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Главная » Иностранное законодательство » Австралия Australia » Австралийский Закон об адвокатуре. Legal Profession Act 2004.

Австралийский Закон об адвокатуре.
Legal Profession Act 2004.

190 Application of Australian professional ethical and practice standards
(1) An Australian-registered foreign lawyer must not engage in any conduct in practising foreign law that would, if the conduct were engaged in by an Australian legal practitioner in practising Australian law in this jurisdiction, be capable of being professional misconduct or unsatisfactory professional conduct.
(2) Chapter 4 (Complaints and discipline) applies to a person who:
(a) is an Australian-registered foreign lawyer, or
(b) was an Australian-registered foreign lawyer when the relevant conduct allegedly occurred, but is no longer an Australian-registered foreign lawyer (in which case Chapter 4 applies as if the person were an Australian-registered foreign lawyer),
and so applies as if references in Chapter 4 to an Australian legal practitioner were references to a person of that kind.
(3) The regulations may make provision with respect to the application (with or without modification) of the provisions of Chapter 4 for the purposes of this section.
(4) Without limiting the matters that may be taken into account in determining whether a person should be disciplined for a contravention of subsection (1), the following matters may be taken into account:
(a) whether the conduct of the person was consistent with the standard of professional conduct of the legal profession in any foreign country where the person is registered,
(b) whether the person contravened the subsection wilfully or without reasonable excuse.
(5) Without limiting any other provision of this section or the orders that may be made under Chapter 4 as applied by this section, the following orders may be made under that Chapter as applied by this section:
(a) an order that a person's registration under this Act as a foreign lawyer be cancelled,
(b) an order that a person's registration under a corresponding law as a foreign lawyer be cancelled.
191 Designation
(1) An Australian-registered foreign lawyer may use only the following designations:
(a) the lawyer's own name,
(b) a title or business name the lawyer is authorised by law to use in a foreign country where the lawyer is registered by a foreign registration authority,
(c) subject to this section, the name of a foreign law practice with which the lawyer is affiliated or associated (whether as a partner, director, employee or otherwise),
(d) if the lawyer is a principal of any law practice in Australia whose principals include both one or more Australian-registered foreign lawyers and one or more Australian legal practitioners--a description of the practice that includes reference to both Australian legal practitioners and Australian-registered foreign lawyers (for example, "Solicitors and locally registered foreign lawyers" or "Australian solicitors and US attorneys").
(2) An Australian-registered foreign lawyer who is a principal of a foreign law practice may use the practice's name in or in connection with practising foreign law in this jurisdiction only if:
(a) the lawyer indicates, on the lawyer's letterhead or any other document used in this jurisdiction to identify the lawyer as an overseas-registered foreign lawyer, that the foreign law practice practises only foreign law in this jurisdiction, and
(b) the lawyer has provided the domestic registration authority with acceptable evidence that the lawyer is a principal of the foreign law practice.
(3) An Australian-registered foreign lawyer who is a principal of a foreign law practice may use the name of the practice as referred to in this section whether or not other principals of the practice are Australian-registered foreign lawyers.
(4) This section does not authorise the use of a name or other designation that contravenes any requirements of the law of this jurisdiction concerning the use of business names or that is likely to lead to any confusion with the name of any established domestic law practice or foreign law practice in this jurisdiction.
192 Letterhead and other identifying documents
(1) An Australian-registered foreign lawyer must indicate, in each public document distributed by the lawyer in connection with the lawyer's practice of foreign law, the fact that the lawyer is an Australian-registered foreign lawyer and is restricted to the practice of foreign law.
(2) Subsection (1) is satisfied if the lawyer includes in the public document the words:
(a) "registered foreign lawyer" or "registered foreign practitioner", and
(b) "entitled to practise foreign law only".
(3) An Australian-registered foreign lawyer may (but need not) include any or all of the following on any public document:
(a) an indication of all foreign countries in which the lawyer is registered to engage in legal practice,
(b) a description of himself or herself, and any law practice with which the lawyer is affiliated or associated, in any of the ways designated in section 191 (Designation).
(4) In this section:"public document" includes any business letter, statement of account, invoice, business card, and promotional and advertising material.
193 Advertising
(1) An Australian-registered foreign lawyer is required to comply with any advertising restrictions imposed by the domestic registration authority or by law on legal practice engaged in by an Australian legal practitioner that are relevant to legal practice engaged in in this jurisdiction.
(2) Without limiting subsection (1), an Australian-registered foreign lawyer must not advertise (or use any description on the lawyer's letterhead or any other document used in this jurisdiction to identify the lawyer as a lawyer) in any way that:
(a) might reasonably be regarded as:
(i) false, misleading or deceptive, or
(ii) suggesting that the Australian-registered foreign lawyer is an Australian legal practitioner, or
(b) contravenes any requirements of the regulations.
194 Foreign lawyer employing Australian legal practitioner
(1) An Australian-registered foreign lawyer may employ one or more Australian legal practitioners.
(2) Employment of an Australian legal practitioner does not entitle an Australian-registered foreign lawyer to practise Australian law in this jurisdiction.
(3) An Australian legal practitioner employed by an Australian-registered foreign lawyer may practise foreign law.
(4) An Australian legal practitioner employed by an Australian-registered foreign lawyer must not:
(a) provide advice on Australian law to, or for use by, the Australian-registered foreign lawyer, or
(b) otherwise practise Australian law in this jurisdiction in the course of that employment.
(5) Subsection (4) does not apply to an Australian legal practitioner employed by a law firm a partner of which is an Australian-registered foreign lawyer, if at least one other partner is an Australian legal practitioner.
(6) Any period of employment of an Australian legal practitioner by an Australian-registered foreign lawyer cannot be used to satisfy a requirement imposed by a condition on a local practising certificate to complete a period of supervised legal practice.
195 Trust money and trust accounts
(1) The provisions of Part 3.1 (Trust money and trust accounts), and any other provisions of this Act, the regulations or any legal profession rule relating to requirements for trust money and trust accounts, apply (subject to this section) to Australian-registered foreign lawyers in the same way as they apply to law practices and Australian legal practitioners.
(2) In this section, a reference to money is not limited to a reference to money in this jurisdiction.
(3) The regulations may make provision with respect to the application (with or without modification) of the provisions of this Act, the regulations or any legal profession rule relating to trust money and trust accounts for the purposes of this section.
196 Professional indemnity insurance
(1) An Australian-registered foreign lawyer must, at all times while practising foreign law in this jurisdiction, comply with one of the following:
(a) the foreign lawyer must have professional indemnity insurance that conforms with the requirements for professional indemnity insurance applicable for Australian legal practitioners in any jurisdiction,
(b) if the foreign lawyer does not have professional indemnity insurance that complies with paragraph (a)--the foreign lawyer:
(i) must have professional indemnity insurance that covers the practice of foreign law in this jurisdiction and that complies with the relevant requirements of a foreign law or foreign registration authority, and
(ii) if the insurance is for less than $1.5 million (inclusive of defence costs)--must provide a disclosure statement to each client disclosing the level of cover,
(c) if the foreign lawyer does not have professional indemnity insurance that complies with paragraph (a) or (b)--the foreign lawyer must provide a disclosure statement to each client stating that the lawyer does not have complying professional indemnity insurance.
(2) A disclosure statement must be made in writing before, or as soon as practicable after, the foreign lawyer is retained in the matter.
(3) A disclosure statement provided to a person before the foreign lawyer is retained in a matter is taken to be provided to the person as a client for the purposes of this section.
(4) A disclosure statement is not valid unless it is given in accordance with, and otherwise complies with, any applicable requirements of the regulations.
197 Fidelity cover
(1) The regulations may provide that provisions of Part 3.4 (Fidelity cover) apply to prescribed classes of Australian-registered foreign lawyers and so apply with any modifications specified in the regulations. Section 398 applies the provisions of Part 3.2 to Australian-registered foreign lawyers.
(2) The regulations may make provision for or with respect to payments by locally registered foreign lawyers of contributions to the Fidelity Fund.
Division 3 – Local registration of foreign lawyers generally
198 Local registration of foreign lawyers
Overseas-registered foreign lawyers may be registered as foreign lawyers under this Act.

199 Duration of registration
(1) Registration as a foreign lawyer granted under this Act is in force from the day specified in the local registration certificate until the end of the financial year in which it is granted, unless the registration is sooner suspended or cancelled.
(2) Registration as a foreign lawyer renewed under this Act is in force until the end of the financial year following its previous period of currency, unless the registration is sooner suspended or cancelled.
(3) If an application for the renewal of registration as a foreign lawyer has not been determined by the following 1 July, the registration:
(a) continues in force on and from that 1 July until the domestic registration authority renews or refuses to renew the registration or the holder withdraws the application for renewal, unless the registration is sooner suspended or cancelled, and
(b) if renewed, is taken to have been renewed on and from that 1 July.
200 Locally registered foreign lawyer is not officer of Supreme Court
A locally registered foreign lawyer is not an officer of the Supreme Court.

Division 4 – Applications for grant or renewal of local registration
201 Application for grant or renewal of registration
An overseas-registered foreign lawyer may apply to a domestic registration authority for the grant or renewal of registration as a foreign lawyer under this Act.

