Legal Profession Uniform Law (NSW)
256Compliance audits
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256 Compliance audits
256 Compliance audits
(1) The designated local regulatory authority may conduct, or appoint a suitably qualified person to conduct, an audit of the compliance of a law practice with this Law, the Uniform Rules and other applicable professional obligations if the designated local regulatory authority considers there are reasonable grounds to do so, based on—
(a) the conduct of the law practice or one or more of its associates; or
(b) a complaint against the law practice or one or more of its associates.
(2) The appointment of a suitably qualified person may be made generally, or in relation to a particular law practice, or in relation to a particular compliance audit.
(3) A report of a compliance audit is to be provided to the law practice concerned and may be provided to the designated local regulatory authority.
Note
Chapter 7 applies to a compliance audit.