Legal Profession Uniform General Rules 2015 (NSW)
These Rules may be cited as the Legal Profession Uniform General Rules 2015.
These Rules come into operation on 1 July 2015.
The objective of these Rules is to set out provisions contemplated by the Uniform Law (other than provisions that are or may be included in the Admission Rules, the Legal Practice Rules, the Legal Profession Conduct Rules or the Continuing Professional Development Rules).
These Rules are made by the Legal Services Council under Part 9.2 of the Uniform Law.
In these Rules—
(a) the Uniform Law, these Rules or the Legal Profession Uniform Law Act of a participating jurisdiction, or
(b) a corresponding law of a non-participating jurisdiction, or
(c) a previous corresponding law of any jurisdiction.
A reference in these Rules to the
A reference in these Rules to the
(a) the relevant designated tribunal specified or described under jurisdictional legislation for that provision, or
(b) a member or officer so specified or described of such a court or tribunal.
For the purposes of the definition of
For the purposes of paragraph (d) of the definition of
For the purposes of paragraph (d) of the definition of
(a) the supervising lawyer—
(i) holds an Australian practising certificate authorising the holder to supervise legal practice by others, or
(ii) is exempt from holding or otherwise not required to hold such an Australian practising certificate by or under the Uniform Law, jurisdictional legislation or legislation of the Commonwealth, and
(b) the supervision is adequate in the circumstances and not less than the supervision that the employee would have received from an authorised principal of the law practice.
Subrule (2) applies in relation to legal work engaged in by an employee of a legal practice during the whole or any part of the period starting on 1 July 2015 and ending immediately before the date of commencement of that subrule, as well as to legal work engaged in on or after that date.
The rules in this Part are made under Part 2.1 of the Uniform Law.
For the purposes of section 12 of the Uniform Law, a person listed in column 3 of an item in the Table below is entitled to take or use the title specified in column 2 of that item in the circumstances specified in column 4 of that item.
Column 1 | Column 2 | Column 3 | Column 4 |
Item | Title | Person | Circumstances |
1 | Legal practitioner | Australian legal practitioner | All circumstances |
2 | Barrister and solicitor, solicitor and barrister, solicitor, attorney, proctor | Australian legal practitioner | When the Australian legal practitioner holds an Australian practising certificate, other than an Australian practising certificate authorising the practitioner to engage in legal practice as or in the manner of a barrister only |
3 | Barrister | Australian legal practitioner | When the Australian legal practitioner holds an Australian practising certificate granted in a fused jurisdiction, or an Australian practising certificate granted in a non-fused jurisdiction that authorises the practitioner to engage in legal practice as or in the manner of a barrister only |
4 | Counsel | Australian legal practitioner | All circumstances |
5 | Senior Counsel or SC | Australian lawyer | When the Australian lawyer currently holds the status of Senior Counsel as recognised by the High Court or a Supreme Court of any jurisdiction |
6 | Queen’s Counsel or QC, King’s Counsel or KC, Her Majesty’s Counsel, His Majesty’s Counsel | Australian lawyer | When the Australian lawyer currently holds the appropriate status, as conferred by the Crown in any capacity or as recognised by the High Court or a Supreme Court of any jurisdiction |
7 | Attorney | Australian-registered foreign lawyer | When entitled to use the name, title or description by or under a law |
8 | Attorney | Patent attorney | When using the expression “patent attorney” |
9 | Attorney | Donee of power of attorney | When indicating that the donee holds or is acting under a power of attorney |
10 | Attorney | Attorney-General of any jurisdiction, the Commonwealth or a foreign country | All circumstances |
11 | Solicitor | Solicitor-General of any jurisdiction, the Commonwealth or a foreign country | All circumstances |
12 | Lawyer | Australian lawyer | All circumstances |
13 | Lawyer | Australian-registered foreign lawyer | All circumstances |
The following persons are declared to be exempt from the operation of section 10(1) of the Uniform Law—
(a) a person carrying out conveyancing work in accordance with a licence in force under relevant jurisdictional legislation,
(b) a land agent performing work in respect of instruments the person is entitled to draw, fill up or prepare and to charge for, under a law of a jurisdiction or of the Commonwealth,
(c) an officer or employee of a government authority drawing instruments in the course of the person’s duty, otherwise than as parliamentary counsel, legislative counsel or legislative drafter (however described),
(d) an officer or employee of a government authority undertaking appearance work in courts or tribunals under the authority of a law of a jurisdiction or of the Commonwealth,
(e) any of the following—
(i) a public trustee (however named) of a jurisdiction,
(ii) a company that performs the functions of a public trustee of a jurisdiction,
(iii) a company performing trustee work on behalf of the government of a jurisdiction or the Commonwealth,
(iv) an officer, employee or member of staff of an entity referred to in subparagraph (i)–(iii),
to the extent that the person is performing work in the course of preparing a will or providing a related service or in the course of carrying out any other work involving or in connection with the administration of trusts, the estates of living or deceased persons or the affairs of living persons,
(f) an industrial organisation providing legal services, but only to the extent that—
(i) the legal services concerned are provided to members of the organisation, and
(ii) the legal services are not provided for fee, gain or reward to the organisation (other than standard membership fees), and
(iii) the legal services are provided by Australian legal practitioners, and
(iv) if any of the legal services are provided by an Australian legal practitioner whose Australian practising certificate is subject to a condition requiring the holder to engage in supervised legal practice only—those legal services are provided under the supervision of an Australian legal practitioner who is authorised to supervise legal practice by others.
In subrule (1)(f),
See the Legal Profession Uniform Admission Rules 2015.
The rules in this Part are made under Part 3.3 of the Uniform Law.
An application by an Australian lawyer for the grant or renewal of an Australian practising certificate—
(a) must state the participating jurisdiction that the applicant reasonably intends will be the applicant’s principal place of legal practice in Australia, and
(b) if an automatic show cause event has occurred at any time in relation to the applicant and section 87 of the Uniform Law requires a statement as part of the application—must include such a statement, and
(c) must address each of the matters referred to in rule 13(1), and
(d) must address any other matter the designated local regulatory authority considers appropriate.
An application under subrule (1) must be accompanied by the fee applicable to the application.
Before determining the application, the designated local regulatory authority may seek further relevant information from the applicant.
For the purposes of section 45 of the Uniform Law, in considering whether an applicant is or is not a fit and proper person to hold an Australian practising certificate, the designated local regulatory authority may have regard to any of the following matters—
(a) whether the applicant is currently of good fame and character,
(b) whether the applicant is, or has been—
(i) an insolvent under administration, or
(ii) a director or principal of an incorporated legal practice while the legal practice is or was insolvent, or
(iii) a director of a company while the company is or was insolvent,
(c) whether the applicant has been convicted or found guilty of an offence in Australia or a foreign country, and if so—
(i) the nature of the offence, and
(ii) how long ago the offence was committed, and
(iii) the applicant’s age when the offence was committed,
(d) whether the applicant has engaged in legal practice in Australia—
(i) when not permitted to do so under a law or previous law of a State or Territory, or
(ii) if admitted, in contravention of a condition to which the admission was subject, or
(iii) if holding an Australian practising certificate, in contravention of a condition to which the certificate was subject or while the certificate was suspended,
(e) whether the applicant has engaged in legal practice in a foreign country—
(i) when not permitted to do so by or under a law of that country, or
(ii) if permitted to do so, in contravention of a condition to which the permission was subject,
(f) whether the applicant—
(i) is currently subject to an unresolved complaint, investigation, charge or order under an Australian law relating to the legal profession or under a corresponding foreign law, or
(ii) has been the subject of disciplinary action, however expressed, under an Australian law relating to the legal profession, or under a corresponding foreign law, that involved a finding adverse to the applicant,
(g) whether the applicant—
(i) is the subject of current disciplinary action, however expressed, in another profession or occupation in Australia or a foreign country, or
(ii) has been the subject of disciplinary action, however expressed, in another profession or occupation in Australia or a foreign country that involved a finding adverse to the applicant,
(h) whether the applicant’s name has been removed from—
(i) a roll of Australian lawyers, however described or expressed, in any jurisdiction, or
(ii) a foreign roll of practitioners,
(i) whether the applicant’s right to engage in legal practice has been suspended or cancelled in Australia or a foreign country,
(j) whether the applicant has contravened, in Australia or a foreign country, a law about trust money or trust accounts,
(k) whether, under an Australian law relating to the legal profession or a law of the Commonwealth, a supervisor, manager or receiver, however described, is, or has been, appointed in relation to any legal practice engaged in by the applicant,
(l) whether the applicant is, or has been, subject to an order under an Australian law relating to the legal profession or a law of the Commonwealth, disqualifying the applicant from—
(i) being employed by, or a partner of, an Australian legal practitioner, or
(ii) managing a corporation,
(m) whether the applicant is currently unable to carry out satisfactorily the inherent requirements of practice as an Australian legal practitioner,
(n) whether the applicant has provided incorrect or misleading information in relation to any application for an Australian practising certificate under an Australian law relating to the legal profession,
(o) whether the applicant has contravened a condition of a previous Australian practising certificate under an Australian law relating to the legal profession,
(p) whether the applicant has contravened an Australian law relating to the legal profession,
(q) whether the applicant has contravened—
(i) an order of a court or tribunal made in any proceedings, or
(ii) (without limitation) an order of a designated local regulatory authority or other person or body under legislation of any jurisdiction so far as the legislation relates to the control or discipline of any Australian lawyers or to the practice of law,
(r) whether the applicant has failed at any time to pay a required contribution or levy to the fidelity fund of a jurisdiction,
(s) whether the applicant has failed to comply with a requirement under an Australian law relating to the legal profession in relation to professional indemnity insurance,
(t) whether the applicant has failed to pay any costs or expenses for which the applicant was liable under an Australian law relating to the legal profession,
(u) any other matter that is related to a matter referred to in another provision of this rule.
In determining whether an applicant has or will have professional indemnity insurance as required by the Uniform Law, the designated local regulatory authority may have regard to—
(a) evidence in the form of written advice from an insurer or other provider or from an insurance broker to the effect that an insurer or other provider has agreed to issue a policy of professional indemnity insurance, or
(b) evidence that the premium for a policy of professional indemnity insurance has been received and accepted by the insurer or other provider for the purposes of the issue of the policy.