202 Manner of application
(1) An application for the grant or renewal of registration as a foreign lawyer must be:
(a) made in the approved form, and
(b) accompanied by the fees determined by the domestic registration authority.
(2) Different fees may be set according to different factors determined by the domestic registration authority.
(3) The fees are not to be greater than the maximum fees for a local practising certificate.
(4) The domestic registration authority may also require the applicant to pay any reasonable costs and expenses incurred by the authority in considering the application, including (for example) costs and expenses of making inquiries and obtaining information or documents about whether the applicant meets the criteria for registration.
(5) The fees and costs must not include any component for compulsory membership of any professional association.
(6) The approved form may require the applicant to disclose:
(a) matters that may affect the domestic registration authority's consideration of the application for the grant or renewal of registration, and
(b) particulars of any offences for which the applicant has been convicted in Australia or a foreign country, whether before or after the commencement of this section.
(7) The approved form may indicate that convictions of a particular kind need not be disclosed for the purposes of the current application.
(8) The approved form may indicate that specified kinds of matters or particulars previously disclosed in a particular manner need not be disclosed for the purposes of the current application.
203 Requirements regarding applications for grant or renewal of registration
(1) An application for grant of registration must state the applicant's educational and professional qualifications.
(2) An application for grant or renewal of registration must:
(a) state that the applicant is registered to engage in legal practice by one or more specified foreign registration authorities in one or more foreign countries, and
(b) state that the applicant is not an Australian legal practitioner, and
(c) state that the applicant is not the subject of disciplinary proceedings in Australia or a foreign country (including any preliminary investigations or action that might lead to disciplinary proceedings) in his or her capacity as:
(i) an overseas-registered foreign lawyer, or
(ii) an Australian-registered foreign lawyer, or
(iii) an Australian lawyer, and
(d) state whether the applicant has been convicted 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, and
(e) state that the applicant's registration is not cancelled or currently suspended in any place as a result of any disciplinary action in Australia or a foreign country, and
(f) state:
(i) that the applicant is not otherwise personally prohibited from engaging in legal practice in any place or bound by any undertaking not to engage in legal practice in any place, and
(ii) whether or not the applicant is subject to any special conditions in engaging in legal practice in any place,
as a result of criminal, civil or disciplinary proceedings in Australia or a foreign country, and
(g) specify any special conditions imposed in Australia or a foreign country as a restriction on legal practice engaged in by the applicant or any undertaking given by the applicant restricting legal practice by the applicant, and
(h) give consent to the making of inquiries of, and the exchange of information with, any foreign registration authorities the domestic registration authority considers appropriate regarding the applicant's activities in engaging in legal practice in the places concerned or otherwise regarding matters relevant to the application, and
(h1) specify which of the paragraphs of section 196 (1) the applicant proposes to rely on and be accompanied by supporting proof of the relevant matters, and
(i) provide the information or be accompanied by the other information or documents (or both) that is specified in the application form or in material accompanying the application form as provided by the domestic registration authority.
(3) The application must (if the domestic registration authority so requires) be accompanied by an original instrument, or a copy of an original instrument, from each foreign registration authority specified in the application that:
(a) verifies the applicant's educational and professional qualifications, and
(b) verifies the applicant's registration by the authority to engage in legal practice in the foreign country concerned, and the date of registration, and
(c) describes anything done by the applicant in engaging in legal practice in that foreign country of which the authority is aware and that, in the opinion of the authority, has had or is likely to have had an adverse effect on the applicant's professional standing within the legal profession of that place.
(4) The applicant must (if the domestic registration authority so requires) certify in the application that the accompanying instrument is the original or a complete and accurate copy of the original.
(5) The domestic registration authority may require the applicant to verify the statements in the application by statutory declaration or by other proof acceptable to the authority.
(6) If the accompanying instrument is not in English, it must be accompanied by a translation in English that is authenticated or certified to the satisfaction of the domestic registration authority.
Division 5 – Grant or renewal of registration
204 Grant or renewal of registration
(1) The domestic registration authority must consider an application that has been made for the grant or renewal of registration as a foreign lawyer and may:
(a) grant or refuse to grant the registration, or
(b) renew or refuse to renew the registration,
and in granting or renewing the registration may impose conditions as referred to in section 224 (Conditions imposed by domestic registration authority).
(1A) The domestic registration authority may, when granting or renewing registration, impose conditions as referred to in section 224 (Conditions imposed by domestic registration authority).
(2) If the domestic registration authority grants or renews registration, the authority must, as soon as practicable, give the applicant a registration certificate or a notice of renewal.
(2A) If the domestic registration authority:
(a) refuses to grant or renew registration, or
(b) imposes a condition of the registration and the applicant does not agree to the condition,
the authority must, as soon as practicable, give the applicant an information notice.
(3) If the domestic registration authority refuses to grant or renew registration, the domestic registration authority must, as soon as practicable, give the applicant an information notice.
(4) A notice of renewal may be in the form of a new registration certificate or any other form the authority considers appropriate.
205 Requirement to grant or renew registration if criteria satisfied
(1) The domestic registration authority must grant an application for registration as a foreign lawyer if the domestic registration authority:
(a) is satisfied the applicant is registered to engage in legal practice in one or more foreign countries and is not an Australian legal practitioner, and
(b) considers an effective system exists for regulating engaging in legal practice in one or more of the foreign countries, and
(c) considers the applicant is not, as a result of criminal, civil or disciplinary proceedings in any of the foreign countries, subject to:
(i) any special conditions in engaging in legal practice in any of the foreign countries, or
(ii) any undertakings concerning engaging in legal practice in any of the foreign countries,
that would make it inappropriate to register the person, and
(d) is satisfied the applicant demonstrates an intention to commence practising foreign law in this jurisdiction within a reasonable period if registration were to be granted,
unless the authority refuses the application under this Division.
(2) The domestic registration authority must grant an application for renewal of a person's registration, unless the authority refuses renewal under this Division.
(3) Residence or domicile in this jurisdiction is not to be a prerequisite for or a factor in entitlement to the grant or renewal of registration.
206 Refusal to grant or renew registration
(1) The domestic registration authority may refuse to consider an application if it is not made in accordance with this Act or the regulations or the required fees and costs have not been paid.
(2) The domestic registration authority may refuse to grant or renew registration if:
(a) the application is not accompanied by, or does not contain, the information required by this Division or prescribed by the regulations, or
(b) the applicant has contravened this Act or a corresponding law, or
(c) the applicant has contravened an order of the Tribunal or a corresponding disciplinary body, including but not limited to an order to pay any fine or costs, or
(d) the applicant has contravened an order of a regulatory authority of any jurisdiction to pay any fine or costs, or
(e) the applicant has failed to comply with a requirement under this Act to pay a contribution to, or levy for, the Fidelity Fund, or
(f) the applicant has contravened a requirement of or made under this Act about professional indemnity insurance, or
(g) the applicant has failed to pay any expenses of receivership payable under this Act, or
(h) the applicant's foreign legal practice is in receivership (however described).
(3) The domestic registration authority may refuse to grant or renew registration if an authority of another jurisdiction has under a corresponding law:
(a) refused to grant or renew registration for the applicant, or
(b) suspended or cancelled the applicant's registration.
(4) The domestic registration authority may refuse to grant registration if the authority is satisfied that the applicant is not a fit and proper person to be registered after considering:
(a) the nature of any offence for which the applicant has been convicted in Australia or a foreign country, whether before or after the commencement of this section, and
(b) how long ago the offence was committed, and
(c) the person's age when the offence was committed.
(5) The domestic registration authority may refuse to renew registration if the 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 for which the applicant has been convicted in Australia or a foreign country, whether before or after the commencement of this section, other than an offence disclosed in a previous application to the domestic registration authority, and
(b) how long ago the offence was committed, and
(c) the person's age when the offence was committed.
(6) The domestic registration authority may refuse to grant or renew registration on any ground on which registration could be suspended or cancelled.
(7) If the domestic registration authority refuses to grant or renew registration, the authority must, as soon as practicable, give the applicant an information notice.
(8) Nothing in this section affects the operation of Division 7 (Special powers in relation to local registration--show cause events).
Division 6 – Amendment, suspension or cancellation of local registration
207 Application of this Division
This Division does not apply in relation to matters referred to in Division 7 (Special powers in relation to local registration--show cause events).

208 Grounds for amending, suspending or cancelling local registration
(1) Each of the following is a ground for amending, suspending or cancelling a person's registration as a foreign lawyer:
(a) the registration was obtained because of incorrect or misleading information,
(b) the person fails to comply with a requirement of this Part,
(c) the person fails to comply with a condition imposed on the person's registration,
(d) the person becomes the subject of disciplinary proceedings in Australia or a foreign country (including any preliminary investigations or action that might lead to disciplinary proceedings) in his or her capacity as:
(i) an overseas-registered foreign lawyer, or
(ii) an Australian-registered foreign lawyer, or
(iii) an Australian lawyer,
(e) the person has been convicted of an offence in Australia or a foreign country,
(f) the person's registration is cancelled or currently suspended in any place as a result of any disciplinary action in Australia or a foreign country,
(g) the person does not meet the requirements of section 196 (Professional indemnity insurance),
(h), (i) (Repealed)
(j) another ground the domestic registration authority considers sufficient.
(2) Subsection (1) does not limit the grounds on which conditions may be imposed on registration as a foreign lawyer under section 224.
209 Amending, suspending or cancelling registration
(1) If the domestic registration authority believes a ground exists to amend, suspend or cancel a person's registration by it as a foreign lawyer (the "proposed action"), the authority must give the person a notice that:
(a) states the proposed action and:
(i) if the proposed action is to amend the registration in any way--states the proposed amendment, and
(ii) if the proposed action is to suspend the registration--states the proposed suspension period, and
(b) states the grounds for proposing to take the proposed action, and
(c) outlines the facts and circumstances that form the basis for the authority's belief, and
(d) invites the person to make written representations to the authority, within a specified time not less than 7 days and not more than 28 days, as to why the proposed action should not be taken.
(2) If, after considering all written representations made within the specified time, the domestic registration authority still believes grounds exist to take the action, the authority may:
(a) if the notice under subsection (1) stated the proposed action was to amend the registration--amend the registration in the way specified or in another way the authority considers appropriate because of the representations, or
(b) if the notice stated the action proposed was to suspend the registration for a specified period--suspend the registration for a period no longer than the specified period, or
(c) if the notice stated the action proposed was to cancel the registration:
(i) cancel the registration, or
(ii) suspend the registration for a period, or
(iii) amend the registration in a less onerous way the authority considers appropriate because of the representations.
(3) The domestic registration authority may, at its discretion, consider representations made after the specified time.
(4) The domestic registration authority must give the person notice of the authority's decision.
(5) If the domestic registration authority decides to amend, suspend or cancel the registration, the authority must give the person an information notice about the decision.
(6) In this section, "amend" registration means amend the registration under section 224 during its currency, otherwise than at the request of the foreign lawyer concerned.
210 Operation of amendment, suspension or cancellation of registration
(1) Application of section This section applies if a decision is made to amend, suspend or cancel a person's registration under section 209 (Amending, suspending or cancelling registration).
(2) Action to take effect on giving of notice or specified date Subject to subsections (3) and (4), the amendment, suspension or cancellation of the registration takes effect on the later of the following:
(a) the day notice of the decision is given to the person,
(b) the day specified in the notice.
(3) Grant of stay If the registration is amended, suspended or cancelled because the person has been convicted of an offence:
(a) the Supreme Court may, on the application of the person, order that the operation of the amendment, suspension or cancellation of the registration be stayed until:
(i) the end of the time to appeal against the conviction, and
(ii) if an appeal is made against the conviction--the appeal is finally decided, lapses or otherwise ends, and
(b) the amendment, suspension or cancellation does not have effect during any period in respect of which the stay is in force.
(4) Quashing of conviction If the registration is amended, suspended or cancelled because the person has been convicted of an offence and the conviction is quashed:
(a) the amendment or suspension ceases to have effect when the conviction is quashed, or
(b) the cancellation ceases to have effect when the conviction is quashed and the registration is restored as if it had merely been suspended.
211 Other ways of amending or cancelling registration
(1) The appropriate domestic registration authority may amend or cancel the registration of a locally registered foreign lawyer if the foreign lawyer requests the authority to do so.
(2) The appropriate domestic registration authority may amend the registration of a locally registered foreign lawyer:
(a) for a formal or clerical reason, or
(b) in another way that does not adversely affect the lawyer's interests.
(3) The amendment or cancellation of a registration under this section is effected by written notice given to the foreign lawyer.
(4) Section 209 (Amending, suspending or cancelling registration) does not apply in a case to which this section applies.
212 Relationship of this Division with Chapter 4
Nothing in this Division prevents the domestic registration authority from making a complaint under Chapter 4 (Complaints and discipline) about a matter to which this Division relates.

