Regulatory compliance

Regulatory

Compliance

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 Uniform Law (NSW) and associated Rules (the ‘Uniform Law Regime’).

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 assistance phone number: 02 9926 0115 Email: regulatory.compliance@lawsociety.com.au.

Commencing Legal Practice

The following resources have been developed to assist law graduates and lawyers, including lawyers admitted outside NSW and foreign lawyers, understand the regulatory requirements of admission to the Australian legal profession and commencing legal practice in NSW.

Engaging in legal practice and legal services under LPUL
Transition from Law School to Legal Practice
How to Apply for Your Practising Certificate
Practising Certificate Categories and Conditions
Supervised Legal Practice
Continuing Professional Development
What a Lawyer Can and Cannot Do at Each Stage of Their Career
Dos and Don’ts for Graduates
Practising Foreign Law in NSW
Interstate Practice

Establishing a law practice

Sole Practitioner
Commencing practice as a sole practitioner checklist
Law Firm
Commencing a law firm partnership checklist
Incorporated Legal Practice
Commencing an incorporated legal practice (ILP) checklist
ILP Toolkit
Setting up an Incorporated legal practice under the Uniform Law in NSW
Unincorporated Legal Practice
Commencing an unincorporated legal practice (ULP) checklist
Law Practice Marketing
Solicitor and law practice marketing – how do I meet my regulatory obligations?
Advertising Legal Services
Professional Standards Scheme
Law Society of NSW Professional Standards Scheme
Trust Accounting
Trust Money and Fidelity Fund

Practice Management

Supervision

Compliance Review
A Quick Guide to Supervised Legal Practice
Generative AI: Supervision and Risk Management
A Principal’s Responsibilities Under the Uniform Law
*Principals: why it’s so important to set the right tone
*Principals take note: a clear compliance management system is your responsibility
Unauthorised Employment of Lay Associates who are Disqualified Persons
Remote staff supervision: Managing the risks
Reasonable supervision: what does it mean for you and your staff
Are you supervising as you should? Your staff & your practice depend on it
Three compliance considerations for staff recruitment
Better business management for a sustainable practice
Solicitor consultants: have you considered the terms of your practising certificate?

Artificial Intelligence

Sample AI Policy for Lawyers
(*This is a Lawcover resource and is made available with permission. The Law Society of New South Wales does not claim authorship of this document.)

Law Practice Succession & Contingency Planning

Solicitors who are the sole principal of a law practice are particularly vulnerable to disruption if they are suddenly unable to manage the law practice. The Law Society of NSW has developed a checklist to assist sole principals to plan ahead in the event of unforeseen circumstances. Find out more about contingency planning for sole principals here.

Winding Down or Selling a Law Practice

Law Practice Sale or Closure – What to Do Before You Leave
Transfer of a Practitioner’s Practice – Checklist
How to Advertise Your Practice for Sale
Surrendering Your Practising Certificate

Ethics & Standards Quarterly

The Law Society of NSW’s Ethics and Standards Quarterly aims to provide the profession with more information about the co-regulatory role of the Law Society and the outcomes it achieves through regulation. Find out more.

Regulatory

Compliance