Without limiting any other power of the designated local regulatory authority to refuse to grant an Australian practising certificate, the designated local regulatory authority may refuse to grant an Australian practising certificate for a barrister if the applicant has not successfully completed any examination required by the designated local regulatory authority to be passed as a prerequisite to undertaking a reading program referred to in section 50 of the Uniform Law.
For the purposes of section 49(2) of the Uniform Law, completion by a person of a period or periods of supervised legal practice equivalent to the required period of 18 months or 2 years is to be worked out by satisfying the requirements of this rule.
The person satisfies the requirements of this rule if the person completes—
(a) one period of supervised legal practice, worked on a full-time basis, that is equal to the required period worked out on a full-time basis, or
(b) one period of supervised legal practice, worked on a part-time basis, that is equivalent to the required period worked out on a full-time basis, or
(c) two or more periods of supervised legal practice, worked on either or both of those bases, that together are equal or equivalent to the required period.
For the purposes of this rule—
(a) public holidays during a relevant period are to be included as days of supervised legal practice, whether or not the person engaged in legal practice on those days, and
(b) normal periods of leave taken during a relevant period by the person are to be included as periods of supervised legal practice.
This rule specifies offences for the purposes of section 51 of the Uniform Law, as referred to in section 51(1)(a) of that Law. Convictions for these offences are required to be notified to the designated local regulatory authority within 7 days.
Summary offences are prescribed for those purposes, but only in relation to the requirement to notify a conviction.
However, subrule (2) does not apply to the following summary offences arising under transport or traffic legislation—
(a) offences relating to the parking of vehicles, or
(b) offences relating to the driving or operation of vehicles, unless the offence concerned is a notifiable summary offence under subrule (4).
A
(a) an offence where the court has sentenced the offender to a term of imprisonment,
(b) an offence that has a maximum penalty of imprisonment of 6 months or more,
(c) an offence where the court has ordered licence disqualification on conviction,
(d) an offence, involving driving or operating a vehicle under the influence of alcohol or any other drug, under—
(i) the Road Transport Act 2013 of New South Wales, or
(ii) the Road Safety Act 1986 of Victoria (excluding section 49(1)(c), (ca), (d) and (e)).
In this rule,
The terms “serious offence” and “tax offence” are respectively defined in section 6 of the Uniform Law. Charges and convictions for those offences are separately required to be notified under section 51(1)(a) of that Law.
Subrule (4)(d) excludes an offence under section 49(1)(c), (ca), (d) or (e) of the Road Safety Act 1986 of Victoria. Such an offence may nevertheless be a notifiable summary offence if it is covered by subrule (4)(a), (b) or (c).
For the purposes of section 53 of the Uniform Law, the discretionary conditions that the designated local regulatory authority may impose on an Australian practising certificate are any one or more of the following—
(a) a condition—
(i) as to the type of legal practice in which the holder may engage, or
(ii) as to the type of legal practice in which the holder must not engage,
(b) a condition that the holder undertake and complete one or more of the following—
(i) continuing legal education,
(ii) specific legal education or training,
(iii) a specified period of supervised legal practice,
(c) a condition restricting the holder to particular arrangements concerning employment or supervision,
(d) a condition that the holder must not supervise legal practice by others,
(e) a condition requiring the holder to undergo counselling or medical treatment or to act in accordance with medical advice given to the holder,
(f) a condition requiring the holder to use the services of an accountant or other financial specialist in connection with the holder’s legal practice,
(g) a condition requiring the holder to provide the designated local regulatory authority or a specified body with evidence as to—
(i) any outstanding tax obligations of the holder, and
(ii) provision made by the holder to satisfy any such outstanding obligations,
(h) in relation to a holder who is authorised to engage in legal practice only as a barrister, a condition requiring the holder—
(i) not to engage in legal practice otherwise than as a sole practitioner, or
(ii) not to engage in legal practice in partnership with another person, or
(iii) not to engage in legal practice as an employee of another person, or
(iv) not to hold office as a principal or director of an incorporated legal practice or an unincorporated legal practice,
(i) a condition agreed by the holder,
(j) a condition that is related to a matter referred to in another provision of this rule.
An Australian practising certificate is in force—
(a) if granted, from the commencement date specified in it until the end of the following 30 June, or
(b) if renewed, from the date of its renewal until the end of the following 30 June,
unless the certificate is earlier suspended, cancelled or surrendered.
However, if an application for the renewal of an Australian practising certificate has been properly made to the designated local regulatory authority before its expiry but the authority has not determined the application by the following 1 July, the certificate is taken to continue in force on and from that 1 July until whichever of the following first occurs—
(a) the authority renews or refuses to renew the certificate,
(b) the holder withdraws the application for renewal,
unless the certificate is earlier suspended, cancelled or surrendered.
If the certificate is renewed on or after 1 July, the renewal takes effect on the date of its renewal: see subrule (1)(b).
Section 211 of the Uniform Law provides that an Australian legal practitioner must not engage in legal practice in a jurisdiction unless the practitioner holds or is covered by an approved insurance policy for that jurisdiction and the policy covers that legal practice.
This rule applies in relation to an application for the grant or renewal of an Australian practising certificate in a participating jurisdiction if the applicant does not reasonably intend to engage in legal practice in Australia during the currency of the certificate or renewal applied for.
For the purposes of section 44(5) of the Uniform Law, the application may be made in any participating jurisdiction.
This rule applies to a person who intends to practise exclusively outside Australia during the currency of the certificate or renewal applied for.
In the case of a person who practises both within and outside Australia, the application is to be made by reference to the person’s practice in Australia: section 44(4) of the Uniform Law. For this purpose of determining the place where the application is to be made, the person’s overseas practice is to be disregarded (even if it forms the principal portion of the person’s overall practice), so that eligibility is determined by reference to the person’s practice in Australia.
The rules in this Part are made under Part 3.4 of the Uniform Law.
An application by a foreign lawyer for the grant or renewal of an Australian registration certificate under Part 3.4 of the Uniform Law—
(a) must state the jurisdiction that the applicant reasonably intends will be the applicant’s principal place of legal practice in Australia, and
(b) if an automatic show cause event has occurred at any time in relation to the applicant and section 87 of the Uniform Law requires a statement as part of the application—must include such a statement, and
(c) must address each of the matters set out in section 62(3) of the Uniform Law, and
(d) must address any other matter the designated local regulatory authority considers appropriate.
A fee for an application for the grant or renewal of an Australian registration certificate in a participating jurisdiction must not exceed the maximum fee payable by an Australian lawyer for an Australian practising certificate in the participating jurisdiction.
The designated local regulatory authority may require an applicant for the grant or renewal of an Australian registration certificate to provide evidence that verifies the accuracy of the information set out in the application.
The designated local regulatory authority may require an applicant for the grant or renewal of an Australian registration certificate to pay the reasonable costs and expenses incurred by the regulatory authority in making enquiries relating to the applicant’s application.
For the purposes of section 62 of the Uniform Law, the designated local regulatory authority for a jurisdiction may refuse to grant or renew an Australian registration certificate on any of the following grounds—
(a) that the application is not accompanied by, or does not contain, information sufficient to allow the regulatory authority to be satisfied as to the matters referred to in section 62(3) of the Uniform Law,
(b) that the applicant has contravened an Australian law relating to the legal profession,
(c) that the applicant has contravened an order of the designated tribunal or a corresponding disciplinary body, including but not limited to an order to pay any fine or costs,
(d) that the applicant has contravened an order of a local regulatory authority or corresponding authority of any jurisdiction, including but not limited to an order to pay any fine or costs,
(e) that the applicant has failed to comply with a requirement under an Australian law relating to the legal profession to pay a contribution to, or levy for, a fidelity fund,
(f) that the applicant has contravened a requirement of or made under an Australian law relating to the legal profession in relation to professional indemnity insurance,
(g) that the applicant has failed to pay any expenses of receivership payable under an Australian law relating to the legal profession,
(h) that the applicant’s foreign legal practice is in receivership (however described),
(i) that an authority of another jurisdiction has under a corresponding law—
(i) refused to grant or renew registration for the applicant, or
(ii) suspended or cancelled the applicant’s registration.
For the purposes of section 62 of the Uniform Law (and without limiting any other subrule), the designated local regulatory authority may refuse to grant an Australian registration certificate on the ground that the regulatory authority is satisfied that the applicant is not a fit and proper person to be registered after considering—
(a) the nature of any offence of which the applicant has been found guilty in Australia or a foreign country, whether before or after the commencement of this rule, and
(b) how long ago the offence was committed, and
(c) the person’s age when the offence was committed.
For the purposes of section 62 of the Uniform Law (and without limiting any other subrule), the designated local regulatory authority may refuse to renew an Australian registration certificate on the ground that the regulatory authority is satisfied that the applicant is not a fit and proper person to continue to be registered after considering—
(a) the nature of any offence of which the applicant has been found guilty in Australia or a foreign country, whether before or after the commencement of this rule, other than an offence disclosed in a previous application to the designated local regulatory authority, and
(b) how long ago the offence was committed, and
(c) the person’s age when the offence was committed.
For the purposes of section 62 of the Uniform Law (and without limiting any other subrule), the designated local regulatory authority may refuse to renew an Australian registration certificate on any ground on which an Australian registration certificate could be suspended or cancelled.
Section 101 of the Uniform Law provides a right of appeal or review of a decision refusing to grant or renew an Australian registration certificate, and section 464 of the Uniform Law contains (among other matters) provisions requiring notice of the decision to be given.
For the purposes of section 67 of the Uniform Law, the discretionary conditions that the designated local regulatory authority may impose on an Australian registration certificate are any one or more of the following—
(a) a condition—
(i) as to the type of legal practice in which the holder may engage, or
(ii) as to the type of legal practice in which the holder must not engage,
(b) any other condition that may be imposed on an Australian practising certificate under the Uniform Law,
(c) a condition agreed by the holder.
Unless the foreign lawyer agrees, the designated local regulatory authority must not impose a condition that is more onerous than a condition that would be imposed on an Australian practising certificate in the same or similar circumstances.