Division 7 – Special powers in relation to local registration--show cause events
213 Applicant for local registration--show cause event
(1) This section applies if:
(a) a person is applying for registration as a foreign lawyer under this Act, and
(b) a show cause event in relation to the person happened, whether before or after the commencement of this section, after the person first became an overseas-registered foreign lawyer.
(2) As part of the application, the person must provide to the domestic registration authority a written statement, in accordance with the regulations:
(a) about the show cause event, and
(b) explaining why, despite the show cause event, the applicant considers himself or herself to be a fit and proper person to be a locally registered foreign lawyer.
(3) However, the person need not provide a statement under subsection (2) if the person has previously provided to the domestic registration authority a statement under this section, or a notice and statement under section 214 (Locally registered foreign lawyer--show cause event), explaining why, despite the show cause event, the person considers himself or herself to be a fit and proper person to be a locally registered foreign lawyer.
(4) A contravention of subsection (2) is professional misconduct.
214 Locally registered foreign lawyer--show cause event
(1) This section applies to a show cause event that happens in relation to a locally registered foreign lawyer.
(2) The locally registered foreign lawyer must provide to the domestic registration authority both of the following:
(a) within 7 days after the happening of the event--written notice, in the approved form, that the event happened,
(b) within 28 days after the happening of the event--a written statement explaining why, despite the show cause event, the person considers himself or herself to be a fit and proper person to be a locally registered foreign lawyer.
(3) A contravention of subsection (2) is professional misconduct.
(4) If a written statement is provided after the 28 days mentioned in subsection (2) (b), the domestic registration authority may accept the statement and take it into consideration.
215 Refusal, amendment, suspension or cancellation of local registration--failure to show cause
(1) The domestic registration authority may refuse to grant or renew, or may amend, suspend or cancel, local registration if the applicant for registration or the locally registered foreign lawyer:
(a) is required by section 213 (Applicant for local registration--show cause event) or 214 (Locally registered foreign lawyer--show cause event) to provide a written statement relating to a matter and has failed to provide a written statement in accordance with that requirement, or
(b) has provided a written statement in accordance with section 213 or 214 but the authority does not consider that the applicant or foreign lawyer has shown in the statement that, despite the show cause event concerned, he or she is a fit and proper person to be a locally registered foreign lawyer.
(2) For the purposes of this section only, a written statement accepted by the domestic registration authority under section 214 (4) is taken to have been provided in accordance with section 214.
(3) The domestic registration authority must give the applicant or foreign lawyer an information notice about the decision to refuse to grant or renew, or to suspend or cancel, the registration.
216 Restriction on making further applications
(1) If the domestic registration authority determines under this Division to cancel a person's registration, the authority may also determine that the person is not entitled to apply for registration under this Part for a specified period (being a period not exceeding 5 years).
(2) A person in respect of whom a determination has been made under this section, or under a provision of a corresponding law that corresponds to this section, is not entitled to apply for registration under this Part during the period specified in the determination.
(3) If the domestic registration authority makes a determination under this section, the authority must, as soon as practicable, give the applicant an information notice.
217 Relationship of this Division with Chapters 4 and 6
(1) The domestic registration authority has and may exercise powers under Part 4.4 (Investigation of complaints) of Chapter 4, and Chapter 6 (Provisions relating to investigations), in relation to a matter under this Division, as if the matter were the subject of a complaint under Chapter 4.
(2) Accordingly, the provisions of Part 4.4 of Chapter 4, and Chapter 6, apply in relation to a matter under this Division, and so apply with any necessary modifications.
(3) Nothing in this Division prevents a complaint from being made under Chapter 4 about a matter to which this Division relates.
Division 8 – Further provisions relating to local registration
218 Immediate suspension of registration
(1) This section applies, despite Divisions 6 and 7, if the domestic registration authority considers it necessary in the public interest to immediately suspend a person's registration as a foreign lawyer.
(2) The domestic registration authority may, by written notice given to the person, immediately suspend the registration until the earlier of the following:
(a) the time at which the authority informs the person of the authority's decision by notice under section 209,
(b) the end of the period of 56 days after the notice is given to the person under this section.
(3) The notice under this section must:
(a) include an information notice about the suspension, and
(b) state that the person may make written representations to the domestic registration authority about the suspension, and
(c) state that the person may appeal against the suspension under section 238.
(4) The person may make written representations to the domestic registration authority about the suspension, and the authority must consider the representations.
(5) The domestic registration authority may revoke the suspension at any time, whether or not in response to any written representations made to it by the person.
219 Surrender of local registration certificate and cancellation of registration
(1) A person registered as a foreign lawyer under this Part may surrender the local registration certificate to the domestic registration authority.
(2) The domestic registration authority may cancel the surrendered registration certificate.
220 Automatic suspension or cancellation of registration on grant of practising certificate or other disciplinary action
(1) A person's registration as a foreign lawyer under this Part is taken to be:
(a) cancelled if the person becomes an Australian legal practitioner, or
(b) suspended or cancelled if a foreign registration authority suspends or cancels, or a disciplinary body of another jurisdiction corresponding to the Tribunal orders the suspension or cancellation of, the person's registration in a foreign country because of criminal, civil or disciplinary proceedings against the person, or
(c) cancelled if the person's registration in a foreign country lapses.
(2) A suspension under this section has effect while the person's registration in the foreign country is suspended.
221 Suspension or cancellation of registration not to affect disciplinary processes
The suspension or cancellation of a person's registration as a foreign lawyer under this Part does not affect any disciplinary processes in respect of matters arising before the suspension or cancellation.

222 Return of local registration certificate on amendment, suspension or cancellation of registration
(1) This section applies if a person's registration under this Part as a foreign lawyer is amended, suspended or cancelled.
(2) The domestic registration authority may give the person a notice requiring the person to return the registration certificate to the authority in the way specified in the notice within a specified period of not less than 14 days.
(3) The person must comply with the notice, unless the person has a reasonable excuse. Maximum penalty: 20 penalty units.
(4) If the registration is amended, the domestic registration authority must return the registration certificate to the person as soon as practicable after amending it.
Division 9 – Conditions on registration
223 Conditions generally
(1) Registration as a foreign lawyer under this Part is subject to:
(a) any conditions imposed by the domestic registration authority, and
(b) any statutory conditions imposed by this or any other Act, and
(c) any conditions imposed by or under the legal profession rules, and
(d) any conditions imposed under Chapter 4 (Complaints and discipline) or under provisions of a corresponding law that correspond to Chapter 4.
(2) If a condition is imposed, varied or revoked under this Act (other than a statutory condition) during the currency of the registration concerned, the registration certificate is to be amended by the domestic registration authority, or a new certificate is to be issued by the authority, to reflect on its face the imposition, variation or revocation.
224 Conditions imposed by domestic registration authority
(1) The domestic registration authority may impose conditions on registration as a foreign lawyer:
(a) when it is granted or renewed, or
(b) during its currency.
(2) A condition imposed under this section must be reasonable and relevant.
(3) A condition imposed under this section may be about any of the following:
(a) any matter in respect of which a condition could be imposed on a local practising certificate,
(b) a matter agreed to by the foreign lawyer.
(4) The domestic registration authority must not impose a condition under subsection (3) (a) that is more onerous than a condition that would be imposed on a local practising certificate of a local legal practitioner in the same or similar circumstances.
(5) The domestic registration authority may vary or revoke conditions imposed by it under this section.
(6) If the domestic registration authority imposes, varies or revokes a condition during the currency of the registration concerned, the imposition, variation or revocation takes effect when the holder has been notified of it or at a later time specified by the authority.
(7) If the domestic registration authority imposes a condition on registration when it is granted or renewed and the foreign lawyer within one month after the grant or renewal notifies the authority in writing that he or she does not agree to the condition, the authority must, as soon as practicable, give the holder an information notice.
(8) This section has effect subject to section 209 (Amending, suspending or cancelling registration) in relation to the imposition of a condition on registration during its currency.
225 Imposition or variation of conditions pending criminal proceedings
(1) If a person registered as a foreign lawyer under this Part has been charged with a relevant offence but the charge has not been determined, the appropriate domestic registration authority may apply to the Tribunal for an order under this section.
(2) On an application under subsection (1), the Tribunal, if it considers it appropriate to do so having regard to the seriousness of the offence and to the public interest, may make either or both of the following orders:
(a) an order varying the conditions on the practitioner's registration, or
(b) an order imposing further conditions on the practitioner's registration.
(3) An order under this section has effect until the sooner of:
(a) the end of the period specified by the Tribunal, or
(b) if the practitioner is convicted of the offence--28 days after the day of the conviction, or
(c) if the charge is dismissed--the day of the dismissal.
(4) The Tribunal, on application by any party, may vary or revoke an order under this section at any time.
(5) In this section:"relevant offence" means a serious offence or an offence that would have to be disclosed under the admission rules in relation to an application for admission to the legal profession under this Act.
226 Statutory condition regarding notification of offence
(1) It is a statutory condition of registration as a foreign lawyer that the lawyer:
(a) must notify the domestic registration authority that the lawyer has been:
(i) convicted of an offence that would have to be disclosed in relation to an application for registration as a foreign lawyer under this Act, or
(ii) charged with a serious offence, and
(b) must do so within 7 days of the event and by a written notice.
(2) The regulations, or the legal profession rules if the regulations do not do so, may specify the form of the notice to be used and the person to whom or the address to which it is to be sent or delivered.
(3) The giving of a notice in accordance with Division 7 (Special powers in relation to local registration--show cause events) of a conviction for a serious offence satisfies the requirements of subsection (1) (a) (i) in relation to the conviction.
227 Conditions imposed by legal profession rules
The legal profession rules may:

