Legal Profession Uniform Legal Practice (Solicitors) Rules 2015

The instrument relies on a small set of recurring regulatory concepts.

Uniform Law: the Rules operate as subsidiary rules to the Legal Profession Uniform Law, which the Rules describe as the Uniform Law (r 5.1). The authorising power is the Legal Services Council acting under Part 9.2 of that Uniform Law (r 4.1). The Rules therefore sit within the Uniform Law framework rather than as freestanding statute.

Transfer of practice: a transfer occurs when a solicitor intends to transfer the whole or part of the practice, including clients’ work in progress, and put the acquiring solicitor in possession of documents held for clients. Prior to delivering possession of the practice, the transferring solicitor must give each client written notice at least 14 days, or another period reasonable in the circumstances, advising of the intended transfer of documents and the client’s right to give contrary directions (r 6.1). Where the solicitor holds money in trust or under control on behalf of a client, the notice must state the balance held and the solicitor’s intention to transfer the relevant account to the acquiring solicitor unless the client directs otherwise, and inform the client of the right to give contrary directions as to how the account should be dealt with (r 6.2). There is a carved-out exception where the practice continues as a partnership and a new partner is admitted (r 6.3).

Use of intermediaries: the Rules seek to control risk associated with debt collection or mercantile agencies. A solicitor must not permit the solicitor’s business name or stationery to be used by such agents in a way likely to mislead the public (r 7.1). Where instructions are received from an agent, the solicitor must disclose the relationship in writing to the client, ensure statutorily and Rule-required client information is communicated, maintain direct control and supervision of proceedings or correspondence, and account for any money recovered (r 7.2).

Concurrent non-legal business: a solicitor who conducts another business concurrently must ensure that the other business does not impair or conflict with duties to clients, keep separate files, records and accounts, disclose financial or other interests to clients who deal with the other business, and cease acting where the solicitor’s independent service is likely to be affected (r 8.1). The Rules define conduct of another business for these purposes by reference to legal or equitable entitlement to a significant interest in assets, exercise of material control over operations, or entitlement to a substantial share of income (r 8.2).

Practice identity and stationery: the firm or business name must be displayed in legible characters on all communications written in the course of legal practice (r 9).

Litigation lending accounts: withdrawals from litigation lending accounts arranged by the solicitor for a client are restricted to (a) reimbursement of disbursements already paid by the solicitor, including Counsel’s fees, or (b) payment of third party accounts on behalf of the client, which expressly includes payment of costs to a former solicitor to obtain delivery of documents retained under lien for unpaid costs. All withdrawals must be made according to client instructions (r 10.1-10.2).

Loan and security advice documentation: where a solicitor is engaged to advise a proposed signatory who will be a borrower or a guarantor in loan or security documents, and the solicitor is asked to provide evidence of that advice, the solicitor must verify the proposed signatory’s identity using the Verification of Identity Standard in Schedule 8 to the Model Participation Rules (r 11.1-11.2). The Rules require specified forms for evidence of advice, differing by whether the solicitor holds a NSW or Victorian practising certificate (r 11.3-11.7). If an interpreter is present, the interpreter’s name must be recorded and the interpreter must complete a specified certificate (r 11.5). The solicitor must retain specified documentation on file, including an acknowledgement in a prescribed form that must not be provided to the lender (r 11.6). A solicitor must not procure another solicitor to provide evidence that does not conform with these rules (r 11.8).

Collectively, these concepts instantiate a regulatory approach that uses notice requirements, recordkeeping prescriptions, supervision obligations, limited permissible transactional actions, identity verification standards and prescribed documentary forms to regulate discrete operational risks in solicitor practice.

Primary regulated persons: the Rules apply to solicitors. The title and the text repeatedly frame requirements as obligations of "a solicitor" or "the solicitor", and the objective is stated to regulate aspects of legal practice by solicitors (r 3.1). That includes sole practitioners, partners and solicitors acting in firms.