An Australian registration certificate is in force—
(a) if granted, from the commencement date specified in it until the following 30 June, or
(b) if renewed, from 1 July in the year for which it is renewed until the following 30 June,
unless earlier suspended, cancelled or surrendered.
If the holder of an Australian registration certificate makes an application to the designated local regulatory authority for a new Australian registration certificate before the expiry of the holder’s current Australian registration certificate granted or renewed in a participating jurisdiction, the current certificate continues in force, subject to the Uniform Law, until the earlier of—
(a) the designated local regulatory authority grants, or refuses to grant, a new Australian registration certificate, or
(b) the applicant withdraws the application.
The rules in this Part are made under Part 3.5 of the Uniform Law.
For the purposes of section 88 of the Uniform Law, the maximum period is 42 days.
The maximum period of 42 days is made up of the period of 28 days (specified in section 88(3)) after the automatic show cause event occurred, together with a further period of 14 days by which the designated local regulatory authority may extend the period of 28 days.
For the purposes of section 91 of the Uniform Law, the maximum period is 42 days.
The maximum period of 42 days is made up of the period of 28 days (specified in section 91(2) of the Uniform Law) after the designated show cause event occurred, together with a further period of 14 days by which the designated local regulatory authority may extend the period of 28 days.
The rules in this Part are made under Part 3.7 of the Uniform Law.
For the purposes of section 104(1) of the Uniform Law, the notice of intention to engage in legal practice must be given to the designated local regulatory authority at least 14 days before starting to engage in legal practice.
For the purposes of section 104(3) of the Uniform Law, the notice of cessation of legal practice must be given to the designated local regulatory authority within 14 days after the cessation of legal practice.
For the purposes of section 104(5) of the Uniform Law, a notice under section 104 of that Law—
(a) must comply with the requirements of rule 28 or 29, as the case requires, and
(b) may be given on behalf of a law practice by a principal of the law practice or by a person authorised to do so by a principal of the law practice.
For the purposes of section 107 of the Uniform Law, the disclosure must be made by giving the person notice in writing—
(a) setting out the legal services to be provided, and
(b) stating whether or not all of the services are to be provided by an Australian legal practitioner, and
(c) if some or all of the services are not to be provided by an Australian legal practitioner, identifying those services and indicating the status or qualifications of the person or persons who are to provide the services, and
(d) stating that the Uniform Law and these Rules apply to the provision of legal services but do not apply to the provision of non-legal services.
The directors of an incorporated legal practice do not breach their duties as directors merely because legal services are provided on a pro bono basis by an Australian legal practitioner employed by the incorporated legal practice.
Subrule (1) is declared to be a Corporations legislation displacement provision for the purposes of section 5G of the Corporations Act.
Section 5G of the Corporations Act provides that, if a State or Territory law declares a provision of a State or Territory law to be a Corporations legislation displacement provision, any provision of the Corporations legislation with which the State or Territory provision would otherwise be inconsistent does not apply to the extent necessary to avoid the inconsistency.
The rules in this Part are made under Part 4.2 of the Uniform Law.
In this Part—
A general trust account established in a jurisdiction—
(a) must be established with an authorised ADI, and
(b) must include in its name the name of the law practice or the business name under which the law practice engages in legal practice, and the expression “law practice trust account” or “law practice trust a/c”.
This rule does not apply to a general trust account established in a participating jurisdiction before the commencement day for that jurisdiction, so long as the account name did not breach any requirement of the legislation of that jurisdiction before that day.
A law practice must make out a receipt as soon as practicable—
(a) after trust money is received, or
(b) in the case of trust money received by direct deposit, after the law practice receives or accesses notice or confirmation of the deposit from the ADI concerned.
The receipt must contain the following particulars—
(a) the date the receipt is made out and, if different, the date of receipt of the money,
(b) the number of the receipt,
(c) the amount of money received,
(d) the form in which the money was received,
(e) the name of the person from whom the money was received,
(f) details clearly identifying the name of the client in respect of whom the money was received and the matter description and matter reference,
(g) particulars sufficient to identify the reason for which the money was received,
(h) the name of the law practice or the business name under which the law practice engages in legal practice and the expression “trust account” or “trust a/c”,
(i) the name of the person who made out the receipt.
The receipt must be made out in duplicate unless, when the receipt is made out the particulars referred to in subrule (2) are recorded by a computerised accounting system in the trust account receipts cash book.
The receipt must be given, on request, to the person from whom the trust money was received.
Receipts must be consecutively numbered and issued in consecutive sequence.
If a receipt is cancelled, the original receipt must be kept.
This rule does not apply to controlled money.
If a law practice receives trust money that is required to be paid into a general trust account and the money is not paid into a general trust account by direct deposit, a deposit record must be produced to the ADI at the time the deposit is made.
The following particulars must be recorded on the deposit record—
(a) the date of the deposit,
(b) the amount of the deposit,
(c) whether the deposit consists of cheques or cash (and the amount of each),
(d) for each cheque—
(i) the name of the drawer of the cheque, and
(ii) the name and branch (or BSB number) of the ADI on which the cheque is drawn, and
(iii) the amount of the cheque.
The deposit record must be made out in duplicate.
The duplicate deposit record must be kept for each deposit to the general trust account and must be kept in a deposit book or be otherwise securely filed in the order in which the deposits were made.
This rule applies if a law practice maintains trust records by means of a computerised accounting system.
A law practice must maintain and keep, in printed form or in readable and printable form, the following copies of trust records—
(a) a copy of trust account receipts and payments cash books as at the end of each named month,
(b) a copy of reconciliation statements as at the end of each named month,
(c) a copy of lists of trust account ledgers and their balances as at the end of each named month,
(d) a copy of lists of controlled money accounts and their balances as at the end of each named month.
A law practice must—
(a) print a paper copy of trust ledger accounts, the register of controlled money and the trust account transfer journal before they are deleted from the system, and
(b) on request by an investigator carrying out a function described in section 368 of the Uniform Law, provide to the investigator a printed copy of trust ledger account and controlled money account details.
The copies of trust records as at the end of a named month under subrule (2) must be prepared within 15 working days after the named month.
Except as provided by rule 40, the law practice must ensure that copies of trust records prepared under subrule (2) cannot be modified afterwards.
This rule applies if a law practice maintains trust records by means of a computerised accounting system.
A law practice must maintain and keep a record, compiled in chronological sequence, of the creation, amendment or deletion of information in its computerised accounting system in relation to each of the following—
(a) client name,
(b) client address,
(c) matter reference,
(d) matter description,
(e) ledger account number or other descriptor.
This rule applies if a law practice maintains trust records by means of a computerised accounting system.
A law practice must ensure that—
(a) its computerised accounting system is not capable of accepting, in respect of a trust ledger account, the entry of a transaction resulting in a debit balance to the account, unless a contemporaneous record of the transaction is made in a manner that enables the production in a permanent form, on demand, of a separate chronological report of all occurrences of that kind, and
(b) the system is not capable of deleting a trust ledger unless—
(i) the balance of the account is zero and all outstanding cheques have been presented, and
(ii) when the account is deleted, a copy of the account is kept in a permanent form, and
(c) any entry in a record produced in a permanent form appears in chronological sequence, and
(d) each page of each printed or printable record is numbered sequentially or is printed or printable in such a way that no page can be extracted, and
(e) its computerised accounting system is not capable of amending the particulars of a transaction already recorded otherwise than by a transaction separately recorded that makes the amendment, and
(f) its computerised accounting system requires input in every field of a data entry screen intended to receive information required by these Rules to be included in trust records.
This rule applies if a law practice maintains trust records by means of a computerised accounting system.
For the purposes of section 147 of the Uniform Law, a law practice must ensure that—
(a) a back-up copy of all records required under the Uniform Law and these Rules is made at least once each month, and
(b) each back-up copy is kept by the law practice, and
(c) a complete set of back-up copies is kept in a separate location so that any incident that may adversely affect the records would not also affect the back-up copy.
This rule prescribes, for the purposes of Division 2 of Part 4.2 of the Uniform Law (see section 144(2)(b) of that Law), the procedure for the withdrawal of trust money held in a general trust account or controlled money account of a law practice for payment of legal costs owing to the law practice by the person for whom the trust money was paid into the account.
The trust money may be withdrawn in accordance with the procedure set out in any applicable subrule of this rule.
The law practice may withdraw the trust money if the law practice has given the person a bill relating to the money and referring to the proposed withdrawal, and—
(a) if the person does not, at the end of the period of 7 business days after the person was given the bill, object to the amount specified in the bill, or
(b) if the person objects to the amount specified in the bill within the period of 7 business days after being given the bill but has not referred the matter to the designated local regulatory authority or for costs assessment, and the period of 30 days after the later of the following dates has expired—
(i) the date on which the person was given the bill,
(ii) the date on which the person received an itemised bill following a request made in accordance with section 187 of the Uniform Law, or
(c) if the money otherwise becomes legally payable.
The law practice may withdraw the trust money (whether or not the law practice has given the person a bill relating to the money)—
(a) if the money is withdrawn in accordance with instructions that have been received by the law practice and that authorise the withdrawal, and
(b) if, before effecting the withdrawal, the law practice gives or sends to the person—
(i) a request for payment, referring to the proposed withdrawal, or
(ii) a written notice of withdrawal.
See also subrule (7), which relates to subrule (4).
The law practice may withdraw the trust money—
(a) if the money is owed to the law practice by way of reimbursement of money already paid by the law practice on behalf of the person, and
(b) if, before effecting the withdrawal, the law practice gives or sends to the person—
(i) a request for payment, referring to the proposed withdrawal, or
(ii) a written notice of withdrawal.
See also subrule (8), which relates to subrule (5).
If the law practice has given the person who is a commercial or government client a bill specifying the amount payable by the person for legal costs, the law practice may withdraw the money so long as—
(a) the money is withdrawn in accordance with a costs agreement between the law practice and the person, and
(b) the costs agreement complies with the legislation under which it is made and authorises the withdrawal, and
(c) before effecting the withdrawal, the law practice gives or sends to the person a request for payment, referring to the proposed withdrawal.