(a) impose conditions on the registration of foreign lawyers or any class of foreign lawyers, or
(b) authorise conditions to be imposed on the registration of foreign lawyers or on the registration of any class of foreign lawyers.
228 Compliance with conditions
(1) A locally registered foreign lawyer must not contravene a condition to which the registration is subject. Maximum penalty: 100 penalty units.
(2) (Repealed)
Division 10 – Interstate-registered foreign lawyers
229 Extent of entitlement of interstate-registered foreign lawyer to practise in this jurisdiction
(1) This Part does not authorise an interstate-registered foreign lawyer to practise foreign law in this jurisdiction to a greater extent than a locally registered foreign lawyer could be authorised under a local registration certificate.
(2) Also, an interstate-registered foreign lawyer's right to practise foreign law in this jurisdiction:
(a) is subject to:
(i) any conditions imposed by the domestic registration authority under section 230 (Additional conditions on practice of interstate-registered foreign lawyers), and
(ii) any conditions imposed by or under the legal profession rules as referred to in that section, and
(b) is, to the greatest practicable extent and with all necessary changes:
(i) the same as the interstate-registered foreign lawyer's right to practise foreign law in the lawyer's home jurisdiction, and
(ii) subject to any condition on the interstate-registered foreign lawyer's right to practise foreign law in that jurisdiction.
(3) If there is an inconsistency between conditions mentioned in subsection (2) (a) and conditions mentioned in subsection (2) (b), the conditions that are, in the opinion of the domestic registration authority, more onerous prevail to the extent of the inconsistency.
(4) An interstate-registered foreign lawyer must not practise foreign law in this jurisdiction in a manner not authorised by this Act or in contravention of any condition referred to in this section.
(5) (Repealed)
230 Additional conditions on practice of interstate-registered foreign lawyers
(1) The domestic registration authority may, by written notice to an interstate-registered foreign lawyer practising foreign law in this jurisdiction, impose any condition on the interstate-registered foreign lawyer's practice that it may impose under this Act in relation to a locally registered foreign lawyer.
(2) Also, an interstate-registered foreign lawyer's right to practise foreign law in this jurisdiction is subject to any condition imposed by or under an applicable legal profession rule.
(3) Conditions imposed under or referred to in this section must not be more onerous than conditions applying to locally registered foreign lawyers in the same or similar circumstances.
(4) A notice under this section must include an information notice about the decision to impose a condition.
Division 11 – Miscellaneous
231 Consideration and investigation of applicants and locally registered foreign lawyers
(1) To help it consider whether or not to grant, renew, amend, suspend or cancel registration under this Part, the domestic registration authority may, by notice to the applicant or locally registered foreign lawyer, require the applicant or locally registered foreign lawyer:
(a) to give it specified documents or information, or
(b) to co-operate with any inquiries that it considers appropriate.
(2) A failure to comply with a notice under subsection (1) by the date specified in the notice and in the way required by the notice is a ground for making an adverse decision in relation to the action being considered by the domestic registration authority.
232 Register of locally registered foreign lawyers
(1) The domestic registration authority must keep a register of the names of locally registered foreign lawyers.
(2) The register must:
(a) state the conditions (if any) imposed on a foreign lawyer's registration, and
(b) include other particulars prescribed by the regulations.
(3) The register may be kept in the way the domestic registration authority decides.
(4) The register must be available for inspection, without charge, at the domestic registration authority's office during normal business hours.
233 Publication of information about locally registered foreign lawyers
The domestic registration authority may publish, in circumstances that it considers appropriate, the names of persons registered by it as foreign lawyers under this Part and any relevant particulars concerning those persons.

234 Supreme Court orders about conditions
(1) The domestic registration authority may apply to the Supreme Court for an order or injunction that an Australian-registered foreign lawyer not contravene a condition imposed under this Part.
(2) No undertaking as to damages or costs is required.
(3) The Supreme Court may grant an order or injunction in such terms as it considers appropriate, and make any order it considers appropriate, on the application.
(4) This section does not affect the generality of section 720 (Injunctions).
235 Exemption by domestic registration authority
(1) The domestic registration authority may exempt an Australian-registered foreign lawyer or class of Australian-registered foreign lawyers from compliance with a specified provision of this Act or the regulations, or from compliance with a specified rule or part of a rule that would otherwise apply to the foreign lawyer or class of foreign lawyers.
(2) An exemption may be granted unconditionally or subject to conditions specified in writing.
(3) The domestic registration authority may revoke or vary any conditions imposed under this section or impose new conditions.
236 Membership of professional association
An Australian-registered foreign lawyer is not required to join (but may, if eligible, join) any professional association.

237 Refund of fees
(1) The regulations may provide for the refund of a portion of a fee paid in respect of registration as a foreign lawyer if it is suspended or cancelled during its currency.
(2) Without limiting subsection (1), the regulations may specify:
(a) the circumstances in which a refund is to be made, and
(b) the amount of the refund or the manner in which the amount of the refund is to be determined.
238 Appeals or reviews
(1) If the domestic registration authority:
(a) refuses to grant or renew the registration of a person as a foreign lawyer, or
(b) amends, suspends or cancels a person's registration as a foreign lawyer, or
(c) takes any action under Divisions 3 and 4 of Part 3.1,
the foreign lawyer may appeal to the Supreme Court against the refusal, amendment, suspension, cancellation or action.
(2) The Supreme Court may make such an order in the matter as it thinks fit.
239 Joint rules
Practice as a locally registered foreign lawyer is subject to the legal profession rules that apply to locally registered foreign lawyers.

Part 2.8 – Community legal centres

240 Community legal centres
(1) An organisation, whether incorporated or not, is a "complying community legal centre" for the purposes of this Act if:
(a) it is held out or holds itself out as being a community legal centre (or a centre or establishment of a similar description), and
(b) it provides legal services:
(i) that are directed generally to persons or organisations that lack the financial means to obtain privately funded legal services or whose cases are expected to raise issues of public interest or are of general concern to disadvantaged groups in the community, and
(ii) that are made available to persons or organisations that have a special need arising from their location or the nature of the legal matter to be addressed or have a significant physical or social disability, and
(iii) that are not intended, or likely, to be provided at a profit to the community legal centre and the income (if any) from which cannot or will not be distributed to any member or employee of the centre otherwise than by way of reasonable remuneration under a contract of service or for services, and
(iv) that are funded or expected to be funded to a significant level by donations or by grants from government, charitable or other organisations, and
(c) at least one of the persons who is employed or otherwise used by it to provide those legal services is an Australian legal practitioner and is generally responsible for the provision of those legal services (whether or not the person has an unrestricted practising certificate).
(2) A complying community legal centre does not contravene this Act merely because:
(a) it employs, or otherwise uses the services of, Australian legal practitioners to provide legal services to members of the public, or
(b) it has a contractual relationship with a member of the public to whom those legal services are provided or receives any fee, gain or reward for providing those legal services, or
(c) it shares with an Australian legal practitioner employed or otherwise used by it to provide those legal services receipts, revenue or other income arising from the business of the centre, being business of a kind usually conducted by an Australian legal practitioner, or
(d) it adopts or uses the word "legal" or a name, description or title specified in regulations under section 16 (or some related term) in its name or any registered business name under which it provides legal services to members of the public.
(3) This section has effect despite anything to the contrary in this Act.
(4) The regulations may make provision for or with respect to:
(a) the application (with or without specified modifications) of provisions of this Act to complying community legal centres, and
(b) the legal services provided by complying community legal centres or officers or employees of, or persons whose services are used by, complying community legal centres.
(5) A regulation may provide that a breach of the regulations is capable of being unsatisfactory professional conduct or professional misconduct by, in the case of a complying community legal centre, an Australian legal practitioner responsible for the breach.
241 Application of legal profession rules
Legal profession rules, so far as they apply to Australian legal practitioners, also apply to Australian legal practitioners who are officers or employees of, or whose services are used by, a complying community legal centre, unless the rules otherwise provide.

