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

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Entries Tagged as 'Professional regulation'

Does the Legal Services Board have the power retrospectively to excuse inadvertently practising briefly without a practising certificate?

February 24th, 2017 · No Comments

As with most years, no doubt scores of Victorian lawyers forgot to renew their practising certificates last year.  For months, in some cases, this situation was allowed by the regulators to persist without intervention.  In Victorian Bar Inc v GSL [2006] VCAT 435 the VCAT, constituted by Judge Bowman, Peter Jopling QC, and Ms F […]

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Tags: Legal Profession Uniform Law · Legal Services Commissioner · Practising certificates · Professional fees and disbursements · Professional regulation · Retainers · Uniform Legal Services Council and Commissioner

NSWCA surveys fines in NSW lawyers’ discipline decisions over a decade

November 14th, 2016 · No Comments

Russo v Legal Services Commissioner [2016] NSWCA 306 was the subject of my previous post. The Court engaged in a comparatively sophisticated review of disciplinary outcomes in like cases.  The purposes of this post is to reproduce that review and comment on the variables which ought to be taken into account in any proper survey of past outcomes. To […]

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Tags: appeals · Discipline · Legal Profession Uniform Law · Misconduct · Professional fees and disbursements · Professional regulation · Solicitor client bills of costs · The suit for fees · Trust money · Uniform Legal Services Council and Commissioner

Legal Services Commissioner’s new decision making powers

October 11th, 2016 · No Comments

The Victorian Legal Services Commissioner has published a report on his new proactive regulation of the profession.  It tells how risk profiles of practices are being constructed with the assistance of academics to target trust audits and audits of firms more generally (a new thing for law practices which are not ILPs).  It also tells […]

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Tags: costs disputes · Discipline · Legal Profession Uniform Law · Legal Services Commissioner · National Profession Uniform Law · Professional fees and disbursements · Taxations

Advocates’ immunity: at once more powerful and narrower than most yet understand

June 23rd, 2016 · No Comments

Advocates’ immunity was, until recently, more powerful than many lawyers were aware. Since the 1 July 2015 introduction of the Legal Profession Uniform Law and the High Court’s May 2016 decision in Attwells v Jackson Lallic Lawyers Pty Limited,[1] however, it may be narrower than many realise. And perhaps not everyone is aware that the […]

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Tags: Advocates' Immunity · Barristers' immunity · Civil Procedure Act 2010 (Vic) · Costs Court · Discipline · Insurance · Legal Profession Uniform Law · Legal Services Commissioner · National Profession Uniform Law · negligence as disciplinary breach · Professional fees and disbursements · Taxations · The suit for fees · Wasted costs

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

Continuing professional development obligations: plus ca change…

March 31st, 2016 · No Comments

Today is the end of the CPD year, and the last day of operation of the Victorian Bar’s Continuing Professional Development Rules 2008 in Victoria.  They are hard to find now, but you can access them here.  The Legal Profession Uniform Continuing Professional Development (Barristers) Rules 2015 were made on 26 May 2015 and commenced […]

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Tags: Legal Profession Uniform Law · Practising certificates · Professional regulation

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