In relation to subrule (4)—
(a) if the authorisation referred to in subrule (4)(a) authorises withdrawal of part only of the money—
(i) the law practice may withdraw the money to that extent only, and
(ii) if the law practice has given the person a bill relating to the money as referred to in subrule (3)(a)—subrule (3)(b)(i) and (ii) are taken to apply to the remaining part of the amount specified in the bill, and
(b) instructions referred to in subrule (4)—
(i) if given in writing, must be kept as a permanent record, or
(ii) if not given in writing, must be confirmed in writing either before, or not later than 5 working days after, the law practice effects the withdrawal and a copy must be kept as a permanent record.
For the purposes of subrule (5), money is taken to have been paid by the law practice on behalf of the person when the relevant account of the law practice has been debited.
Rule 73 provides for the giving of bills.
If a withdrawal of trust money from a general trust account of a law practice is made by cheque, the cheque—
(a) must be made payable to or to the order of a specified person or persons and must not be made payable to bearer or to cash, and
(b) must be crossed “not negotiable” and
(c) must include—
(i) the name of the law practice or the business name under which the law practice engages in legal practice, and
(ii) the expression “law practice trust account” or “law practice trust a/c”.
A cheque must be signed by, or an electronic funds transfer must be effected under, the direction or authority of—
(a) an authorised principal of the law practice, or
(b) if such a principal is not available—
(i) an authorised legal practitioner associate, or
(ii) an authorised Australian legal practitioner who holds an Australian practising certificate authorising the receipt of trust money, or
(iii) two or more authorised associates jointly.
A written record of the required particulars—
(a) must be kept of each payment made by cheque or electronic funds transfer, unless those particulars are recorded by a computerised accounting system in the trust account payments cash book at the time the cheque is issued or the transfer is effected, and
(b) must be kept in a way that is sufficient to enable the accuracy of the particulars recorded by the computerised accounting system to be verified.
For the purposes of subrule (3), the
(a) the date and number of the cheque or electronic funds transfer,
(b) the amount ordered to be paid by the cheque or electronic funds transfer,
(c) in the case of a cheque, the name of the person to whom the payment is to be made or, if the cheque is made payable to an ADI, the name or BSB number of the ADI and the name of the person receiving the benefit of the payment,
(d) in the case of an electronic funds transfer, the name and number of the account to which the amount was transferred and relevant BSB number,
(e) details clearly identifying the name of the person on whose behalf the payment was made and the matter reference, or in the case of a payment to an ADI, the name or BSB number of the ADI and the name of the person receiving the benefit of the payment,
(f) details clearly identifying the ledger account to be debited,
(g) particulars sufficient to identify the reason for the payment.
Written records relating to payments by cheque or electronic funds transfer (including cheque or transfer requisitions) must be kept in the order in which the cheques or transfers were issued or effected.
A law practice that maintains a general trust account must keep a trust account receipts cash book in which the following particulars must be recorded in respect of each receipt of trust money—
(a) the date a receipt was made out for the money and, if different, the date of receipt of the money,
(b) the receipt number,
(c) the amount of money received,
(d) the form in which the money was received,
(e) the name of the person from whom the money was received,
(f) details clearly identifying the name of the client in respect of whom the money was received and the matter description and matter reference,
(g) particulars sufficient to identify the reason for which the money was received,
(h) details clearly identifying the ledger account to be credited.
The date and amount of each deposit in the general trust account must be recorded in the trust account receipts cash book.
The particulars in respect of receipts must be recorded in the order in which the receipts are made out and must be recorded within 5 working days of the receipt being made out.
A law practice that maintains a general trust account must keep a trust account payments cash book in which the following particulars are recorded in respect of each payment of trust money—
(a) the date and number of the cheque or electronic funds transfer,
(b) the amount ordered to be paid by the cheque or the amount transferred,
(c) in the case of a cheque, the name of the person to whom the payment is to be made or, if the cheque is made payable to an ADI, the name or BSB number of the ADI and the name of the person receiving the benefit of the payment,
(d) in the case of an electronic funds transfer—
(i) the name and number of the account to which the amount was transferred and the relevant BSB number, and
(ii) the name of the person to whom the payment was made or, in the case of a payment to an ADI, the name or BSB number of the ADI and the name of the person receiving the benefit of the payment,
(e) details clearly identifying the name of the person on whose behalf the payment was made, the matter description and the appropriate ledger reference,
(f) particulars sufficient to identify the reason for payment.
The particulars in respect of payments must be recorded—
(a) in the order in which the payments are made, and
(b) within 5 working days of the day the payment was made.
Trust money may be transferred by journal entry from one trust ledger account in a law practice’s trust ledger to another trust ledger account in the trust ledger, but only if the law practice is entitled to withdraw the money and pay it to the other trust ledger account and—
(a) the transfer is authorised in writing by an authorised principal of the law practice or if such a principal is not available—
(i) an authorised legal practitioner associate of the law practice, or
(ii) an authorised Australian legal practitioner who holds an Australian practising certificate authorising the receipt of trust money, or
(iii) two or more authorised associates jointly, or
(b) the transfer is authorised in writing by an external intervener for the law practice.
A law practice must keep a trust account transfer journal if it transfers trust money by journal entry.
The following particulars must be recorded in the trust account transfer journal in respect of each transfer of trust money by journal entry—
(a) the date of the transfer,
(b) the trust ledger account from which the money is transferred (including the appropriate ledger reference, the name of the person on whose behalf the transfer was made and the matter description),
(c) the trust ledger account to which the money is transferred (including the appropriate ledger reference, the name of the person on whose behalf the transfer was made and the matter description),
(d) the amount transferred,
(e) particulars sufficient to identify the reason for the transfer.
Journal pages or entries must be consecutively numbered.
A law practice must keep particulars of the authorisation for each transfer of trust money by journal entry, whether in the trust account transfer journal or in some other way.
A law practice that maintains a general trust account must keep a trust account ledger containing separate trust ledger accounts in relation to each person in each matter for which trust money has been received by the practice.
The following particulars must be recorded, and kept up to date, in the title of a trust ledger account—
(a) the name of the person for or on behalf of whom the trust money was paid,
(b) the person’s address,
(c) particulars sufficient to identify the matter in relation to which the trust money was received.
The following particulars must be recorded for each transaction in the trust ledger account—
(a) the date of the transaction,
(b) the appropriate reference number and transaction type,
(c) particulars sufficient to identify the reason for the transaction,
(d) the amount of money in the transaction,
(e) if the transaction type is—
(i) a receipt—the provider of the amount and the date the amount was received if that date is different from the date of receipt,
(ii) a payment by cheque—the payee or, in the case of a cheque made payable to an ADI, the name or BSB number of the ADI and the name of the person receiving the benefit of the payment,
(iii) a payment by electronic funds transfer—the account name and number and the relevant BSB number of the ADI and the name of the person receiving the benefit of the payment,
(iv) a journal entry—the appropriate ledger reference, the name of the person on whose behalf the transfer was made and the matter description.
Transactions relating to trust money must be recorded in the trust ledger account—
(a) in the order in which the transactions occur, and
(b) within 5 working days of the day the receipt was made out, the payment was made or the transfer was effected, as the case requires.
The trust ledger account balance is to be recorded in the trust ledger account after each receipt, payment or transfer of trust money.
A law practice that maintains one or more general trust accounts must reconcile the trust records relating to each account.
The trust records relating to a general trust account are to be reconciled as at the end of each named month by preparing—
(a) a statement—
(i) reconciling the general trust account balance as shown in ADI records with the balance of the practice’s trust account cash books, and
(ii) showing the date the statement was prepared, and
(b) a statement—
(i) reconciling the balance of the trust ledger accounts with the balance of the practice’s trust account cash books, and
(ii) containing a list of the practice’s trust ledger accounts showing the name, identifying reference and balance of each and a short description of the matter to which each relates, and
(iii) showing the date the statement was prepared.
The statements must be prepared within 15 working days after the end of the month concerned.
The statements must be kept by the law practice.
A law practice must not maintain a trust ledger account in the name of the practice or a legal practitioner associate of the practice except as authorised by this rule.
A law practice may maintain in its trust ledger—
(a) a trust ledger account in the practice’s name, but only for the purpose of aggregating in the account, by transfer from other accounts in the trust ledger, money properly due to the practice for legal costs, and
(b) a trust ledger account in a legal practitioner associate’s name, but only in respect of money in which the associate has a personal and beneficial interest as a vendor, purchaser, lessor or lessee or in another similar capacity.
In a case to which subrule (2)(a) applies, the law practice must ensure that the money in the trust ledger account is withdrawn from the general trust account not later than one month after the day on which the money was transferred to the trust ledger account.
In a case to which subrule (2)(b) applies, the law practice must ensure that the money in the trust ledger account is withdrawn from the general trust account at the conclusion of the matter to which the money relates.
Within 14 days after establishing a general trust account, a law practice must give the designated local regulatory authority written notice of that fact.
During July in each year, a law practice must give the designated local regulatory authority written notice of the associates and Australian legal practitioners (including their names and addresses) who are authorised, as at 1 July in that year—
(a) to sign cheques drawn on a general trust account of the practice, or
(b) otherwise to effect, direct or give authority for the withdrawal of money from a general trust account of the practice,
except to the extent that this information has already been provided (or that the law practice reasonably expects to be included) in an external examiner’s report under section 159 of the Uniform Law.
Within 14 days after the closure of a general trust account maintained by it, a law practice must give the designated local regulatory authority written notice of that fact.
A notice under this rule given by a law practice must include particulars sufficient to identify the general trust accounts of the practice.
In this rule,
A law practice that ceases to hold trust money because it ceases to exist as a law practice, to engage in legal practice or to practise in such a way as to receive trust money must, within 14 days of so ceasing to hold trust money, give the designated local regulatory authority—
(a) written notice of such of those facts as are applicable and the dates of their occurrence, and
(b) particulars sufficient to identify the law practice’s general trust accounts.
In this rule,
A law practice must give a trust account statement to each person for whom or on whose behalf trust money (other than transit money and written direction money) is held or controlled by the law practice or an associate of the practice.