Chapter 3 – Conduct of legal practice

Part 3.1 – Trust money and trust accounts

Division 1 – Preliminary
242 Purposes
The purposes of this Part are as follows:

(a) to ensure trust money is held by law practices in a way that protects the interests of persons for or on whose behalf money is held, both inside and outside this jurisdiction,
(b) to minimise compliance requirements for law practices that provide legal services within and outside this jurisdiction,
(c) to ensure the Law Society Council can work effectively with corresponding authorities in other jurisdictions in relation to the regulation of trust money and trust accounts.
243 Definitions
(1) In this Part:"approved ADI" means an ADI approved under section 280 (Approval of ADIs) by the Law Society Council."controlled money" means money received or held by a law practice in respect of which the practice has a written direction to deposit the money in an account (other than a general trust account) over which the practice has or will have exclusive control. See section 256 (6) (Controlled money), which prevents pooling of controlled money."controlled money account" means an account maintained by a law practice with an ADI for the holding of controlled money received by the practice."deposit record" includes a deposit slip or duplicate deposit slip."external examination" means an external examination under Division 4 of Part 3.1 of a law practice's trust records."external examiner" means a person holding an appointment as an external examiner under Division 4 of Part 3.1."general trust account" means an account maintained by a law practice with an approved ADI for the holding of trust money received by the practice, other than controlled money or transit money."investigation" means an investigation under Division 3 of Part 3.1 of the affairs of a law practice."investigator" means a person holding an appointment as an investigator under Division 3 of Part 3.1."permanent form", in relation to a trust record, means printed or, on request, capable of being printed, in English on paper or other material."power" includes authority."transit money" means money received by a law practice subject to instructions to pay or deliver it to a third party, other than an associate of the practice."trust account" means an account maintained by a law practice with an approved ADI to hold trust money."trust money" means money entrusted to a law practice in the course of or in connection with the provision of legal services by the practice, and includes:
(a) money received by the practice on account of legal costs in advance of providing the services, and
(b) controlled money received by the practice, and
(c) transit money received by the practice, and
(d) money received by the practice, that is the subject of a power, exercisable by the practice or an associate of the practice, to deal with the money for or on behalf of another person.
"trust records" includes the following documents:
(a) receipts,
(b) cheque butts or cheque requisitions,
(c) records of authorities to withdraw by electronic funds transfer,
(d) deposit records,
(e) trust account ADI statements,
(f) trust account receipts and payments cash books,
(g) trust ledger accounts,
(h) records of monthly trial balances,
(i) records of monthly reconciliations,
(j) trust transfer journals,
(k) statements of account as required to be furnished under the regulations,
(l) registers required to be kept under the regulations,
(m) monthly statements required to be kept under the regulations,
(n) files relating to trust transactions or bills of costs or both,
(o) written directions, authorities or other documents required to be kept under this Act or the regulations,
(p) supporting information required to be kept under the regulations in relation to powers to deal with trust money.
"Trustees" means the Trustees of the Public Purpose Fund.
(2) A reference in this Part to a law practice's trust account or trust records includes a reference to an associate's trust account or trust records.
(3) A reference in this Part to a power given to a law practice or an associate of the practice to deal with money for or on behalf of another person is a reference to a power given to the practice or associate that is exercisable by:
(a) the practice alone, or
(b) an associate of the practice alone (otherwise than in a private and personal capacity), or
(c) the practice or an associate of the practice jointly or severally, or jointly and severally, with either or both of the following:
(i) one or more associates of the practice,
(ii) the person, or one or more nominees of the person, for whom or on whose behalf the money may or is to be dealt with under the power.
244 Money involved in financial services or investments
(1) Money that is entrusted to or held by a law practice for or in connection with:
(a) a financial service provided by the practice or an associate of the practice in circumstances where the practice or associate is required to hold an Australian financial services licence covering the provision of the service (whether or not such a licence is held at any relevant time), or
(b) a financial service provided by the practice or an associate of the practice in circumstances where the practice or associate provides the service as a representative of another person who carries on a financial services business (whether or not the practice or associate is an authorised representative at any relevant time),
is not trust money for the purposes of this Act.
(2) Without limiting subsection (1), money that is entrusted to or held by a law practice for or in connection with:
(a) a managed investment scheme, or
(b) mortgage financing,
undertaken by the practice is not trust money for the purposes of this Act.
(3) Without limiting subsections (1) and (2), money that is entrusted to or held by a law practice for investment purposes, whether on its own account or as agent, is not trust money for the purposes of this Act, unless:
(a) the money was entrusted to or held by the practice:
(i) in the ordinary course of legal practice, and
(ii) primarily in connection with the provision of legal services to or at the direction of the client, and
(b) the investment is or is to be made:
(i) in the ordinary course of legal practice, and
(ii) 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.
(4) In this section:"Australian financial services licence", "authorised representative", "financial service" and "financial services business" have the same meanings as in Chapter 7 of the Corporations Act 2001 of the Commonwealth.
245 Determinations about status of money
(1) This section applies to money received by a law practice if the Law Society Council considers that there is doubt or a dispute as to whether the money is trust money.
(2) The Council may determine that the money is or is not trust money.
(3) The Council may revoke or modify a determination under this section.
(4) While a determination under this section is in force that money is trust money, the money is taken to be trust money for the purposes of this Act.
(5) While a determination under this section is in force that money is not trust money, the money is taken not to be trust money for the purposes of this Act.
(6) This section has effect subject to a decision of a court or administrative review body made in relation to the money concerned.
Section 298 requires notice to be given to a client when money entrusted to a law practice is not trust money because of a determination under this section.

246 Application of Part to law practices and trust money
(1) Trust money received in this jurisdiction This Part applies to the following law practices in respect of trust money received by them in this jurisdiction:
(a) a law practice that has an office in this jurisdiction, whether or not the practice has an office in another jurisdiction,
(b) a law practice that does not have an office in any jurisdiction at all.
It is intended that a law practice that receives trust money in this jurisdiction, that does not have an office in this jurisdiction, but that has an office in another jurisdiction, must deal with the money in accordance with the corresponding law of the other jurisdiction.
(2) Trust money received in another jurisdiction This Part applies to the following law practices in respect of trust money received by them in another jurisdiction:
(a) a law practice that has an office in this jurisdiction and in no other jurisdiction,
(b) a law practice that has an office in this jurisdiction and in one or more other jurisdictions but not in the jurisdiction in which the trust money was received, unless the money is dealt with in accordance with the corresponding law of another jurisdiction.
(3) Exclusions However, this Part does not apply to:
(a) prescribed law practices or classes of law practices, or
(b) prescribed law practices or classes of law practices in prescribed circumstances, or
(c) prescribed kinds of trust money, or
(d) prescribed kinds of trust money in prescribed circumstances.
(4) Money received for costs not trust money Money received in the course of or in connection with the provision of legal services by a law practice for or on behalf of another person for the payment of costs due to the practice (including costs that have been awarded by a court, tribunal or other body that has power to award costs), is not trust money for the purposes of this Act.
(5) Meaning of having an office in a jurisdiction A reference in this section to having an office in a jurisdiction is a reference to having, or engaging in legal practice from, an office or business address in the jurisdiction.
Section 195 (Trust money and trust accounts) applies this Part to Australian-registered foreign lawyers.

247 Protocols for determining where trust money is received
(1) The Law Society Council may enter into arrangements (referred to in this Part as "protocols") with corresponding authorities about any or all of the following:
(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 this Act or a corresponding law.
(2) For the purposes of this Act, to the extent that the protocols are relevant, the jurisdiction where a law practice receives trust money is to be determined in accordance with the protocols.
(3) The Law Society Council may enter into arrangements that amend, revoke or replace a protocol.
(4) A protocol does not have effect in this jurisdiction unless it is embodied or identified in the regulations.
248 When money is received
(1) For the purposes of this Act, a law practice receives money when:
(a) the practice obtains possession or control of it directly, or
(b) the practice obtains possession or control of it indirectly as a result of its delivery to an associate of the practice, or
(c) the practice, or an associate of the practice (otherwise than in a private and personal capacity), is given a power to deal with the money for or on behalf of another person.
(d) (Repealed)
(2) For the purposes of this Act, a law practice or associate is taken to have received money if the money is available to the practice or associate by means of an instrument or other way of authorising an ADI to credit or debit an amount to an account with the ADI, including, for example, an electronic funds transfer, credit card transaction or telegraphic transfer.
249 Discharge by legal practitioner associate of obligations of law practice
(1) The following actions, if taken by a legal practitioner associate of a law practice on behalf of the practice in relation to trust money received by the practice, discharge the corresponding obligations of the practice in relation to the money:
(a) the establishment of a trust account,
(b) the maintenance of a trust account,
(c) the payment of trust money into and out of a trust account and other dealings with trust money,
(d) the maintenance of trust records,
(e) engaging an external examiner to examine trust records,
(f) the payment of an amount into an ADI account as referred to in section 283 (Statutory deposits),
(g) an action of a kind prescribed by the regulations.
(2) If the legal practitioner associate maintains a trust account in relation to trust money received by the law practice, the provisions of this Part and the regulations made for the purposes of this Part apply to the associate in the same way as they apply to a law practice.
(3) Subsection (1) does not apply to the extent that the associate is prevented by the regulations from taking any action referred to in that subsection.
250 Liability of principals of law practice
(1) A provision of this Part or the regulations made for the purposes of this Part expressed as imposing an obligation on a law practice imposes the same obligation on the principals of the law practice jointly and severally, but discharge of the practice's obligation also discharges the corresponding obligation imposed on the principals.
(2) References in this Part and the regulations made for the purposes of this Part to a law practice include references to the principals of the law practice.
251 Former practices, principals and associates
This Part applies in relation to former law practices and former principals and associates of law practices in relation to conduct occurring while they were respectively law practices, principals and associates in the same way as it applies to law practices, principals and associates, and so applies with any necessary modifications.

252 Barristers not to receive trust money
A barrister is not, in the course of practising as a barrister, to receive trust money.

Division 2 – Trust accounts and trust money
253 Maintenance of general trust account
(1) A law practice that receives trust money to which this Part applies must maintain a general trust account in this jurisdiction. Maximum penalty: 100 penalty units.
(2) A law practice that is required to maintain a general trust account in this jurisdiction must establish and maintain the account in accordance with the regulations. Maximum penalty: 100 penalty units.
(3) Subsection (1) does not apply to a law practice in respect of any period during which the practice receives or holds only either or both of the following:
(a) controlled money,
(b) transit money received in a form other than cash.
(4) Subject to any requirements of the regulations, a requirement of this section for a law practice to maintain, or establish and maintain, a general trust account in this jurisdiction does not prevent the practice from maintaining, or establishing and maintaining, more than one general trust account in this jurisdiction, whether during the same period or during different periods.
(5) Without limiting the other provisions of this section, the regulations may provide that a law practice must not close a general trust account except as permitted by the regulations, either generally or in any prescribed circumstances.
254 Certain trust money to be deposited in general trust account
(1) Subject to section 258A, as soon as practicable after receiving trust money, a law practice must deposit the money in a general trust account of the practice unless:
(a) the practice has a written direction by an appropriate person to deal with it otherwise than by depositing it in the account, or
(b) the money is controlled money, or
(c) the money is transit money, or
(d) the money is the subject of a power given to the practice or an associate of the practice to deal with the money for or on behalf of another person.
Maximum penalty: 100 penalty units.
(2) Subject to section 258A, a law practice that has received money that is the subject of a written direction mentioned in subsection (1) (a) must deal with the money in accordance with the direction:
(a) within the period (if any) specified in the direction, or
(b) subject to paragraph (a), as soon as practicable after it is received.
Maximum penalty: 100 penalty units.
(3) The law practice must keep a written direction mentioned in subsection (1) (a) for the period prescribed by the regulations. Maximum penalty: 50 penalty units.
(4) (Repealed)
(5) A person is an "appropriate person" for the purposes of this section if the person is legally entitled to give the law practice directions in respect of dealings with the trust money.
255 Holding, disbursing and accounting for trust money
(1) A law practice must:
(a) hold trust money deposited in a general trust account of the practice exclusively for the person on whose behalf it is received, and