Clients: clients are regulated indirectly through rights and information entitlements imposed on solicitors. For example, when a practice is transferred, clients must be given written notice and the opportunity to give a contrary direction about the transfer of documents or the handling of client money (r 6.1-6.2). Clients who have money held in trust are entitled to receive account balances in the transfer notice (r 6.2.1).

Acquiring solicitors and former solicitors: solicitors who acquire a practice are the intended recipients of transferred documents and accounts; the transferring solicitor must communicate the intended transfer to clients so that the client's directions can be given before the acquiring solicitor takes possession (r 6.1-6.2). Where a solicitor previously acted for the client and retained documents under a lien, the Rules expressly contemplate payment to that previous solicitor to obtain delivery of those documents as an authorised purpose of litigation lending account withdrawals (r 10.1.2).

Debt collection or mercantile agents: the Rules constrain the ways in which such agents may use a solicitor’s business name or stationery (r 7.1) and impose disclosure and supervision obligations on solicitors receiving instructions through those agents (r 7.2). The Rules therefore affect the commercial relationships and operational arrangements between solicitors and such agents.

Other businesses and associates: solicitors who operate another business concurrently, or solicitors who have an associate engaging in another business that generates significant asset interest, material control or substantial income share, are affected (r 8.1-8.2). The Rules reach not only the solicitor personally but also where an associate’s position would meet the enumerated thresholds (r 8.2).

Lenders, banks and financial institutions: where a solicitor assists a client to obtain a litigation lending account, lenders are affected because withdrawals are limited to enumerated purposes and must be authorised by client instruction (r 10.1-10.2). Similarly, lenders, conveyancers and parties in loan and security transactions are affected by the specified evidence-of-advice forms and identity verification that must be used and retained (r 11.3-11.6).

Interpreters and translators: if an interpreter or translator is present during advice, their name must be included on the relevant certificate and they must complete a prescribed certificate (r 11.5).

Jurisdictional variation: the Rules explicitly require NSW and Victorian practitioners to use different prescribed forms (r 11.7). That creates a compliance split based on the practising certificate held by the solicitor.

Who pays and who decides: the compliance costs fall on solicitors. Solicitors decide operational responses: whether and how to give client notices on transfer, whether to permit agents to use their business name, how to segregate files and accounts when conducting another business, how to operate litigation lending withdrawals, and how to implement identity verification and which prescribed forms to use (r 6.1-6.2; r 7.1-7.2; r 8.1-8.2; r 10.1-10.2; r 11.2-11.7). Clients retain decision rights in some instances, for example the right to give contrary directions about transfer and account handling (r 6.1-6.2). The Rules require record retention and specific documentary practices that will determine evidence available to all parties in later disputes or audits (r 11.6).

The Rules set out a discrete set of duties that are both procedural and substantive in effect. Below are the principal duties and the associated client rights explicitly stated in the Rules.

Duties on transfer of practice (r 6.1-6.3)

• Duty to notify clients in writing at least 14 days, or a shorter but reasonable period where applicable, before delivering possession of the practice to the acquiring solicitor (r 6.1). Notices must advise of the intended transfer of documents and the client’s right to give contrary directions about conduct of their affairs and delivery of documents (r 6.1.1-6.1.2).
• Where the solicitor holds money on a client’s behalf, the notice must state the balance, the solicitor’s intention to transfer the relevant account to the acquiring solicitor unless the client directs otherwise, and the client’s right to give contrary directions as to dealing with the account (r 6.2.1-6.2.3).
• Exception: these notice duties do not apply when a new partner is admitted and the partnership continues to conduct the practice (r 6.3).

Duties regarding debt collection or mercantile agencies (r 7.1-7.2)

• Duty not to allow the solicitor’s business name or stationery to be used by an agency in a way likely to mislead the public (r 7.1).
• Where instructions come from an agent, duty to disclose the solicitor’s relationship to the agent in writing to the client, communicate statutorily required information and Rule-required information to the client, maintain direct control and supervision of any proceedings or correspondence, and account for any money recovered on behalf of the client (r 7.2.1-7.2.4).