Where relevant, the law practice must give the person a separate statement for—
(a) each trust ledger account, and
(b) each record of controlled money movements, and
(c) each record of dealings with the money that is the subject of a power to which the law practice or an associate of the law practice is a party.
A trust account statement is to contain particulars of—
(a) all the information required to be kept under the Uniform Law or these Rules in relation to the trust money included in the relevant ledger account or record, and
(b) the remaining balance (if any) of the money.
A trust account statement is to be given—
(a) as soon as practicable after completion of the matter to which the ledger account or record relates, and
(b) as soon as practicable after the person for whom or on whose behalf the money is held or controlled makes a reasonable request for the statement during the course of the matter, and
(c) except as provided by subrule (5) or (6), as soon as practicable after 30 June in each year.
The law practice is not required to give a trust account statement under subrule (4)(c) in respect of a ledger account or record if at 30 June the balance of the ledger account or record is zero and—
(a) no transaction affecting the ledger account or record has taken place within the previous 12 months, or
(b) a trust account statement has been furnished within the previous 12 months and no transaction affecting the ledger account or record has taken place since the last statement was furnished.
Without limiting subrule (5), the law practice is not required to give a trust account statement under subrule (4)(c) in respect of a ledger account or record kept in a jurisdiction if at 30 June immediately before the commencement day for that jurisdiction—
(a) the ledger account or record has been open for less than 6 months, or
(b) a trust account statement has been furnished within the previous 12 months and there has been no subsequent transaction affecting the ledger account or record,
but this subrule expires immediately before the first anniversary of that commencement day.
The law practice must keep a copy of a trust account statement given under this rule.
Rule 52 does not apply to a commercial or government client to the extent to which the client directs the law practice not to provide trust account statements under that rule.
If the commercial or government client directs the law practice to provide trust account statements on a basis different from that prescribed by rule 52, the law practice must provide those statements as directed, except to the extent to which the direction is unreasonably onerous.
The law practice must keep a copy of a trust account statement given under this rule.
The designated local regulatory authority may, by written notice, require a law practice to give the regulatory authority a statement within a specified period—
(a) specifying whether or not the practice has, during a period specified by the regulatory authority, received or held trust money, and
(b) if it has received or held trust money during that period, specifying to which of the following categories the trust money belongs—
(i) general trust money,
(ii) controlled money,
(iii) transit money,
(iv) money subject to a power,
(v) money of the kind referred to in section 129(2)(d)(i) and (ii) of the Uniform Law,
(vi) written direction money.
A notice may be given so as to apply in respect of one or more periods (whether they occur annually or otherwise) and may be withdrawn or varied by a further notice.
This rule has effect for the purposes of section 141 of the Uniform Law.
If a law practice or an associate of the practice is given a power to deal with trust money for or on behalf of another person, the law practice must keep—
(a) a record of all dealings with the money to which the law practice or associate is a party, and
(b) all supporting information in relation to the dealings,
in a manner that enables the dealings to be clearly understood.
The record, supporting information and power must be kept by the law practice as part of the practice’s trust records.
This rule applies to an incorporated legal practice that does not, during a particular period (referred to in this rule as
For the purposes of section 150(b) of the Uniform Law, the incorporated legal practice is authorised to receive trust money during that period—
(a) if a person—
(i) holds an appointment under section 106(5) of the Uniform Law that is operative during that period in relation to the practice, and
(ii) holds an Australian practising certificate authorising the receipt of trust money, or
(b) if—
(i) an Australian legal practitioner employed by the practice during that period holds an Australian practising certificate authorising the receipt of trust money, and
(ii) the practice is not, during that period, in default of requirements under section 106 of that Law regarding authorised principals,
so long as there was, immediately before the start of that period, at least one principal of the practice who held an Australian practising certificate authorising the receipt of trust money.
For the purposes of section 151 of the Uniform Law, a law practice must notify the designated local regulatory authority of the following details of each account that is maintained at an ADI in which the law practice or any legal practitioner associate of the law practice holds money entrusted to the law practice or legal practitioner associate—
(a) the name of the ADI, together with its BSB number,
(b) the name of the account, together with its account number,
(c) the name of each person who is authorised to operate on the account,
(d) for each amount of money so entrusted—
(i) the name of the person for whom the money is entrusted,
(ii) the reason for which the money is entrusted,
(iii) the date on which the money is deposited in the account, together with the manner in which it is deposited,
(iv) the date on which the money is withdrawn from the account, together with the manner in which it is withdrawn,
(e) the date on which the account was opened.
For the purposes of section 153 of the Uniform Law, the Legal Services Council may enter into arrangements (
(a) determining the jurisdiction where a law practice receives trust money,
(b) sharing information about whether, and (if so) how, trust money is being dealt with under the Uniform Law or a corresponding law.
For the purposes of these Rules, to the extent that the protocols are relevant, the jurisdiction where a law practice receives trust money must be determined in accordance with the protocols.
The Legal Services Council may enter into arrangements that amend, revoke or replace a protocol.
If a law practice invests trust money for or on behalf of a client, the law practice must maintain a register of investments of trust money that records the following information in relation to each investment—
(a) the name in which the investment is held,
(b) the name of the person on whose behalf the investment is made,
(c) the person’s address,
(d) particulars sufficient to identify the investment,
(e) the amount invested,
(f) the date the investment was made,
(g) particulars sufficient to identify the source of the investment,
(h) details of any documents evidencing the investment,
(i) details of any interest received from the investment or credited directly to the investment,
(j) details of the repayment of the investment and any interest, on maturity or otherwise.
This rule does not require particulars to be recorded in the register if the particulars are required to be recorded elsewhere by another rule.
A law practice must maintain a register of powers and estates in respect of which the law practice or an associate of the practice is acting or entitled to act, alone or jointly with the law practice or one or more associates of the practice, in relation to trust money.
Subrule (1) does not apply where the law practice or associate is also required to act jointly with one or more persons who are not associates of the law practice.
The register of powers and estates must record the following—
(a) particulars sufficient to identify each power in respect of which the law practice or an associate of the law practice is acting or entitled to act (alone or jointly with the law practice or one or more associates of the law practice), including the name and address of the donor and date of each power,
(b) particulars sufficient to identify each estate in respect of which the law practice or an associate of the law practice is acting or entitled to act (alone or jointly with the law practice or one or more associates of the law practice), including the name and date of death of the deceased in respect of each estate of which the law practice or associate is executor or administrator.
A controlled money account must be maintained under an account name that includes the following particulars—
(a) the name of the law practice concerned,
(b) the expression “controlled money account” or the abbreviation “CMA” or “CMA/c”,
(c) particulars that are sufficient to identify the purpose of the account and to distinguish the account from any other account maintained by the law practice.
If a law practice receives controlled money, it must operate a single controlled money receipt system for the receipt of controlled money for all its controlled money accounts.
A law practice must make out a receipt as soon as possible after receiving controlled money or, in relation to a direct deposit, after receiving notice or confirmation of the deposit from the relevant ADI.
On request from the person from whom controlled money is received, the law practice must give that person a copy of the receipt.
The receipt must be made out in duplicate, unless at the time the receipt is made out those particulars are recorded by a computerised accounting system in the register of controlled money, and must contain the following particulars—
(a) the date the receipt is made out and, if different, the date of receipt of the money,
(b) the amount of money received,
(c) the form in which the money was received,
(d) the name of the person from whom the money was received,
(e) details clearly identifying the name of the person on whose behalf the money was received and the matter description and matter reference,
(f) particulars sufficient to identify the reason for which the money was received,
(g) the name of, and other details clearly identifying, the controlled money account to be credited, unless the account has not been established by the time the receipt is made out,
(h) the name of the law practice, or the business name under which the law practice engages in legal practice, and the expression “controlled money receipt”,
(i) the name of the person who made out the receipt,
(j) the number of the receipt.
If the controlled money account to be credited has not been established by the time the receipt is made out, the name of, and other details clearly identifying, the account when established must be included on the duplicate receipt (if any).
Receipts must be consecutively numbered and issued in consecutive sequence.
If a receipt is cancelled or not delivered, the original receipt must be kept.
A receipt is not required to be made out for any interest or other income received from the investment of controlled money and credited directly to a controlled money account.
Despite any directions to the contrary, a law practice must not withdraw controlled money from a controlled money account otherwise than by cheque or electronic funds transfer.
A withdrawal of money from a controlled money account of a law practice must be effected by, under the direction of or with the authority of—
(a) an authorised principal of the law practice, or
(b) if such a principal is not available—
(i) a legal practitioner associate authorised by the law practice to effect, direct or give authority for this purpose, or
(ii) when an authorised practitioner referred to in subparagraph (i) is not available—an Australian legal practitioner who holds an Australian practising certificate authorising the receipt of trust money and who is authorised by the law practice to effect, direct or give authority for this purpose, or
(iii) when the authorised practitioners referred to in subparagraph (i) or (ii) are both not available—two or more associates of the law practice jointly who are authorised by the law practice to effect, direct or give authority for this purpose.
A written record of the required particulars must be kept of each withdrawal.
If, at the time the withdrawal is made, the required particulars are recorded by a computerised accounting system, a written record must be kept that is sufficient to enable the accuracy of the particulars recorded by the computerised accounting system to be verified.
For the purposes of this rule, the
(a) the date and number of the transaction,
(b) the amount withdrawn,
(c) in the case of a withdrawal by cheque, the name of the person to whom payment is to be made or, if the cheque is made payable to an ADI, the name or BSB number of the ADI and the name of the person receiving the benefit of the payment,
(d) in the case of a withdrawal by electronic funds transfer, the name and number of the account to which the amount was transferred and the relevant BSB number,
(e) details clearly identifying the name of the person on whose behalf the payment was made and the matter reference,
(f) particulars sufficient to identify the reason for which the payment was made,
(g) the person or persons effecting, directing or authorising the withdrawal.
The particulars are to be recorded in the order in which the withdrawals are made and are to be recorded separately for each controlled money account.
If a law practice receives controlled money, it must maintain a register of controlled money for the records of controlled money movements for all its controlled money accounts.
A separate record of controlled money movements must be maintained for each controlled money account.
A record of controlled money movements for a controlled money account must record the following information—
(a) the name of the person on whose behalf the controlled money is held,
(b) the person’s address,
(c) particulars sufficient to identify the matter,
(d) any changes to the information referred to in paragraphs (a)–(c).
