back-ups off-site.\n\n* **Business Structures & Conflicts**  \n  *   **Incorporated Legal Practices (ILPs):** Law firms can operate as companies, but they face conflict rules. For example, a firm acting as the conveyancer (property lawyer) for a buyer cannot be linked to the real estate agent selling that property, nor can it manage investment schemes.\n  *   **Multi-disciplinary partnerships:** Lawyers can partner with non-lawyers (e.g., real estate agents or financial planners), but similar conflict prohibitions apply to prevent self-dealing.\n\n* **Foreign Lawyers**  \n  Overseas-qualified lawyers can register to practise foreign law in the NT. They must disclose to clients whether they lack coverage under the local **Fidelity Fund** (a compensation scheme for clients if a lawyer steals money).\n\n* **Costs and Billing**  \n  The Regulations prescribe the forms lawyers must use to disclose likely costs upfront. They create a formal process for \"costs assessment\"—an independent review if a client disputes a bill—and set interest rates (Cash Rate + 2%) for late payment.\n\n* **Client Protection Schemes**  \n  *   **Professional Indemnity Insurance:** Mandatory insurance to compensate clients for lawyer negligence (with exemptions for government lawyers acting in their official capacity).\n  *   **Fidelity Fund:** Funded by annual contributions from lawyers (capped at $1,500/year) and special levies (capped at $500). If a lawyer steals client money, the Fund reimburses victims, with a maximum payout of $200,000 per firm default.\n\n* **Professional Titles**  \n  Only qualified people can use protected titles like \"barrister,\" \"solicitor,\" or \"counsel.\" Schedule 1 specifies exactly who is entitled to use which title—for example, only Senior Counsel recognised by a Supreme Court may use \"SC.\""},"flash_summary_failed":{"failed":true,"reason":"Unauthenticated. Configure AI_GATEWAY_API_KEY or use a provider module. Learn more: https://ai-sdk.dev/unauthenticated-ai-gateway","source":"analysis-cron"},"issue_detection":{"absurdities":[{"type":"retroactive_impossibility","section":"regulation 73(2)(b), read with regulation 73(1)","severity":"medium","reasoning":"Regulation 73(1)(c) requires at least 14 days’ written notice of an intention to cease practising in a way that receives trust money. Regulation 73(2) operates within 14 days after the practice ceases to hold trust money and, if no regulation 73(1) notice was given within the previous 28 days, paragraph (b) requires a notice complying with regulation 73(1). If receiving and holding cease together without prior notice, a notice given after that event cannot give 14 days’ advance notice of it.","confidence":0.88,"description":"On a path where ceasing to hold trust money coincides with ceasing to receive it, the required notice cannot provide advance notice after the cessation.","source_quotes":["A law practice that holds trust money must give the Law Society at\nleast 14 days' written notice of its intention:","(c) to cease to practise in such a way as to receive trust money.","Within 14 days of ceasing to hold trust money, a law practice that\nholds trust money must give the Society:\n(a) written notice of that fact; and\n(b) if the practice has not given a notice under subregulation (1)\nwithin the previous 28 days, a notice that complies with that\nsubregulation."]},{"type":"impossible_compliance","section":"regulation 73(2)(b), read with regulation 73(1)(a)–(c)","severity":"medium","reasoning":"Regulation 73(2)(b) requires a notice complying with regulation 73(1) if the practice ceases to hold trust money without having given a regulation 73(1) notice within the previous 28 days. Regulation 73(1) concerns intentions to cease existing as a law practice, engaging in legal practice in the jurisdiction, or practising in a way that receives trust money. On the distinct path where the practice temporarily holds no trust money but intends to continue all three activities, the cessation in regulation 73(2) has occurred, yet none of the intentions that a regulation 73(1) notice must convey exists.","confidence":0.8,"description":"Ceasing to hold trust money can trigger a requirement to notify an intention to cease an activity even when the practice has no such intention.","source_quotes":["A law practice that holds trust money must give the Law Society at\nleast 14 days' written notice of its intention:","(a) to cease to exist as a law practice; or\n(b) to cease to engage in legal practice in this jurisdiction; or\n(c) to cease to practise in such a way as to receive trust money.","Within 14 days of ceasing to hold trust money, a law practice that\nholds trust money must give the Society:\n(a) written notice of that fact; and\n(b) if the practice has not given a notice under subregulation (1)\nwithin the previous 28 days, a notice that complies with that\nsubregulation."]}],"contradictions":[]},"summary":{"complexity_score":5,"scope_assessment":{"changed":true,"description":"The original regulations date from 2007. This 2023 update (Regulation No. 5 of 2023, commencing 1 April 2023) indicates the scope or content has been amended or refreshed from the original instrument, though the precise nature of changes cannot be determined from the metadata alone."},"complexity_factors":["Regulations sit beneath a parent Act, requiring readers to cross-reference the Legal Profession Act to fully understand obligations","Trust accounting rules (if included) are technically complex and carry serious consequences for non-compliance","Dual audience: affects both legal professionals and lay clients, each with different concerns","The document provided contains only metadata — actual regulatory content could significantly increase complexity","As a reprint (REPL007R1), this may consolidate multiple amendments, making it harder to track what has changed","Interaction with professional body rules (Law Society, Bar Association) adds another regulatory layer"],"plain_english_summary":"The Legal Profession Regulations 2007 (updated by Regulation No. 5 of 2023, effective 1 April 2023) set the detailed rules for how lawyers and law practices must operate under the Legal Profession Act. They govern professional conduct, handling of client funds, practising certificates, complaints/discipline and costs disclosure.\n\nThey affect practising lawyers, law firms, aspiring lawyers and the public who engage them—protecting clients and defining professional obligations for those in the legal sector."}},"importantCases":[],"_links":{"self":"/api/acts/legal-profession-regulations-2007","history":"/api/acts/legal-profession-regulations-2007/history","analysis":"/api/acts/legal-profession-regulations-2007/analysis","conflicts":"/api/acts/legal-profession-regulations-2007/conflicts","importantCases":"/api/acts/legal-profession-regulations-2007/important-cases","documents":"/api/acts/legal-profession-regulations-2007/documents"}}