Duties where solicitor conducts another business (r 8.1-8.2)

• Ensure the other business is not of such a nature that involvement would be likely to impair or conflict with duties to clients (r 8.1.1).
• Maintain separate and independent files, records and accounts in respect of the legal practice and the other business (r 8.1.2).
• Disclose financial or other interests in the other business to any client who, when dealing with the solicitor, also deals with that other business (r 8.1.3).
• Cease acting for a client if independent service of the client’s interest is reasonably likely to be affected by the solicitor’s interest in the other business (r 8.1.4).
• The rule defines engagement in another business where the solicitor or an associate has a significant or relatively substantial legal or equitable interest in assets, exercises material control, or has entitlement to a substantial share of income (r 8.2.1-8.2.3).

Duties regarding business name (r 9)

• The firm or business name of the solicitor or firm must be shown in legible characters on all communications written in the course of legal practice (r 9).

Duties on litigation lending accounts (r 10.1-10.2)

• Duty not to withdraw money from a client’s litigation lending account other than to reimburse the solicitor for disbursements already paid, or to pay third party accounts on behalf of the client, including payment to a previous solicitor to obtain delivery of documents retained under a lien for unpaid costs (r 10.1.1-10.1.2).
• Duty to make all withdrawals in accordance with the client’s instructions (r 10.2).

Duties on loan and security advice and evidence (r 11.1-11.8)

• Verify identity of the proposed signatory using the Verification of Identity Standard in Schedule 8 to the Model Participation Rules (r 11.2).
• Provide evidence of advice in prescribed forms depending on whether the solicitor holds a NSW or Victorian practising certificate (r 11.3-11.7).
• If an interpreter is present, include the interpreter’s name on the advisory certificate and have the interpreter complete a prescribed certificate (r 11.5).
• Retain on file an acknowledgement in a prescribed form (which must not be provided to the lender), a copy of the declaration or certificate of advice, any interpreter certificate, and a list of the loan and security documents (r 11.6).
• Duty not to aid or procure any solicitor to provide evidence of advice that does not conform to this rule (r 11.8).

Client rights explicitly stated

• Clients have the right to give contrary directions with respect to the transfer of their documents and the delivery of their funds to the acquiring solicitor (r 6.1.2; r 6.2.3).
• Clients’ control over litigation lending withdrawals is recognised because withdrawals must only be made in accordance with the client’s instructions (r 10.2).

These duties are operational and place primary decision-making and compliance obligations on solicitors. They create, for clients, informational entitlements and specific procedural avenues to prevent unwanted transfers of documents or accounts.

The Rules do not contain specific penalty clauses or express enforcement mechanisms within the text supplied. The authorising clause states that the Rules were developed by the Law Council of Australia in accordance with section 427 of the Legal Profession Uniform Law and are made by the Legal Services Council under Part 9.2 of that Law (r 4.1). The Rules themselves focus on substantive obligations and documentary requirements rather than prescribing sanctions, fines or enforcement procedures.

Because the Rules are made under the Uniform Law (r 4.1; r 5.1), enforcement in practice will occur within the Uniform Law framework. The Rules, however, do not in their text set out who will impose penalties, what sanctions apply, or the procedures for disciplinary action. The Rules do create obligations that will be evidenced by documentary compliance (for example retention of specified forms and lists under r 11.6), and failure to meet the stated duties will be apparent from the absence or inadequacy of those records.

In the absence of penalty provisions in the Rules themselves, the immediate operational enforcement mechanism created by the Rules is recordability: the Rules require written notices, documentary acknowledgements that must not be given to particular parties (r 11.6.1), and retention of specified documents (r 11.6.2-11.6.4). These record obligations create evidentiary trails that are relevant to any subsequent regulatory or disciplinary process under the broader Uniform Law. The Rules also create elements that can be examined during regulatory review, complaint investigation, or professional standards inquiries, because they are specific, documentary and procedural in nature.

Practically, solicitors face compliance risk where required steps are omitted, documented procedures are not followed, prescribed forms are not used in the appropriate jurisdiction, or identity verification is not performed in accordance with the prescribed standard (r 11.2-11.7). The Rules set obligations the fulfilment of which will influence any enforcement or professional consequence determined under the Uniform Law processes; those processes and penalties are not recited in the provided Rules text.