(b) disburse the trust money only in accordance with a direction given by the person.
Maximum penalty: 50 penalty units.
(2) Subsection (1) applies subject to an order of a court of competent jurisdiction or as authorised by law.
(3) The law practice must account for the trust money as required by the regulations. Maximum penalty: 50 penalty units.
255A Manner of withdrawal of trust money from general trust account
(1) A law practice must not withdraw trust money from a general trust account otherwise than by cheque or electronic funds transfer. Maximum penalty: 50 penalty units.
(2) Without limiting subsection (1), the following are specifically prohibited:
(a) cash withdrawals,
(b) ATM withdrawals or transfers,
(c) telephone banking withdrawals or transfers.
(3) The regulations may make provision for or with respect to withdrawals by cheque or electronic funds transfer.
(4) This section has effect despite anything to the contrary in any directions given to the law practice concerned, even if the directions are given by a person who is otherwise legally entitled to give the law practice directions in respect of dealings with the trust money.
256 Controlled money
(1) As soon as practicable after receiving controlled money, a law practice must deposit the money in the account specified in the written direction relating to the money. Maximum penalty: 50 penalty units.
(2) The law practice must hold controlled money deposited in a controlled money account in accordance with subsection (1) exclusively for the person on whose behalf it was received. Maximum penalty: 50 penalty units.
(3) The law practice that holds controlled money deposited in a controlled money account in accordance with subsection (1) must not disburse the money except in accordance with:
(a) the written direction mentioned in that subsection, or
(b) a later written direction given by or on behalf of the person on whose behalf the money was received.
Maximum penalty: 50 penalty units.
(4) The law practice must maintain the controlled money account, and account for the controlled money, as required by the regulations. Maximum penalty: 50 penalty units.
(5) The law practice must keep a written direction mentioned in this section for the period prescribed by the regulations. Maximum penalty: 50 penalty units.
(6) The law practice must ensure that the controlled money account is used for the deposit of controlled money received on behalf of the person referred to in subsection (2), and not for the deposit of controlled money received on behalf of any other person, except to the extent that the regulations otherwise permit. Maximum penalty: 50 penalty units.
(7) Subsection (3) applies subject to an order of a court of competent jurisdiction or as authorised by law.
256A Manner of withdrawal of controlled money from controlled money account
(1) A law practice must not withdraw controlled money from a controlled money account otherwise than by cheque or electronic funds transfer. Maximum penalty: 50 penalty units.
(2) Without limiting subsection (1), the following are specifically prohibited:
(a) cash withdrawals,
(b) ATM withdrawals or transfers,
(c) telephone banking withdrawals or transfers.
(3) The regulations may make provision for or with respect to withdrawals by cheque or electronic funds transfer.
(4) This section has effect despite anything to the contrary in any directions given to the law practice concerned, even if the directions are given by a person who is otherwise legally entitled to give the law practice directions in respect of dealings with the controlled money.
257 Transit money
(1) Subject to section 258A, a law practice that has received transit money must pay or deliver the money as required by the instructions relating to the money:
(a) within the period (if any) specified in the instructions, or
(b) subject to paragraph (a), as soon as practicable after it is received.
Maximum penalty: 50 penalty units.
(2) The law practice must account for the money as required by the regulations. Maximum penalty: 50 penalty units.
258 Trust money subject to specific powers
(1) Subject to section 258A, a law practice must ensure that trust money that is the subject of a power given to the practice or an associate of the practice is dealt with by the practice or associate only in accordance with the power relating to the money. Maximum penalty: 50 penalty units.
(2) The law practice must account for the money in the way prescribed by the regulations. Maximum penalty: 50 penalty units.
258A Trust money received in the form of cash
(1) General trust money A law practice must deposit general trust money received in the form of cash in a general trust account of the practice. Maximum penalty: 50 penalty units.
(2) If the law practice has a written direction by an appropriate person to deal with general trust money received in the form of cash otherwise than by first depositing it in a general trust account of the practice:
(a) the money must nevertheless be deposited in a general trust account of the practice in accordance with subsection (1), and
(b) the money is thereafter to be dealt with in accordance with any applicable terms of the direction so far as those terms are not inconsistent with paragraph (a).
(3) Controlled money Controlled money received in the form of cash must be deposited in a controlled money account in accordance with section 256.
(4) Transit money A law practice must deposit transit money received in the form of cash in a general trust account of the practice before the money is otherwise dealt with in accordance with the instructions relating to the money. Maximum penalty: 50 penalty units.
(5) Trust money subject of a power A law practice must deposit trust money that is received in the form of cash and is the subject of a power in a general trust account (or a controlled money account in the case of controlled money) of the practice before the money is otherwise dealt with in accordance with the power. Maximum penalty: 50 penalty units.
(6) Paramount operation of this section This section has effect despite anything to the contrary in any relevant direction, instruction or power.
(7) Definitions In this section:"appropriate person", in relation to trust money, means a person who is legally entitled to give the law practice concerned directions in respect of dealings with the money."general trust money" means trust money, other than:
(a) controlled money, and
(b) transit money, and
(c) money that is the subject of a power.
259 Protection of trust money
(1) Money standing to the credit of a trust account maintained by a law practice is not available for the payment of debts of the practice or any of its associates.
(2) Money standing to the credit of a trust account maintained by a law practice is not liable to be attached or taken in execution for satisfying a judgment against the practice or any of its associates.
(3) This section does not apply to money to which a law practice or associate is entitled.
260 Intermixing money
(1) A law practice must not, otherwise than as permitted by subsection (2), mix trust money with other money. Maximum penalty: 100 penalty units.
(2) A law practice is permitted to mix trust money with other money to the extent only that is authorised by the Law Society Council and in accordance with any conditions imposed by the Law Society Council in relation to the authorisation.
261 Dealing with trust money: legal costs and unclaimed money
(1) A law practice may do any of the following, in relation to trust money held in a general trust account or controlled money account of the practice for a person:
(a) exercise a lien, including a general retaining lien, for the amount of legal costs reasonably due and owing by the person to the practice,
(b) withdraw money for payment to the practice's account for legal costs owing to the practice if the relevant procedures or requirements prescribed by this Act and the regulations are complied with,
(c) after deducting any legal costs properly owing to the practice, deal with the balance as unclaimed money under section 266 (Unclaimed money).
(2) Subsection (1) applies despite any other provision of this Part but has effect subject to Part 3.2 (Costs disclosure and assessment).
262 Deficiency in trust account
(1) An Australian legal practitioner is guilty of an offence if he or she, without reasonable excuse, causes:
(a) a deficiency in any trust account or trust ledger account, or
(b) a failure to pay or deliver any trust money.
Maximum penalty: 200 penalty units.
(2) A reference in subsection (1) to an account includes a reference to an account of the practitioner or of the law practice of which the practitioner is an associate.
(3) In this section:"cause" includes be responsible for."deficiency" in a trust account or trust ledger account includes the non-inclusion or exclusion of the whole or any part of an amount that is required to be included in the account.
263 Reporting certain irregularities and suspected irregularities
(1) As soon as practicable after a legal practitioner associate of a law practice becomes aware that there is an irregularity in any of the practice's trust accounts or trust ledger accounts, the associate must give written notice of the irregularity to:
(a) the Law Society Council, and
(b) if a corresponding authority is responsible for the regulation of the accounts concerned--the corresponding authority.
Maximum penalty: 50 penalty units.
(2) If an Australian legal practitioner believes on reasonable grounds that there is an irregularity in connection with the receipt, recording or disbursement of any trust money received by a law practice of which the practitioner is not a legal practitioner associate, the practitioner must, as soon as practicable after forming the belief, give written notice of it to:
(a) the Law Society Council, and
(b) if a corresponding authority is responsible for the regulation of the accounts relating to the trust money concerned--the corresponding authority.
Maximum penalty: 50 penalty units.
(3) An Australian legal practitioner is not liable for any loss or damage suffered by another person as a result of the practitioner's compliance with subsection (1) or (2).
264 Keeping trust records
(1) A law practice must keep in permanent form trust records in relation to trust money received by the practice. Maximum penalty: 100 penalty units.
(2) The law practice must keep the trust records:
(a) in accordance with the regulations, and
(b) in a way that at all times discloses the true position in relation to trust money received for or on behalf of any person, and
(c) in a way that enables the trust records to be conveniently and properly investigated or externally examined, and
(d) for a period determined in accordance with the regulations.
Maximum penalty: 100 penalty units.
265 False names
(1) A law practice must not knowingly receive money or record receipt of money in the practice's trust records under a false name. Maximum penalty: 100 penalty units.
(2) If a person on whose behalf trust money is received by a law practice is commonly known by more than one name, the practice must ensure that the practice's trust records record all names by which the person is known. Maximum penalty: 100 penalty units.
266 Unclaimed money
(1) If a law practice holding money in a trust account cannot find the person on whose behalf the money is held or a person authorised to receive it, the practice may:
(a) pay the money to the Treasurer for credit to the Consolidated Fund, and
(b) provide the Treasurer with such information as the Treasurer requires in relation to the money and the person on whose behalf the money was held by the practice.
(2) If a law practice pays money to the Treasurer under subsection (1), the practice is relieved from any further liability in relation to the money.
(3) The Treasurer must pay money deposited under this section to a person who satisfies the Treasurer as to his or her entitlement to the money.
(4) Payment of money to a person under subsection (3):
(a) discharges the Crown and the Treasurer from any liability in relation to the money, and
(b) does not discharge the person from any liability to another person who establishes a right to the money.
(5) The Treasurer may require any person to provide information that the person has, or can obtain, about the entitlement of a person to money paid to the Treasurer under this section and attempts made to locate the person.
(6) A person of whom a requirement is made under subsection (5):
(a) must comply with the requirement, and
(b) must not, in purported compliance with the requirement, give information that he or she knows is false or misleading in a material particular.
Maximum penalty (subsection (6)): 20 penalty units.
Division 3 – Investigations
267 Appointment of investigators
(1) The Law Society Council may, in writing, appoint a suitably qualified person to investigate the affairs or specified affairs of a law practice.
(2) The appointment may be made generally or for the law practice specified in the instrument of appointment.
(3) An investigator may, with the approval of the Law Society Council, appoint an assistant.
268 Investigations
(1) The instrument of appointment may authorise the investigator to conduct either or both of the following:
(a) routine investigations on a regular or other basis,
(b) investigations in relation to particular allegations or suspicions regarding trust money, trust property, trust accounts or any other aspect of the affairs of the law practice.
(2) The principal purposes of an investigation are to ascertain whether the law practice has complied with or is complying with the requirements of this Part and the regulations under this Part and to detect and prevent fraud or defalcation, but this subsection does not limit the scope of the investigation or the powers of the investigator.
269 Application of Chapter 6
Chapter 6 (Provisions relating to investigations) applies to an investigation under this Division.