The following particulars must be recorded in a record of controlled money movements for a controlled money account—
(a) the date the controlled money was received,
(b) the number of the receipt,
(c) the date the money was deposited in the controlled money account,
(d) the name of and other details clearly identifying the controlled money account,
(e) the amount of controlled money deposited,
(f) details of the deposit sufficient to identify the deposit,
(g) interest received,
(h) details of any payments from the controlled money account, including the particulars required to be recorded under rule 63(5).
Subject to subrule (6), particulars of receipts and payments must be entered in the register as soon as practicable after the controlled money is received by the law practice or any payment is made.
Interest and other income received in respect of controlled money must be entered in the register as soon as practicable after the law practice is notified of its receipt.
The law practice must keep as part of its trust records all supporting information (including ADI statements and notifications of interest received) relating to controlled money.
Within 15 working days after each named month, the law practice must prepare and keep in permanent form a statement as at the end of the named month—
(a) containing a list of the practice’s controlled money accounts showing—
(i) the name, number and balance of each account in the register, and
(ii) the name of the person on whose behalf the controlled money in each account was held, and
(iii) a short description of the matter to which each account relates, and
(b) showing the date the statement was prepared.
The statement required to be prepared each month under subrule (8) must be reviewed by a principal of the law practice who is authorised to receive trust money and that review must be evidenced on the statement.
This rule designates the classes of persons who may be appointed as external examiners under Part 4.2 of the Uniform Law.
The following classes of persons are designated for the purposes of section 156 of the Uniform Law—
(a) members of CPA Australia holding a current Public Practice Certificate issued by that body,
(b) members of Chartered Accountants Australia and New Zealand holding a current Certificate of Public Practice issued by that body,
(c) members of the Institute of Public Accountants holding a current Professional Practice Certificate issued by that body,
(d) persons registered as auditors under Part 9.2 of the Corporations Act,
(e) employees or agents of the designated local regulatory authority,
being in each case persons who have also successfully completed a course of education approved by the Legal Services Council from time to time after consultation with the relevant designated local regulatory authority.
The classes of persons set out in subrule (2) do not include any person who is disqualified under rule 65A in this jurisdiction or an equivalent provision applying in another jurisdiction.
A reference in subrule (2)(a)–(c) to—
(a) a particular body includes a reference to the body with a changed name or to a successor body, and
(b) a particular certificate includes a reference to a certificate (however described) that is issued by the body concerned and certifies the professional competency of the holder.
(Repealed)
The designated local regulatory authority may disqualify a person specified in rule 65(2)(a)–(e) as a person who may be appointed as an external examiner under Part 4.2 of the Uniform Law.
Without limiting the grounds on which the designated local regulatory authority may disqualify a person under this rule, the authority may disqualify the person on any of the following grounds—
(a) that the person has failed to adequately and properly perform the duties of an external examiner,
(b) that, having regard to the circumstances, the person is not a competent or suitable person to discharge the duties of an external examiner.
It is sufficient to meet the ground specified in subrule (2)(a) if the person, in the capacity of an external examiner—
(a) fails to report to the designated local regulatory authority a pattern or suspected pattern of non-compliance with section 147(2) of the Uniform Law, repeated or suspected repeated non-compliance by a law practice with obligations under section 147(3) and (4) of the Uniform Law or any other matter required to be reported under section 154 of the Uniform Law, or
(b) fails to report to the designated local regulatory authority a breach of section 148 of the Uniform Law.
It is sufficient to meet the ground specified in subrule (2)(b) if the person—
(a) does not have full mental or legal capacity, or
(b) has been found guilty of, or is being proceeded against, for an offence, or
(c) has been the subject of an adverse finding relating to the person’s professional conduct or is subject to disciplinary or other civil proceedings relating to the person’s professional conduct, or
(d) has ceased to be qualified for appointment as an external examiner.
Nothing in subrule (3) or (4) limits the operation of subrule (2).
If the designated local regulatory authority proposes to disqualify a person under this rule, the authority must give written notice to the person of the proposed disqualification and invite the person to make submissions as to why the person should not be disqualified.
The written notice is to specify the reasons for the proposed disqualification and set out the period within which any submissions are to be made.
(c) investment purposes, whether on its own account or as an agent, unless—
(i) the money or property was entrusted to or held by the law practice in the ordinary course of legal practice and primarily in connection with the provision of legal services to or at the direction of the client, and
(ii) the investment is or is to be made in the ordinary course of legal practice and for the ancillary purpose of maintaining or enhancing the value of the money or property pending completion of the matter or further stages of the matter or pending payment or delivery of the money or property to or at the direction of the client, or
(d) a managed investment scheme, or mortgage financing, undertaken by the law practice.
For the purposes of section 234 of the Uniform Law, a claim against a fidelity fund is to be given to a fidelity authority in a form approved by the fidelity authority.
Where necessary, a fidelity authority must give a claim received by it to the fidelity authority of the relevant jurisdiction.
A claim against a fidelity fund may be withdrawn, in writing, by the claimant at any time.
The fidelity authority may require a claimant to do either or both of the following—
(a) give further information about the claim or any dispute to which the claim relates,
(b) verify the claim or any further information by statutory declaration.
Without limiting subrule (1), the fidelity authority may at any time require a claimant to produce or deliver any security, document or statement of evidence necessary or available—
(a) to support a claim, or
(b) to enable the fidelity authority to exercise its rights against any law practice, associate or other person concerned, or
(c) to enable proceedings to be commenced against a person who committed a default.
The fidelity authority may disallow a claim if a requirement under subrule (2) is not complied with.
In this rule,
(a) in relation to a law practice—
(i) a change in the directorship, membership or staffing of the law practice, or
(ii) the dissolution or winding up of the law practice, or
(b) in relation to an associate who is or was an Australian legal practitioner, the fact that the associate has ceased to practise or to hold an Australian practising certificate or has died.
A claim about a default of a law practice may be made despite a change in status of the law practice or the associate concerned after the occurrence of the default.
A claim about a default of a law practice is not affected by a change in status of the law practice or the associate concerned.
A notice under section 235 of the Uniform Law must be published—
(a) in a newspaper circulating generally throughout Australia, and
(b) in a newspaper circulating generally in each jurisdiction in which the law practice has, or at any relevant time had, an office, and
(c) if the fidelity authority has a website, on that website.
Apart from extending the period during which claims can be made, publication of a notice under this rule does not confer any entitlement in relation to a claim or the default to which it relates or provide any grounds affecting the determination of a claim.
This clause applies to a claim against a fidelity fund made on or after the commencement of the clause.
For the purposes of section 243 of the Uniform Law, the rate of interest is the rate that is equal to the Cash Rate Target as at the relevant date, increased by 1 percentage point.
In this rule—
If the fidelity authority considers that a claim is not likely to be determined within 12 months after the claim was made, the fidelity authority must notify the claimant in writing to that effect and provide a brief statement of the reasons for the delay.
If a fidelity authority is acting as agent of another fidelity authority in relation to a claim—
(a) the fidelity authority acting as agent may make recommendations about the decision that the other authority might make about the claim, and
(b) the fidelity authority acting as agent cannot make a decision about the claim, and
(c) the other fidelity authority—
(i) may make a decision about the claim in conformity with the recommendations, whether with or without further consideration, investigation or inquiry, or
(ii) may disregard the recommendations.
Section 252 of the Uniform Law provides that the fidelity authority of a participating jurisdiction may act as agent of another fidelity authority.
This rule specifies, for the purposes of section 258 of the Uniform Law, who is to be a
In section 6(1) of the Uniform Law, paragraph (b) of the definition of
This rule applies to a law practice that is—
(a) a sole practitioner, or
(b) a law firm, or
(c) a community legal service that is not a company, or
(d) an incorporated legal practice that is not a company, or
(e) an unincorporated legal practice.
If the law practice is a body corporate, another body corporate is a
If the law practice is not a body corporate, a body corporate is a
(a) the law practice controls the composition of the board of the body corporate or holding company, or
(b) the law practice is in a position to cast, or control the casting of, more than one-half of the maximum number of votes that might be cast at a general meeting of the body corporate or holding company, or
(c) the law practice holds more than one-half of the issued share capital of the body corporate or holding company (excluding any part of that issued share capital that carries no right to participate beyond a specified amount in a distribution of either profits or capital), or
(d) if there is a committee of, or other body having management of, the law practice, the body corporate or holding company controls the composition of that committee or other body, or
(e) if the law practice has meetings at which persons constituting the law practice vote on matters concerning the management of the law practice, the body corporate or holding company is in a position to cast, or control the casting of, more than one-half of the maximum number of votes that might be cast at such a meeting.
In this rule—
For the purposes of section 258(3) of the Uniform Law, a law practice is permitted to provide legal services in relation to a managed investment scheme, despite an associate of the law practice having an interest in the scheme or the responsible entity for the scheme, if the provision of the services by the law practice does not give rise to a conflict between—
(a) the duty to serve the best interests of a client, and
(b) the interests of the associate of the law practice.
See also rule 91BA in relation to litigation funding schemes.
A litigation funding scheme is specified as a kind of scheme for the purposes of section 258(1A)(c) of the Uniform Law.
For the purposes of section 258(3) of the Uniform Law, a law practice is permitted to provide legal services in relation to a managed investment scheme, despite an associate of the law practice having an interest in the scheme or the responsible entity for the scheme, if the scheme is a litigation funding scheme.
In this rule,
This rule applies to a litigation funding scheme entered into on or after 22 August 2020 and before 10 December 2022.
For the purposes of section 258(4)(c), a mortgage is exempt from the prohibition in section 258(4) if—
(a) the lender is not a financial institution, and
(b) neither the law practice, nor any associate, agent or appointee of the law practice, introduced the borrower to the lender.
For the purposes of section 258(4)(c), a mortgage is exempt from the prohibition in section 258(4) if—
(a) the lender is not a financial institution, and
(b) the borrower was introduced to the lender by—
(i) the law practice, or
(ii) an associate, agent or appointee of the law practice, and
(c) that introduction occurred other than as part of mortgage financing engaged in by the practice or person who made the introduction.