The Rules explicitly cross‑refer to and depend on other legal instruments and standards.

Relationship with the Legal Profession Uniform Law: the Rules are made under the authorising provisions of the Uniform Law (r 4.1; r 5.1). That situates these Rules as subordinate regulatory instruments within the Uniform Law regime. The Rules do not restate the disciplinary, licensing or enforcement powers of the Uniform Law, but the authorising clause makes clear the Rules are part of the Uniform Law ecosystem.

Identity verification and electronic conveyancing standards: for loan and security transactions the Rules require identity verification in accordance with the Verification of Identity Standard contained in Schedule 8 to the Model Participation Rules determined by the Australian Registrars’ National Electronic Conveyancing Council as adopted and made by each jurisdiction pursuant to section 23 of the Electronic Conveyancing National Law (r 11.2). The Rule therefore links solicitor obligations to the national electronic conveyancing identity verification standard rather than prescribing a standalone verification method.

Prescribed forms developed by professional bodies: the Rules require solicitors to use specific forms developed by the Law Society of NSW and the Law Institute of Victoria as the means of providing evidence of advice, interpreter certifications and acknowledgements (r 11.3-11.6). The Rules do not create alternative form content; they specify which forms must be used depending on the practising certificate held (r 11.7). This creates an interaction between the Uniform Rules and professional association documents.

Jurisdictional variation: r 11.7 requires solicitors holding NSW practising certificates to use the Law Society of NSW forms and solicitors holding Victorian practising certificates to use the Law Institute of Victoria forms. That produces different documentary compliance obligations that are explicitly born of jurisdictional practising certificate classification rather than of client domicile.

Professional and contractual interfaces: the Rules affect solicitor interactions with lenders, debt collection or mercantile agents, interpreters and other solicitors. For example, the requirement not to procure non‑conforming evidence of advice (r 11.8) directly limits how solicitors may rely upon or encourage other practitioners to frame evidence in loan and security matters. Similarly, r 7.2 imposes duties on solicitors receiving instructions through agents to disclose their relationship and to maintain direct control and supervision of proceedings or correspondence. Those duties interact with contractual relationships between solicitors and debt collection agencies, and with the duties a solicitor owes to clients under professional conduct rules.

Recordkeeping and evidentiary interaction: the Rules create recordkeeping obligations that will interact with other statutory or regulatory regimes insofar as proof of compliance is required. For example, the retention obligations in r 11.6 produce documentary artefacts that may be relevant to any compliance audit under the Uniform Law or enquiries by lenders, courts or regulators.

Limits of textual interaction: the Rules as provided do not specify how conflicts between the Rules and other statutory obligations should be resolved. The only explicit cross-references in the text are to the Uniform Law (r 4.1; r 5.1) and to the Model Participation Rules and Electronic Conveyancing National Law for identity verification (r 11.2). The Rules therefore operate as a set of sectoral obligations that sit alongside and are dependent upon the broader Uniform Law framework and the identified national standards.

The Rules, as provided, record their date of commencement and their origin but do not contain a history of subsequent amendments within the text supplied.

• Citation and designation: the Rules are designated as the Legal Profession Legal Practice Rules and may be cited as the Legal Profession Uniform Legal Practice (Solicitors) Rules 2015 (r 1.1).
• Commencement: the Rules came into operation on 1 July 2015 (r 2.1).
• Authorising process: the Rules were developed by the Law Council of Australia in accordance with section 427 of the Legal Profession Uniform Law and made by the Legal Services Council under Part 9.2 of that Law (r 4.1).

No further amendment clauses, schedules recording changes, or transitional provisions appear in the text supplied. The Rules require use of forms prepared by the Law Society of NSW and the Law Institute of Victoria and reference standards adopted under the Electronic Conveyancing National Law (r 11.2-11.7). Those cross-references imply that the practical content of compliance may change if the referenced Model Participation Rules, Schedule 8 Verification Standard, or the professional body forms are updated; however, the Rules themselves do not document any such updates or subsequent legislative amendments in the provided text.

