The Law Society of NSW seeks to align the commercial imperatives that drive the business of legal practice with the regulatory framework largely contained in the Legal Profession Act 2004. This approach encourages solicitors to view regulatory compliance, not as an authoritative burden, but as a means to generate client satisfaction and drive profitability.
Regulatory Compliance Support Unit
The Law Society established the Regulatory Compliance Support Unit in 2005 to inform solicitors about their responsibilities and to provide practical support in order to prevent compliance issues from escalating into complaints and disciplinary actions.
The Unit is staffed by two experienced solicitors in the Law Society’s Professional Standards Department, who have detailed knowledge of the Legal Profession Act 2004 and an understanding of solicitors’ working lives.
Areas of focus
Issues of a regulatory nature.
Compliance Review Toolkit.
Compliance Review Toolkit
The complementary Toolkit documents solutions to a range of risk management and regulatory compliance issues facing many law practices today, including civic obligations, staff training, file reviews, employing staff, stationery and business names, client identification, file notes, complaint handling, strategies to avoid delay, billing arrangements, trust account management systems, safe custody and confidentiality.
The toolkit also includes samples of a file review checklist*, a work plan and fact sheets for confidentiality and conflict of interest. For a complete Toolkit contact Fran Moffitt or Chris Shrewsbury.
If you have a question about compliance or need help in this area, contact the Regulatory Compliance Support Unit for confidential assistance:
- Chris Shrewsbury on 9926 0109 or Chris.Shrewsbury@lawsociety.com.au
- Frances Moffitt on 9926 0231 or Frances.Moffitt@lawsociety.com.au
Assistance is available Monday to Friday during standard business hours.