386Report to local regulatory authority of disciplinary matters

386 Report to local regulatory authority of disciplinary matters

386 Report to local regulatory authority of disciplinary matters

(1) This section applies if, in the course of—

(a) a trust records examination; or

(b) a trust records investigation; or

(c) a compliance audit; or

(d) a complaint investigation—

an investigator becomes aware of any matter that the investigator thinks may be unsatisfactory professional conduct or professional misconduct on the part of an Australian legal practitioner or Australian-registered foreign lawyer.

(2) The investigator must, unless the matter is or has already been the subject of a complaint under Chapter 5, refer the matter to the designated local regulatory authority to consider whether disciplinary action should be taken against an Australian legal practitioner or Australian-registered foreign lawyer.