Where one needs a formal amendment history, the Rules as supplied do not provide it. The only firm dates and provenance recorded in the instrument are the 2015 designation and the 1 July 2015 commencement date (r 1.1; r 2.1), together with the statement that the Rules were developed by the Law Council of Australia and made by the Legal Services Council under the Uniform Law (r 4.1). Any later amendments, revocations, or consolidated versions are not included in the text given.

The text of the Rules supplied contains no litigation history. There are no cases, decisions, or judicial interpretations included or referenced within the instrument. The Rules do not name any judicial authorities or cite any decisions. The Rules themselves are regulatory instruments that create documentary and conduct obligations; the supplied text does not record instances in which the Rules have been the subject of litigation, nor does it refer to precedent or interpretive guidance arising from litigation.

Accordingly, within the content provided, there is no litigation history to report. Any case law, complaints, disciplinary determinations or court decisions interpreting, applying or challenging these Rules would need to be sourced from external records of the courts, tribunals or disciplinary bodies, which are not part of the text supplied here.

The Rules contain several specific requirements and exceptions that create common compliance pitfalls. The text is prescriptive in form in several areas, and failure to follow the prescribed process or to retain the required documentation will be evident on inspection.

Transfer notices and trust money detail: r 6.1 requires at least 14 days’ written notice to each client before delivering possession of the practice to the acquiring solicitor, unless a different reasonable period is appropriate. The Rule requires that notice advise of the intended transfer of documents unless the client gives contrary direction, and that the client has the right to give a contrary direction in relation to conduct of their affairs and delivery of documents (r 6.1.1-6.1.2). For clients on whose behalf the solicitor holds money in trust or under the solicitor’s control, the notice must state the balance, the solicitor’s intention to transfer the account to the acquiring solicitor unless advised otherwise, and the client’s right to give contrary direction as to how the account should be dealt with (r 6.2.1-6.2.3). A potential trap is failing to give the specific monetary information required in r 6.2.1 when trust money is involved. Another trap is treating admission of a new partner as a transfer; r 6.3 excludes the notice obligation where a new partner is admitted and the partnership continues to conduct the practice.

Debt collection agency use of business name and supervision: r 7.1 prohibits use of the solicitor’s business name or stationery by a debt collection or mercantile agent in a way likely to mislead the public. r 7.2 then requires written disclosure of the solicitor’s relationship to the agent to the client, communication of any information required by relevant legislation and these Rules, maintenance of direct control and supervision of any proceedings or correspondence, and accounting for money recovered. A common compliance failure would be to allow agent stationery or co‑branded materials that give the impression the agent is the solicitor or that obscure who is actually acting. Another practical difficulty is ensuring ongoing direct control and supervision of correspondence or proceedings when much of the operational work is channelled through an agent.

Concurrent businesses: r 8.1 requires separate files, records and accounts and disclosure to clients where the solicitor has a financial or other interest in a related business. The Rules define engagement in another business by reference to qualitative thresholds,"significant or of relatively substantial value" (r 8.2.1), "material control" (r 8.2.2), and "substantial" share of income (r 8.2.3). Those qualitative phrases create judgement calls for solicitors and their compliance officers. Mistakenly treating a material interest as immaterial could expose a solicitor to breach where a client later alleges impaired independent service under r 8.1.4.

Business name legibility: r 9 requires the firm or business name to be mentioned in legible characters on all communications written in the course of legal practice. This extends to email footers, letterheads, client engagement letters and other written communications. Non‑compliance is often inadvertent,small fonts, poor contrast, or omissions in templates will not satisfy the rule.

Litigation lending withdrawals: r 10.1 restricts permitted withdrawals from a client’s litigation lending account to reimbursement of disbursements already paid and payment of third party accounts on behalf of the client, and r 10.2 requires that all withdrawals be according to the client’s instructions. A key trap is using litigation lending funds for purposes outside those two categories, or making withdrawals without contemporaneous client instructions. The rule expressly contemplates payment to a former solicitor as a permitted third party payment where such a payment is required to obtain delivery of documents retained under lien (r 10.1.2), so practitioners must document the client instruction and the lien circumstances.