For the purposes of paragraph (b) of the definition of
(a) a body that is a professional investor within the meaning of the Corporations Act,
(b) a body that holds an Australian credit licence within the meaning of the National Consumer Credit Protection Act 2009 of the Commonwealth,
(c) a body—
(i) whose ordinary business includes the lending of money, and
(ii) whose consolidated gross assets have a value of more than $10 million,
(d) a related body corporate, within the meaning of section 50 of the Corporations Act, to a body of a class specified in any other paragraph of this rule.
A law practice must open a file in respect of each matter for which the law practice receives instructions to provide legal services to a person.
The file must be opened as soon as practicable after the law practice receives the instructions.
The file must contain or have endorsed on it—
(a) the particulars required by rule 93(2)(a)–(d), and
(b) the contact details used by the law practice to contact the person to whom it is providing the legal services.
Subrules (1)–(3) do not apply to a barrister.
The rules in this Division are made under Part 4.6 of the Uniform Law.
A law practice must maintain a register of files opened.
The register of files opened must, in respect of each matter for which the law practice receives instructions to provide legal services to a person, record the following—
(a) the full name and address of the person,
(b) the date of receipt of the instructions,
(c) a short description of the services which the law practice has agreed to provide,
(d) an identifier,
(e) the location of any regulated property relating to the matter.
For the purposes of subrule (2)(e), if the regulated property is a document that is stored on a server and may be accessed from multiple locations, the location of the regulated property is to be recorded as the law practice’s principal place of practice.
Subrules (1) and (2) do not apply to a barrister.
A law practice must maintain a register of safe custody documents.
The register of safe custody documents must, in respect of each will, deed, document or other valuable property for which the law practice receives instructions to hold the item in safe custody, record the following—
(a) the full name and address of the person who gave the instructions,
(b) a short description of the item,
(c) the date of receipt of the item by the law practice,
(d) the identifier of the safe custody packet, in which the item is held by the law practice.
Subrules (1) and (2) do not apply to a barrister except to the extent the barrister holds items in safe custody in the course of the work of a barrister.
A law practice must maintain a register of financial interests.
The register of financial interests must, in respect of each legal practitioner associate of the law practice, record the following—
(a) the full name and address of the associate,
(b) the name and other identifying particulars of any company, partnership, or other entity, in which the associate has a financial interest and which engages in any dealing with trust money received by the associate or the law practice, other than—
(i) companies listed on the Australian Stock Exchange, and
(ii) shelf companies (companies that have already been registered but have not traded) maintained for sale.
A legal practitioner associate of the law practice must cause the details referred to in subrule (2)(b) to be disclosed in the register of financial interests as soon as practicable.
Subrules (1)–(3) do not apply to a barrister except to the extent a financial interest is relevant to the legal services provided by the barrister or a dealing with trust money occurs in the course of the work of a barrister.
A register required to be maintained under this Division must be—
(a) in the English language, and
(b) legible, and
(c) kept in a single document or in any other manner that enables a single document to be compiled, and
(d) kept at the premises of the law practice at all times, and
(e) accessible at all times (whether in manual or electronic form) to an external intervener or an investigator carrying out a function described in section 368 of the Uniform Law, and
(f) kept up to date as provided by subrule (2).
An entry in a register of information that is required to be recorded in the register must be made—
(a) for information known to the law practice at the time a file is opened for the matter—as soon as practicable after the file is opened, or
(b) for information that becomes known to the law practice after the file is opened—as soon as practicable after the information becomes known.
The rules in this Chapter are made under Chapter 6 of the Uniform Law.
The instrument of appointment under section 329 of the Uniform Law of a supervisor of trust money of a law practice must—
(a) identify the law practice and the supervisor of trust money of the law practice, and
(b) indicate that the external intervention is by way of appointment of a supervisor of trust money of the law practice, and
(c) specify the term of the appointment, and
(d) specify any conditions imposed by the designated local regulatory authority when the appointment is made, and
(e) specify any fees payable by way of remuneration to the supervisor of trust money of the law practice specifically for carrying out the supervisor’s duties in relation to the external intervention, and
Note— Paragraph (e) is intended to exclude remuneration payable generally, eg as an employee of the designated local regulatory authority.
(f) provide for the legal costs and the expenses that may be incurred by the supervisor of trust money of the law practice in relation to the external intervention.
The instrument of appointment may specify any reporting requirements to be observed by the supervisor of trust money of a law practice.
As soon as possible after an appointment under section 329 of the Uniform Law of a supervisor of trust money of a law practice is made, the designated local regulatory authority must serve a notice of the appointment on—
(a) the law practice, and
(b) any other person authorised to operate any trust account of the law practice, and
(c) any external examiner appointed to examine the law practice’s trust records, and
(d) the ADI with which any trust account of the law practice is maintained, and
(e) any person whom the designated local regulatory authority reasonably believes should be served with the notice.
The notice must—
(a) identify the law practice and the supervisor of trust money of the law practice, and
(b) indicate that the external intervention is by way of appointment of a supervisor of trust money of the law practice, and
(c) specify the term of the appointment, and
(d) specify any reporting requirements to be observed by the supervisor of trust money of the law practice, and
(e) specify any conditions imposed by the designated local regulatory authority when the appointment is made, and
(f) include a statement that the law practice may appeal against the appointment of the supervisor of trust money of the law practice under the Uniform Law.
The instrument of appointment under section 334 of the Uniform Law of a manager for a law practice must—
(a) identify the law practice and the manager, and
(b) indicate that the external intervention is by way of appointment of a manager, and
(c) specify the term of the appointment, and
(d) specify any conditions imposed by the designated local regulatory authority when the appointment is made, and
(e) specify any fees payable by way of remuneration to the manager specifically for carrying out the manager’s duties in relation to the external intervention, and
Note— Paragraph (e) is intended to exclude remuneration payable generally, eg as an employee of the designated local regulatory authority.
(f) provide for the legal costs and the expenses that may be incurred by the manager in relation to the external intervention.
The instrument of appointment may specify any reporting requirements to be observed by the manager.
As soon as possible after an appointment under section 334 of the Uniform Law of a manager for a law practice is made, the designated local regulatory authority must serve a notice of the appointment on—
(a) the law practice, and
(b) any other person authorised to operate any trust account of the law practice, and
(c) any external examiner appointed to examine the law practice’s trust records, and
(d) the ADI with which any trust account of the law practice is maintained, and
(e) any person whom the designated local regulatory authority reasonably believes should be served with the notice.
The notice must—
(a) identify the law practice and the manager, and
(b) indicate that the external intervention is by way of appointment of a manager, and
(c) specify the term of the appointment, and
(d) specify any reporting requirements to be observed by the manager, and
(e) specify any conditions imposed by the designated local regulatory authority when the appointment is made, and
(f) include a statement that the law practice may appeal against the appointment of the manager under the Uniform Law.
The instrument of appointment under section 341 of the Uniform Law of a person as a receiver for a law practice must—
(a) identify the law practice and the receiver, and
(b) indicate that the external intervention is by way of appointment of a receiver, and
(c) specify any conditions imposed by the designated tribunal when the appointment is made, and
(d) specify any fees payable by way of remuneration to the receiver specifically for carrying out the receiver’s duties in relation to the external intervention, and
Note— Paragraph (d) is intended to exclude remuneration payable generally, eg as an employee of the designated local regulatory authority.
(e) provide for the legal costs and the expenses that may be incurred by the receiver in relation to the external intervention.
The instrument of appointment may—
(a) specify the term (if any) of the appointment, and
(b) specify any reporting requirements to be observed by the receiver.
As soon as possible after an appointment of a receiver for a law practice is made, the designated local regulatory authority must serve a notice of the appointment on—
(a) the law practice, and
(b) any other person authorised to operate any trust account of the law practice, and
(c) any external examiner appointed to examine the law practice’s trust records, and
(d) the ADI with which any trust account of the practice is maintained, and
(e) any person whom the designated tribunal directs should be served with the notice, and
(f) any person whom the designated local regulatory authority reasonably believes should be served with the notice.
The notice must—
(a) identify the law practice and the receiver, and
(b) indicate that the external intervention is by way of appointment of a receiver, and
(c) specify the term (if any) of the appointment, and
(d) indicate the extent to which the receiver has the powers of a manager for the law practice, and
(e) specify any reporting requirements to be observed by the receiver, and
(f) specify any conditions imposed by the designated tribunal when the appointment is made, and
(g) include a statement that the law practice may appeal against the appointment of the receiver under the Uniform Law.
An external intervener must provide written reports in accordance with any reporting requirements as specified in the instrument of appointment—
(a) fees by way of remuneration, and
(b) the legal costs and the expenses incurred in relation to the external intervention.
An account of the external intervener for fees, costs and expenses may, on the application of the designated local regulatory authority, be taxed or assessed.
An external intervener must provide written reports in accordance with any reporting requirements as specified in the instrument of appointment.
If the instrument of appointment does not specify any reporting requirements, an external intervener must provide—
(a) written reports as required from time to time by the designated local regulatory authority, and
(b) a written report to the designated local regulatory authority at the termination of the appointment.
An external intervener must also keep the designated local regulatory authority informed of the progress of the external intervention, including providing reports about any significant events occurring or state of affairs existing in connection with the intervention or with any of the matters to which the intervention relates.
Nothing in this rule affects any other reporting obligations that may exist in respect of the law practice concerned.
This rule applies if an external intervener becomes aware of any matter in the course of an external intervention that the external intervener thinks may be unsatisfactory professional conduct or professional misconduct on the part of an Australian legal practitioner or Australian-registered foreign lawyer.
If this rule applies, the external intervener must (unless the matter is or has already been the subject of a complaint) 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.
The rules in this Part are made under Part 8.2 of the Uniform Law.
For the purposes of section 397 of the Uniform Law, the Legal Services Council may delegate any of its functions to the Chair of the Council or the Commissioner for Uniform Legal Services Regulation or both.
Subrule (1) does not apply to the Council’s functions under the following provisions of the Uniform Law—
(a) section 396 (Functions of Council in relation to Commissioner), and
(b) section 419 (Power to make Uniform Rules).