270 Investigator's report
As soon as practicable after completing the investigation, the investigator must give a written report of the investigation to the Law Society Council.

271 When costs of investigation are debt
(1) If:
(a) an investigator states in his or her report of an investigation that there is evidence that a breach of this Act or the regulations has been committed or evidence that a default (within the meaning of Part 3.4) has occurred in relation to the law practice whose affairs are under investigation, and
(b) the Law Society Council is satisfied that the breach is wilful or of a substantial nature,
the Council may decide that the whole or part of the costs of carrying out the investigation is payable to the Council and may specify the amount payable.
(2) The amount specified by the Law Society Council is a debt owing to the Council by the law practice whose affairs are under investigation.
Division 4 – External examinations
272 Designation of external examiners
(1) The Law Society Council may, in writing, designate persons (referred to in this Division as "designated persons") as being eligible to be appointed as external examiners.
(2) Only designated persons may be appointed as external examiners.
(3) A person appointed as an external examiner may, with the approval of the Law Society Council, appoint an assistant.
(4) An employee or agent of the Law Society may be a designated person.
(5) The Law Society Council may revoke a person's designation under this section.
273 Designation and appointment of associates as external examiners
(1) The Law Society Council may designate an associate of a law practice under this Division only if the Council is satisfied that it is appropriate to do so.
(2) However, an associate of a law practice cannot be appointed as an external examiner under this Division to examine any trust records of a law practice of which he or she is an associate.
274 Trust records to be externally examined
(1) A law practice must at least once in each financial year have its trust records externally examined by an external examiner appointed in accordance with the regulations. Maximum penalty: 100 penalty units.
(2) The Law Society Council may appoint an external examiner to examine a law practice's trust records if the Council is not satisfied:
(a) that the practice has had its trust records externally examined as required by this section, or
(b) that an external examination of the practice's trust records has been carried out in accordance with the regulations.
(3) Without affecting the generality of section 300, this section has effect subject to any exemptions provided by or given under the regulations from the requirement to have trust records examined as otherwise required by this section.
275 Final examination of trust records
(1) This section applies if a law practice:
(a) ceases to be authorised to receive trust money, or
(b) ceases to engage in legal practice in this jurisdiction.
(2) The law practice must appoint an external examiner to examine the practice's trust records:
(a) in respect of the period since an external examination was last conducted, and
(b) in respect of each period thereafter, comprising a completed period of 12 months or any remaining partly completed period, during which the practice continued to hold trust money.
Maximum penalty: 50 penalty units.
(3) The law practice must lodge with the Law Society:
(a) a report of each examination under subsection (2) within 60 days after the end of the period to which the examination relates, and
(b) a statutory declaration in the prescribed form within 60 days of ceasing to hold trust money.
Maximum penalty: 20 penalty units.
(4) The law practice must ensure that, within 12 months after the law practice ceases to be authorised to receive trust money or ceases to engage in legal practice in this jurisdiction:
(a) any general trust account maintained by the law practice in this jurisdiction is closed, and
(b) trust money held in any such account is dealt with as required by this Act and the regulations (such as by being disbursed in accordance with a direction given by the person on whose behalf it was received).
(5) If an Australian legal practitioner dies, the practitioner's legal personal representative must comply with this section as if the representative were the practitioner.
(6) Nothing in this section affects any other requirements under this Part.
276 Examination of affairs in connection with examination of trust records
(1) An external examiner appointed to examine a law practice's trust records may examine the affairs of the practice for the purposes of and in connection with an examination of the trust records.
(2) If the law practice is an incorporated legal practice or multi-disciplinary partnership, the reference in subsection (1) to the affairs of the law practice extends to the affairs of the incorporated legal practice or multi-disciplinary partnership or of an associate, so far as they are relevant to trust money, trust records and associated matters.
(3) A reference in this Division and Chapter 6 (Provisions relating to investigations) to "trust records" includes a reference to the affairs of a law practice that may be examined under this section for the purposes of and in connection with an examination of the practice's trust records.
277 Carrying out examination
(1) Chapter 6 (Provisions relating to investigations) applies to an external examination under this Division.
(2) Subject to Chapter 6, an external examination of trust records is to be carried out in accordance with the regulations.
(3) Without limiting subsection (2), the regulations may provide for the following:
(a) the standards to be adopted and the procedures to be followed by external examiners,
(b) the form and content of an external examiner's report on an examination.
278 External examiner's report
(1) As soon as practicable after completing an external examination, an external examiner must give a written report of the examination to the Law Society.
(2) The examiner must not disclose information in the report or acquired in carrying out the examination, unless permitted to do so under subsection (3) or under section 677 (Permitted disclosure of confidential information obtained in course of investigation, examination or audit). Maximum penalty: 20 penalty units.
(3) The examiner may disclose information in the report or acquired in carrying out the examination:
(a) as is necessary for properly conducting the examination and making the report of the examination, or
(b) to an investigator or a supervisor, manager or receiver appointed under this Act, or
(c) if the law practice is an incorporated legal practice--to a receiver, receiver and manager, liquidator (including a provisional liquidator), controller, administrator or deed administrator appointed for the practice under the Corporations Act 2001 of the Commonwealth, or
(d) to the law practice concerned or an associate of the law practice.
279 Law practice liable for costs of examination
(1) A law practice whose trust accounts have been externally examined must pay the costs of the examination.
(2) If the Law Society Council appointed the external examiner to carry out the examination, the Council may specify the amount payable as the costs of the examination, and the specified amount is a debt payable to it by the law practice.
Division 5 – Provisions relating to ADIs
280 Approval of ADIs
(1) The Law Society Council may approve ADIs at which trust accounts to hold trust money may be maintained.
(2) The Law Society Council may impose conditions, of the kinds prescribed by the regulations, on an approval under this section, when the approval is given or during the currency of the approval, and may amend or revoke any conditions imposed.
(3) The Law Society Council may revoke an approval given under this section.
281 ADI not subject to certain obligations and liabilities
(1) An ADI at which a trust account is maintained by a law practice:
(a) is not under any obligation to control or supervise transactions in relation to the account or to see to the application of money disbursed from the account, and
(b) does not have, in relation to any liability of the law practice to the ADI, any recourse or right (whether by way of set-off counterclaim, charge or otherwise) against money in the account.
(2) Subsection (1) does not relieve an ADI from any liability to which it is subject apart from this Act.
282 Reports, records and information
(1) An ADI at which a trust account is maintained must report any deficiency in the account to the Law Society as soon as practicable after becoming aware of the deficiency. Maximum penalty: 50 penalty units.
(2) An ADI at which a trust account is maintained must report a suspected offence in relation to the trust account to the Law Society as soon as practicable after forming the suspicion. Maximum penalty: 50 penalty units.
(3) An ADI must furnish to the Law Society reports about trust accounts in accordance with the regulations. Maximum penalty: 50 penalty units.
(4) An ADI at which a trust account is maintained must without charge:
(a) produce for inspection or copying by an investigator or external examiner any records relating to the trust account or trust money deposited in the trust account, and
(b) provide the investigator or external examiner with full details of any transactions relating to the trust account or trust money,
on demand by the investigator or external examiner and on production to the ADI of evidence of the appointment of the investigator or the external examiner in relation to the law practice concerned. Maximum penalty: 50 penalty units.
(5) Subsections (1)-(4) apply despite any legislation or duty of confidence to the contrary.
(6) An ADI or an officer or employee of an ADI is not liable to any action for any loss or damage suffered by another person as a result of:
(a) reporting a deficiency in accordance with subsection (1), or
(b) making or furnishing a report in accordance with subsection (2) or (3), or
(c) producing records or providing details in accordance with subsection (4).
Division 6 – Statutory deposits
283 Statutory deposits
(1) The regulations may require a law practice to pay amounts out of a general trust account of the practice into an ADI account maintained by the Law Society.
(2) Without limiting subsection (1), the regulations may provide for the following:
(a) the type of account to be maintained by the Law Society,
(b) the amount of the payments to be made.
(3) All interest on the money in the account is payable to the Law Society on account of the Public Purpose Fund.
(4) This section applies despite any other provision of this Part.
284 Status and repayment of deposited money
(1) Money paid under section 283 (Statutory deposits) into an ADI account maintained by the Law Society:
(a) is held by the Law Society in trust for the law practice depositing the money, and
(b) is repayable on demand.
(2) Subsection (1) does not excuse a failure to comply with section 283 (Statutory deposits).
(3) Until repaid, money deposited under section 283 (Statutory deposits) may be invested by the Law Society:
(a) in accordance with Division 2 of Part 2 of the Trustee Act 1925 as if the money were trust funds, or
(b) on deposit with the Treasurer, or
(c) in an account with any ADI.
(4) All interest on investments made under this section is payable to the Law Society on account of the Public Purpose Fund.
Division 7 – Public Purpose Fund
285 Public Purpose Fund
(1) There is to be established a fund called the "Public Purpose Fund".
(2) The following amounts are to be paid to the credit of the Fund:
(a) interest payable to the Law Society on account of the Public Purposes Fund under section 283 (Statutory deposits), section 284 (Status and repayment of deposited money) and section 288 (Agreements relating to payment of interest on general trust accounts),
(b) such other amounts as are payable to the Fund by or under this Act.
286 Trustees of Public Purpose Fund
(1) There are to be Trustees of the Public Purpose Fund.
(2) The Trustees consist of:
(a) 3 persons appointed by the Attorney General, of whom:
(i) 2 are to be members of the Law Society Council nominated by the President of the Law Society, and