Loan and security documentation formalities: r 11 contains multiple detailed requirements that are often overlooked. Identity verification must use the Verification of Identity Standard in Schedule 8 to the Model Participation Rules adopted under the Electronic Conveyancing National Law (r 11.2). The evidence of advice must be provided in the prescribed Law Society of NSW or Law Institute of Victoria forms depending on the solicitor’s practising certificate (r 11.3-11.7). Where an interpreter is present, the interpreter’s name must be recorded on the certificate and the interpreter must complete the prescribed statement (r 11.5). The solicitor must retain an acknowledgement in a specified form which must not be provided to the lender (r 11.6.1), along with copies of the certificate and a list of loan and security documents (r 11.6.2-11.6.4). Non‑compliance can arise through using the wrong jurisdictional form, failing to verify identity to the prescribed standard, providing the acknowledgement to the lender contrary to r 11.6.1, or failing to retain the required documents on file.

Prohibition on aiding non‑conforming evidence: r 11.8 forbids a solicitor from aiding, abetting, counselling or procuring another solicitor to provide evidence of advice that does not conform with the rule. A practical consequence is that if a solicitor refers a client to another practitioner for the purpose of obtaining a certificate, the referring solicitor must ensure the certificate meets the Rule’s requirements. Failure to do so would run counter to r 11.8.

Jurisdictional form differences: r 11.7 imposes different form obligations for NSW and Victorian practising certificate holders. Using the incorrect form for the jurisdiction of the practising certificate held is a straightforward compliance error that the Rules explicitly prohibit.

Document retention and non-disclosure of acknowledgement to lender: r 11.6.1 includes the proviso that the acknowledgement must not be provided by the solicitor to the lender. Misunderstanding that instruction and delivering that acknowledgement to a lender would be non‑compliance evident on inspection.

In short, the Rules are precise about form, content and retention. The frequent sources of non‑compliance are failure to use prescribed forms, inadequate identity verification, insufficient client notices on transfers and mishandling of litigation lending withdrawals.

Compliance with these Rules requires integrating the specific procedural steps and documentary obligations into practice management systems. The following is a structured checklist, grounded in the Rules, that a solicitor or firm should implement.

Governance and delegation

• Assign a responsible compliance officer or partner to oversee adherence to these Rules. That person is to ensure forms, notices and verification standards are current and used consistently.
• Maintain a documented policy and procedure manual mapping each Rule to work practices, templates and record retention protocols.

Practice transfer procedures (r 6.1-6.3)

• Develop a written transfer checklist that triggers when a solicitor intends to transfer whole or part of the practice. The checklist must include preparing and serving written notices to each client at least 14 days before delivering possession, or a shorter reasonable period where justified.
• Notices must state the intended transfer of documents and inform clients of their right to give contrary directions about conduct of their affairs and delivery of documents (r 6.1.1-6.1.2).
• For clients with funds held in trust or under the solicitor’s control, the notice must include the balance of money held, the solicitor’s intention to transfer the relevant account to the acquiring solicitor unless instructed otherwise, and the client’s right to give contrary directions on account handling (r 6.2.1-6.2.3).
• Retain copies of all notices and any client responses on the client file.
• If a new partner is being admitted and the partnership continues the practice, confirm the r 6.3 exception applies and document the partnership continuity decision.

Debt collection and agent engagement (r 7.1-7.2)

• Prohibit use of the firm’s business name or stationery by debt collection or mercantile agents where such use could mislead the public. Review any co‑branding agreements and stationery for compliance (r 7.1).
• If instructions are accepted through an agent, prepare a written disclosure to be provided to the client that sets out the solicitor’s relationship with the agent. Ensure the disclosure also covers information required by relevant legislation and these Rules (r 7.2.1-7.2.2).
• Institute supervisory controls to ensure a solicitor maintains direct control and supervision of proceedings and correspondence arising from agent referrals. Keep contemporaneous supervision records (r 7.2.3).
• Ensure strict accounting protocols are in place for any money recovered by the agent on behalf of the client and that the solicitor accounts for those recoveries (r 7.2.4).