See also the rules designated as Admission Rules, Legal Practice Rules, Legal Profession Conduct Rules or Continuing Professional Development Rules.
The rules in this Part are made under Part 9.3 of the Uniform Law.
For the purposes of section 432 of the Uniform Law, local regulatory authorities are required to furnish the Legal Services Council with information that must or may be included in the Australian Legal Profession Register.
Information required under subrule (1) is to be provided in accordance with any guidelines issued by the Council.
Without limitation, the Council may request a local regulatory authority to furnish the Council with information of a specified kind.
Information requested under subrule (3) is to be information of a kind required under subrule (1) and is to be furnished within the time specified in the request.
Other registers are provided for under rules 59, 60, 64, 93, 94 and 95.
The rules in this Part are made under Part 9.9 of the Uniform Law.
For the purposes of section 464 of the Uniform Law, the specified period is 90 days.
For the purposes of section 471 of the Uniform Law, an indexed amount is to be indexed each financial year in accordance with the following formula—
106.8 is the CPI number for the March quarter of 2015.
An indexed amount is to be rounded to the nearest $5.
If an indexed amount for any financial year is less than the amount that applied for the previous financial year, then the amount that applied for that previous financial year applies instead.
As soon as practicable after the latest CPI number is first published by the Australian Statistician, the Commissioner is required to—
(a) notify the NSW Parliamentary Counsel of the indexed amounts for the next financial year so that notice of those amounts can be published on the NSW legislation website, and
(b) give public notice on the Legal Services Council’s website of the actual amounts applying in each financial year resulting from indexation under this rule.
In this rule—
For a financial year specified in Column 1, the indexed amounts for the amounts of $100,000, $10,000 and $25,000 referred to in the following provisions are the amounts specified in Columns 2, 3 and 4, respectively, corresponding to the financial year—
(a) Legal Profession Uniform Law, sections 291(1)(a) and (b), 292(2)(b) and (3) and 293(2)(b)(i) and (ii),
(b) Legal Profession Uniform Law Application Act 2014 of Victoria, section 99(1)(a) and (4)(a).
Column 1
Column 2
Column 3
Column 4
Financial year
Original amount—$100,000
Original amount—$10,000
Original amount—$25,000
2019–2020
$106,835
$10,685
$26,710
2020–2021
$116,635
$11,665
$29,160
2021–2022
$128,760
$12,880
$32,190
2022–2023
$149,375
$14,940
$37,345
2023–2024
$185,460
$18,550
$46,365
This Chapter of these Rules does not have a counterpart Chapter in the Uniform Law.
The rules in this Part are made under Schedule 3 to the Uniform Law.
This rule applies if an Australian practising certificate is granted or renewed for a non-participant legal practitioner on the basis of a temporary arrangement referred to in clause 5(2) of Schedule 3 to the Uniform Law.
For the purposes of clause 5(3) of Schedule 3 to the Uniform Law, the exemption provided by clause 5(2) ceases to operate at the end of the period of 12 months after the grant or renewal of the Australian practising certificate.
The exemption is accordingly not available to the non-participant legal practitioner in relation to the further grant or renewal of an Australian practising certificate on the basis of the arrangement concerned.
This rule applies if an Australian registration certificate is granted or renewed for a non-participant registered foreign lawyer on the basis of a temporary arrangement referred to in clause 10(2) of Schedule 3 to the Uniform Law.
For the purposes of clause 10(3) of Schedule 3 to the Uniform Law, the exemption provided by clause 10(2) ceases to operate at the end of the period of 12 months after the grant or renewal of the Australian registration certificate.
The exemption is accordingly not available to the non-participant registered foreign lawyer in relation to the further grant or renewal of an Australian registration certificate on the basis of the arrangement concerned.
Date provided to client—
Name— | Contact— | |
Address— | Phone— | |
Mobile (Optional)— | ||
State/Territory— | Postcode— | Email (Optional)— |
Name— | Phone— | |
Address— | Mobile (Optional)— | |
State/Territory— | Postcode— | Email (Optional)— |
Estimated total cost of our legal services (excl. GST)— | $ | The basis for calculating costs |
Estimated amount for disbursements (excl. GST)— | $ | Further Details— |
Estimated total cost of barrister or other law practice (excl. GST)— | $ | |
GST— | $ | |
$ |
▸ Ask for an explanation of this form ▸ Negotiate a costs agreement ▸ Negotiate the billing method (eg timing or task) ▸ Request a written progress report of costs incurred ▸ Receive a written bill for work done ▸ Request an itemised bill ▸ Contact your local regulatory authority.
Date provided to client—
Name— | Phone— | |
Address— | Mobile (Optional)— | |
State/Territory— | Postcode— | Email (Optional)— |
Name— | Phone— | |
Address— | Mobile (Optional)— | |
State/Territory— | Postcode— | Email (Optional)— |
Estimated total cost of my legal services (excl. GST)— | $ | The basis for calculating costs |
Estimated amount for disbursements (excl. GST)— | $ | Further Details— |
GST— | $ | |
$ | ||
You may also need to pay other costs such as court fees. |
▸ Ask for an explanation of this form ▸ Negotiate a costs agreement ▸ Negotiate the billing method (eg timing or task) ▸ Request a written progress report of costs incurred ▸ Receive a written bill for work done ▸ Request an itemised bill ▸ Contact your local regulatory authority.
Legal Profession Uniform General Rules 2015 (246). LW 27.5.2015. Date of commencement, 1.7.2015, rule 2. These Rules have been amended as follows—
(329) | Legal Profession Uniform General Amendment (Trust Account Statement and Examiners) Rule 2015. LW 26.6.2015. Date of commencement, on publication on LW, cl 2. | |
(766) | Legal Profession Uniform General Amendment (Supervised Legal Practice) Rule 2015. LW 16.12.2015. Date of commencement, on publication on LW, cl 2. | |
(100) | Legal Profession Uniform General Amendment (Trust Account Statements) Rule 2016. LW 26.2.2016. Date of commencement, on publication on LW, cl 2. | |
(196) | Legal Profession Uniform General Amendment (Costs Disclosure) Rule 2016. LW 22.4.2016. Date of commencement, on publication on LW, cl 2. | |
(571) | Legal Profession Uniform General Amendment (Receipting of Trust Money) Rule 2016. LW 2.9.2016. Date of commencement, on publication on LW, cl 2. | |
(682) | Legal Profession Uniform General Amendment (External Examiners) Rule 2016. LW 18.11.2016. Date of commencement, on publication on LW, cl 2. | |
(361) | Legal Profession Uniform General Amendment (Managed Investment Schemes) Rules 2018. LW 28.6.2018. Date of commencement, 1.7.2018, rule 2. | |
(519) | Legal Profession Uniform General Amendment (External Examiners) Rule 2018. LW 3.9.2018. Date of commencement, on publication on LW, cl 2. | |
(25) | Legal Profession Uniform General Amendment (Indexation) Rule 2019. LW 25.1.2019. Date of commencement, 1.7.2019, cl 2. | |
(610) | Legal Profession Uniform General Amendment (Miscellaneous) Rule 2019. LW 13.12.2019. Date of commencement, on publication on LW, cl 2. | |
(490) | Legal Profession Uniform General Amendment (Litigation Funding Schemes) Rule 2020. LW 21.8.2020. Date of commencement, 22.8.2020, cl 2. | |
(420) | Legal Profession Uniform General Amendment (Interest Rate) Rule 2021. LW 30.7.2021. Date of commencement, on publication on LW, cl 2. | |
(473) | Legal Profession Uniform General Amendment (Managed Investment Schemes) Rule 2021. LW 20.8.2021. Date of commencement, on publication on LW, cl 2. | |
(365) | Legal Profession Uniform General Amendment (Conditional Costs Agreements) Rule 2022. LW 4.7.2022. Date of commencement, 4.7.2022, cl 2. The Rule appointed 1 July 2022 as the date of its commencement. Under the Legal Profession Uniform Law, sec 431(2), the Rule cannot specify a date earlier than the date it is published. Accordingly, this rule commences on the day on which it is published on the NSW legislation website, instead of on the earlier day. | |
(559) | Legal Profession Uniform General Amendment (Managed Investment Schemes) Rule 2023. LW 6.10.2023. Date of commencement, on publication on LW, cl 2. |
Rule 7 | Am 2015 (766), cl 4. |
Rule 17 | Am 2019 (610), Sch 1[1]. |
Rule 36 | Am 2016 (571), cl 4. |
Rule 38 | Am 2019 (610), Sch 1[2]. |
Rule 52 | Am 2015 (329), cl 4 (1); 2016 (100), cl 4. |
Rule 54 | Am 2019 (610), Sch 1[3]. |
Rule 63 | Am 2019 (610), Sch 1[4]. |
Rule 64 | Am 2019 (610), Sch 1[5]. |
Rule 65 | Am 2016 (682), cl 4; 2018 (519), cl 4 (1). |
Rule 65A | Ins 2018 (519), cl 4 (2). |
Rule 66 | Am 2015 (329), cl 4 (2). |
Rule 72A | Ins 2016 (196), cl 4. |
Rule 72B | Ins 2022 (365), cl 3. |
Rule 89A | Ins 2021 (420), cl 3. |
Part 4.6, Div 1 | Ins 2018 (361), rule 5. |
Rule 91A | Ins 2018 (361), rule 5. |
Rule 91B | Ins 2018 (361), rule 5. Am 2020 (490), Sch 1[1]. Subst 2021 (473), Sch 1[1]. |
Rule 91BA | Ins 2020 (490), Sch 1[2]. Am 2021 (473), Sch 1[2] [3]; 2023 (559), cl 3(1) (2). |
Rules 91C, 91D | Ins 2018 (361), rule 5. |
Part 4.6, Div 1A (rule 91E) | Ins 2019 (610), Sch 1[6]. |
Part 4.6, Div 2, heading | Ins 2018 (361), rule 6. |
Rule 92 | Am 2018 (361), rule 7. |
Rule 93 | Am 2019 (610), Sch 1[7] [8]. |
Rule 95A | Ins 2019 (610), Sch 1[9]. |
Rule 111A | Ins 2019 (25), Sch 1. |
0
0
0