Stephen Warne on professional negligence, regulation and discipline around the world

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Entries Tagged as 'regulators’ duties'

The Bureau de Spank’s obligation not to publish about disciplinary orders until lawyers’ appeal rights are spent

June 19th, 2016 · No Comments

Parliament is considering a bill to re-instate the disciplinary register, and to prohibit the Bureau de Spank from trumpeting its successes before the respondent practitioners’ appeal rights are exhausted: Legal Profession Uniform Law Application Amendment Bill 2016 (Vic.).  Cl. 150E of the Bill proposes to prohibit the Legal Services Board from providing to the public information about disciplinary […]

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Tags: appeals · Discipline · Legal Profession Act · Legal Profession Uniform Law · Legal Services Commissioner · Legal writing · litigation ethics · National Profession Uniform Law · Professional regulation · prosecutors' duties · regulators' duties · VCAT

The extended duration of the un-renewed practising certificate

October 8th, 2015 · No Comments

Under the Legal Profession Act 2004, if a lawyer applied for renewal of their practising certificate prior to the expiry of the old one, but a decision was not made before the old one runs out, the certificate is extended until either it is renewed or a decision to refuse renewal is finally determined by […]

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Tags: Civil Procedure Act 2010 (Vic) · Civil Procedure Acts · Ethics · Legal Profession Act · litigation ethics · Non-party costs orders · Party party costs · Practising certificates · Professional regulation · Proportionality · regulators' duties

Submissions on penalty in regulatory proceedings like ASIC and disciplinary prosecutions

June 8th, 2015 · No Comments

The Federal Court has given a landmark decision about regulatory prosecutions.  In federal jurisdictions and state jurisdictions which follow the new decision, professional disciplinarians like ASIC and Legal Services Commissioners will no longer be able to enter into plea bargains in the expectation that the court or tribunal hearing them will rubber stamp the agreed […]

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Tags: Criminal liability · Discipline · Legal Services Commissioner · Legal writing · Out of court settlements · procedure · Professional regulation · prosecutors' duties · regulators' duties · Rule of law

Can a legal regulator rescind a decision to bring disciplinary proceedings

March 21st, 2015 · No Comments

The Supreme Court of Tasmania has made an important ruling in  Legal Profession Board of Tasmania v XYZ [2014] TASSC 33 about the finality of decisions made by legal regulators at the end of disciplinary investigations.  The decision suggests that in those jurisdictions with similar statutory provisions, until a disciplinary prosecution is launched, such decisions […]

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Tags: amendment · autrefois acquit · Discipline · Legal Profession Act · Legal Services Commissioner · procedure · Professional regulation · regulators' duties

New South Wales Law Society misconceivedly suspends sole practitioner’s PC peremptorily

November 5th, 2014 · No Comments

In Dennis v Council of the Law Society of New South Wales [2014] NSWSC 1487, the Law Society suspended a sole practitioner’s practising certificate with immediate effect and appointed a manager to his practice.  He had not responded to commands by a trust investigator to produce documents and answer questions in relation to a disciplinary complaint.  […]

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Tags: External administration · Legal Profession Act · Practising certificates · Professional regulation · regulators' duties · Suspension · Trust money · trust monies

Punk sues you in civil court: can you sic them for malicious prosecution?

November 5th, 2010 · No Comments

Kinghorn v HKAC Asset Management Services (AFFL) Pty Ltd [2010] NSWDC 232 reviews the law at the extremities of the tort of malicious prosecution. I must say that I had always assumed that there needed to be a criminal prosecution before the tort of malicious prosecution might be made out, but there is no doubt […]

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Tags: Discipline · prosecutors' duties · regulators' duties

Legal professional privilege and disciplinary complaints by non-clients

June 16th, 2010 · 4 Comments

If you are a solicitor and someone other than your client or former client has lodged a disciplinary complaint against you in Victoria, you should not disclose the subject matter of any communications to which legal professional privilege attaches, or might arguably attach, unless you are instructed to do so by your client or former […]

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Tags: Client Legal Privilege · Discipline · duties of confidentiality · Ethics · Evidence · Legal Profession Act · Legal Services Commissioner · procedure · regulators' duties

Privy Council on privilege as an answer to legal regulators’ powers of compulsion

December 23rd, 2009 · 1 Comment

Update, 13 May 2012: See now Finlayson v Legal Practitioners Conduct Board [2012] SASC 77. Original post: Rosemary Pattenden’s The Law of Professional-Client Confidentiality is one of those books which, until now, I would like to have but could not bring myself to shell out for.  Just now, I spent $134 on a second-hand copy, […]

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Tags: Discipline · procedure · regulators' duties

Law Society’s conduct in Goldberg v Ng

October 14th, 2009 · No Comments

Goldberg v Ng [1995] HCA 39; (1995) 185 CLR 83 is exhaustively treated in this sister post.  The purpose of this post is to isolate some comments about the Law Society’s extraordinary conduct in the disciplinary complaint which is the subject of the case. 

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Tags: Legal Services Commissioner · regulators' duties

New complaints system for English solicitors

August 26th, 2009 · No Comments

English firm Weightmans has a little article about the newly formed Office for Legal Complaints‘s first discussion paper about the Ombudsman scheme the OLC proposes to establish by 2010.

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Tags: Discipline · Professional regulation · regulators' duties