Concurrent non-legal business safeguards (r 8.1-8.2)

• Maintain separate files, records and accounts for the legal practice and any other business. Use separate practice management codes and bank accounts where appropriate (r 8.1.2).
• Implement a conflict and independence assessment process to determine whether the other business could impair or conflict with duties to clients. Document the substantive and factual basis for the assessment (r 8.1.1; r 8.1.4).
• Disclose to any client, at the commencement of dealings or as soon as the interest becomes relevant, the solicitor’s financial or other interest in the other business where the client will interact with that other business (r 8.1.3).
• Apply the r 8.2 definitions to determine whether the solicitor or an associate has a significant asset interest, exercises material control, or has a substantial entitlement to income. Record the analysis and, where thresholds are met, enact additional safeguards or cease to act where necessary.

Business name and stationery (r 9)

• Audit all written communications,physical and electronic,to ensure the firm or business name appears in legible characters. Update templates, email signatures and letterheads to ensure compliance.

Litigation lending accounts (r 10.1-10.2)

• Establish a formal procedure for handling litigation lending accounts. Before any withdrawal, confirm and record the client’s instruction authorising the withdrawal (r 10.2).
• Restrict withdrawals to either reimbursement of disbursements already paid by the solicitor, including Counsel’s fees, or payment of third party accounts on behalf of the client, including payment to a previous solicitor to obtain delivery of documents retained under lien (r 10.1.1-10.1.2). Keep documentary evidence justifying each withdrawal and the relevant invoices or receipts.

Loan and security transactions and evidence of advice (r 11.1-11.8)

• Integrate the Verification of Identity Standard from Schedule 8 to the Model Participation Rules into file opening and certificate procedures for loan and security matters (r 11.2). Maintain audited templates reflecting the verification steps.
• Maintain the correct form library. For solicitors with NSW practising certificates, use the Law Society of NSW forms identified in r 11.3.1, r 11.4.1, r 11.5.2.1 and r 11.6.1.1. For solicitors with Victorian practising certificates, use the Law Institute of Victoria forms identified in r 11.3.2, r 11.4.2, r 11.5.2.2 and r 11.6.1.2 (r 11.7).
• Where an interpreter or translator is used, ensure their name appears on the relevant declaration/certificate and obtain the interpreter’s certificate in the prescribed form (r 11.5).
• Retain on the file the acknowledgement in the prescribed form (ensuring it is not provided to the lender), a copy of the declaration or certificate of advice, any interpreter certificate, and a list of loan and security documents (r 11.6).
• Ensure solicitors do not procure or encourage other solicitors to provide evidence that does not conform to these Rules (r 11.8). Where referrals are made for certificates, require return of the original certificate for filing and verification that it conforms to the prescribed form.

Training, audits and updates

• Train fee earners and support staff on the specific documentary requirements, particularly on the differences between NSW and Victorian forms, the identity verification standard, and litigation lending withdrawal limits.
• Conduct periodic internal audits to confirm that notices, forms and retention practices comply with the Rules. Use audit findings to update procedures, templates and training.
• Monitor the Model Participation Rules and the relevant Law Society/Law Institute forms for updates that may affect compliance with r 11.2-11.7, and record version control for forms and verification steps.

Record retention and evidentiary practice

• Keep a centralised rule‑compliance file or digital register that indexes all transfer notices, disclosure statements to clients about agents and other business interests, litigation lending withdrawal authorisations and supporting invoices, and all loan/security certificates and interpreter certificates required by r 11.6.
• Where the Rules require that certain documents must not be given to a particular party,specifically that the acknowledgement must not be provided to the lender (r 11.6.1),implement controls to ensure that document is never transmitted outside the file.

By converting each Rule into discrete, auditable processes, and by preserving contemporaneous documentary evidence of decisions and client instructions, a solicitor will meet the documentary and procedural demands the Rules impose.