Adopt written policies and checklists. Implement written practice policies that map each rule to procedures: conflicts checks, confidentiality handling, inadvertent disclosure responses, instructions for liens and document surrender, advertising approvals, and protocols for regulatory enquiries. Policies should reference specific rules (for example, confidentiality r 13, inadvertent disclosure r 36, lien and client documents r 18-19, regulatory response r 48).
Conflict prevention and information barriers. Maintain a searchable conflicts register that records current and former clients and confidential information holdings. Where acting for multiple clients, obtain informed consent in writing that records the facts, risks and alternatives as required by rules 14-15. When relying on an information barrier, document its structure, who is excluded, secure electronic and physical segregation measures, and review procedures to demonstrate the barrier’s effectiveness.
Client engagement and informed consent templates. Use engagement letters that clearly record scope, instructions, storage charging agreement if any (rule 20 requires written agreement for storage charges), consent to dual representation or financial benefits from third parties (rules 15 and 16), and the client’s options for document custody on termination (rule 18). Where a solicitor may receive a commission from a third party, disclose the commission and obtain informed consent in writing per rule 16(4)(c).
Document retention and client document procedures. Implement file closing procedures to deliver client documents as soon as reasonably possible on completion or termination, unless there is an effective lien (rule 18(1)). For lien situations that involve documents essential to current proceedings, follow rule 19’s pathways: surrender to a successor solicitor with undertaking and security or obtain reasonable security from the client. Establish a document destruction schedule consistent with rule 18(2) that preserves documents where client instructions or legislation require longer retention.
Confidentiality and privilege management. Train staff on the scope of confidentiality under rule 13 and on permitted exceptions. Maintain secure systems for client information and protocols for seeking client authorisation or seeking legal/ethical advice in a confidential setting under rule 13(2)(c). Ensure insurers are informed where disclosure to an insurer may be necessary under rule 13(2)(f).
Inadvertent disclosure response. Create an incident response plan for inadvertent disclosure per rule 36: immediate cessation of use, return/destruct/delete, notification to the disclosing solicitor, and internal record‑keeping of steps taken. Ensure staff understand the prohibition on further reading and the obligation to notify the opposing solicitor if confidential status is discovered after partial reading.
Advocacy and courtroom conduct training. Provide continuing professional development and practice notes on frankness to the court (rule 24), responsible use of process and privilege (rule 26), treatment of witnesses including vulnerable witnesses (rule 26(8)), and the duty to correct misleading statements. Supervising solicitors must ensure juniors are trained to exercise independent forensic judgment in line with rule 22.
Advertising and marketing controls. Establish an advertising approval process to verify that all materials are not false, misleading or deceptive and that no unaccredited “specialist” language is used (rule 42). Keep documentary evidence of accreditation where claimed.
Supervision and designated responsibility. Assign a named solicitor with designated responsibility for each matter and document supervisory steps taken (rule 43). Maintain a supervisory checklist for file reviews, court preparations, and client communications.
Regulatory engagement. Prepare templates and records to support timely and full responses to regulatory enquiries under rule 48. Record enquiries, record extensions sought or granted, and maintain a standard format for the “full and accurate account” required.
Financial relationships and borrowing. Do not borrow from clients except in the narrow exceptions listed in rule 16(3). Where a solicitor receives a commission or benefit from a third party, disclose the nature and obtain informed consent as required by rule 16(4)(c).
Sharing premises and receipts. If sharing premises with another business, provide clear written client notices distinguishing services provided by the law practice and services provided by the other entity (rule 45). Ensure fee‑sharing or partnership arrangements do not involve disqualified persons and that due diligence is carried out to confirm partners and recipients are not disqualified (rule 46).
Liens and transitions between solicitors. Where withdrawing or asserting liens, provide timely written notice per rule 17(2) where criminal trials are pending, and coordinate with successor solicitors to secure undertakings or security for documents essential to proceedings under rule 19.
Record‑keeping and audit trails. Keep contemporaneous records of client consents, conflicts checks, supervision notes, advice given regarding alternatives to adjudication (rule 11), requests for legal aid information (rule 21), disclosure of third‑party benefits, and communications with regulatory authorities. These records are the primary evidence of compliance in regulatory proceedings.
Periodic compliance review. Schedule regular internal audits against the rules’ operational obligations, focusing on high‑risk areas identified in the “Gotchas”: confidentiality exceptions, inadvertent disclosure, liens and surrender of documents, conflicts and information barriers, advertising claims, and regulatory responses.
These compliance measures follow directly from the duties and operational requirements in the rules. They are designed to reduce the likelihood of disciplinary action by evidencing considered processes and timely responses where the rules require particular conduct or disclosure.