(ii) 1 is to be a person whom the Attorney General considers to have appropriate qualifications and experience to act as a trustee, and
(b) the Director-General.
(3) Schedule 4 has effect with respect to the Trustees.
287 Management and control of Fund
(1) The Trustees are to manage and control the Public Purpose Fund.
(2) The Trustees may invest any amount standing to the credit of the Fund in accordance with Division 2 of Part 2 of the Trustee Act 1925 as if the money were trust funds.
(3) The Trustees may enter into any agreement or arrangement with a person or body under which:
(a) the person or body provides the Trustees with advice concerning the investment of any amount standing to the credit of the Fund, or
(b) the person or body agrees to invest any such amount on behalf of the Trustees.
(4) The Law Society is to administer the Fund on behalf of, and in accordance with the directions of, the Trustees.
288 Agreements relating to payment of interest on general trust accounts
(1) All interest on money in any general trust account at an ADI is payable to the Law Society on account of the Public Purpose Fund.
(2) The Trustees may enter into an agreement with an ADI relating to the manner of payment to the Public Purpose Fund of interest on money in any such trust account at the ADI.
289 Payments from Fund
(1) The Trustees are to pay from the Public Purpose Fund the following:
(a) any amounts payable from the Fund for a purpose referred to in section 290 (Payment of certain costs and expenses from Fund), in accordance with the approval of the Director-General under that section,
(b) any amounts that the Trustees, with the concurrence of the Attorney General, determine should be paid from the Fund for a purpose referred to in section 292 (Discretionary payments from Fund for other purposes),
(c) any amounts required to be paid from the Fund in accordance with an order of the Tribunal under section 566 (3) (Costs),
(d) any costs or expenses incurred in collecting the interest payable to the Fund and in the management or administration of the Fund.
(2) Payments from the Public Purpose Fund may be made from the capital or income of the Fund, at the discretion of the Trustees.
(3) The fact that money is paid out of the Public Purpose Fund under this section does not preclude the recovery of that money in accordance with this Act from any person liable to pay the money. Any such money recovered must be paid to the credit of the Public Purpose Fund.
290 Payment of certain costs and expenses from Fund
(1) Payments are to be made from the Public Purpose Fund for the purpose of meeting the following costs and expenses:
(a) the costs of a Council in making representations, or being represented or heard, under section 30 (Entitlement to be represented, heard and make representations),
(b) the costs of a Council in exercising its functions under Part 2.4 (Legal practice by Australian legal practitioners), including in responding to any appeal referred to in that Part,
(c) the costs of a Council or the Commissioner in exercising its functions in taking action under section 107 (Orders or injunctions), 234 (Supreme Court orders about conditions) or 721 (Injunctions),
(d) the costs of a Council in exercising its functions under Part 2.7 (Legal practice by foreign lawyers), including in responding to any appeal referred to in that Part,
(e) the costs of a Council in exercising its functions under Division 3 of Part 2.2 and Parts 2.5, 2.6 and 3.4,
(f) the costs of the Law Society Council (including its members, employees or agents) in respect of an investigation or external examination under this Part, to the extent that such costs are not recoverable under section 271 (When costs of investigation are debt) or 279 (Law practice liable for costs of examination),
(g) the costs of the Admission Board in connection with an appeal under section 28,
(h) the costs of a Council in connection with an external intervention in relation to a law practice (including costs in connection with an application under section 630 or an appeal under section 649) and any fees, costs and expenses payable from the Fund under section 652 (Fees, legal costs and expenses),
(i) the costs of the Commissioner in exercising functions under Division 7 of Part 2.4,
(j) the costs of the Commissioner or the Tribunal in relation to the administration of Chapter 4,
(k) the costs of a Council or the Commissioner in exercising functions for the purposes of Chapter 4 (Complaints and discipline),
(l) the costs of a Council or the Commissioner in relation to any proceedings in or on appeal from the Supreme Court with respect to the discipline of an Australian legal practitioner or an Australian-registered foreign lawyer, including in relation to proceedings concerning the inherent jurisdiction and powers of the Supreme Court as referred to in section 590 (Jurisdiction of Supreme Court),
(m) the costs of a Council or the Commissioner in connection with the provision of mediators for the mediation of consumer disputes under Chapter 4 or costs disputes under Division 8 of Part 3.2,
(n) the costs of the costs assessors' rules committee in exercising its functions for the purposes of this Act (see section 394 (Rules of procedure for applications),
(o) the costs of the Law Society Council or the Commissioner in connection with an audit of a law practice under section 670,
(p) without limiting any other paragraph, the costs of a Council or the Commissioner in exercising functions under section 85 (Regulation of advertising and other marketing of services) or regulations under that section (including the prosecution of offences under that section or those regulations).
(2) Such payments are to be made by the Trustees in accordance with the approval of the Director-General.
(3) The Director-General is to approve the payment from the Fund of such amounts as the Director-General considers necessary for the purpose of meeting any reasonable costs and expenses referred to in subsection (1), having regard to any budget submitted under section 291 (Submission of budgets to Director-General).
(3A) If the amount of costs or expenses actually expended or incurred by a beneficiary in or in respect of a relevant period:
(a) exceeds the amount approved for payment under subsection (3) in respect of costs or expenses of that kind--the Director-General is to approve payment from the Fund of such additional amount as the Director-General considers necessary and reasonable for the purpose of meeting or contributing to any underpayment, or
(b) is less than the amount approved for payment under subsection (3) in respect of costs or expenses of that kind--the Director-General is to require the beneficiary to repay to the Fund such amount already paid to the beneficiary as the Director-General specifies for the purpose of recouping the whole or a part of any overpayment.
(3B) Instead of dealing with an underpayment or overpayment in accordance with subsection (3A), the Director-General may deal with all or part of the underpayment or overpayment by way of adjustment of amounts approved under subsection (3) for payment to the beneficiary in or in respect of a future period.
(4) An approval is subject to such conditions as the Director-General specifies in the approval.
(5) Payments under this section may be made in advance of or by way of reimbursement of the relevant cost or expense.
291 Submission of budgets and supplementary budgets to Director-General
(1) For the purpose of determining the amount to be paid from the Public Purpose Fund for a purpose referred to in section 290 (Payment of certain costs and expenses from Fund), the Director-General may require the beneficiary of the payment to prepare and submit a budget or supplementary budget to the Director-General, in respect of such period as the Director-General directs, relating to the costs or expenses of the beneficiary (including projected costs and expenses).
(1A) Without limiting subsection (1), a budget or supplementary budget may relate wholly or partly to a past period if the Director-General so directs or approves, whether or not any cost or expense has already been incurred or met by the beneficiary.
(2) The budget or supplementary budget is to include such information as the Director-General directs. In particular, the Director-General may require the provision of information about the administration of the beneficiary.
(3) The Director-General may refuse to approve a payment under section 290 if the beneficiary has failed to submit a budget or supplementary budget as required under this section.
(4) In this section:"beneficiary" of a payment means the person or body to whom or in respect of whom a payment from the Fund may be made.
292 Discretionary payments from Fund for other purposes
(1) The Trustees may from time to time, with the concurrence of the Attorney General, determine that an amount is to be paid from the Public Purpose Fund for any of the following purposes:
(a) the supplementation of any of the following funds:
(i) the Legal Aid Fund,
(ii) the Fidelity Fund,
(iii) the Law and Justice Foundation Fund,
(b) the promotion and furtherance of legal education in New South Wales,
(c) the advancement, improvement and extension of the legal education of members of the community,
(d) the conduct of research into the law, the legal system, law reform and the legal profession and into their impact on the community,
(e) the furtherance of law reform,
(f) the establishment and improvement of law libraries and the expansion of the community's access to legal information,
(g) the collection, assessment and dissemination of information relating to legal education, the law, the legal system, law reform, the legal profession and legal services,
(h) the encouragement, sponsorship or support of projects aimed at facilitating access to legal information and legal services,
(i) the improvement of the access of economically or socially disadvantaged people to the legal system, legal information or legal services.
(2) The Trustees are to invite applications for payments from the Fund for the purposes referred to in this section at such intervals as the Director-General directs.
(3) Before making a payment from the Fund for a purpose other than the supplementation of the Legal Aid Fund, the Trustees are to consider whether adequate provision has been made from the Fund for the purpose of supplementation of the Legal Aid Fund.
(4) The Trustees may approve the making of a payment in advance under this section, but the period with respect to which the payment is made must not exceed 3 years.
(5) A determination of the Trustees under this section may be made only by a unanimous decision of the Trustees. A unanimous decision is a decision supported unanimously at a meeting of the Trustees at which all the Trustees for the time being are present and vote.
(6) This section does not require the Trustees to distribute all of the income or any of the capital of the Public Purpose Fund.
(7) In this section:"Law and Justice Foundation Fund" means the Law and Justice Foundation Fund established under the Law and Justice Foundation Act 2000."Legal Aid Fund" means the Legal Aid Fund established under the Legal Aid Commission Act 1979.
293 Performance audits
(1) The Auditor-General may conduct a performance audit under Division 2A of Part 3 of the Public Finance and Audit Act 1983 of:
(a) the activities of the Commissioner and the Councils for which costs and expenses may be paid from the Public Purpose Fund, and
(b) the present and future liability of the Fund for the payment of those costs and expenses.
(2) The performance audit may be conducted whenever the Auditor-General considers it appropriate.
(3) For the purposes of the performance audit, Division 2A of Part 3 of the Public Finance and Audit Act 1983 applies as if the Attorney General were the head of the relevant authority.
294 Information about Fund to be included in Law Society Council report
(1) As soon as practicable after 30 June in each year, the Trustees are to provide the Law Society Council with a report about the income and expenditure of the Public Purpose Fund for the period of 12 months ending on 30 June in that year.
(2) The Law Society Council is to include a copy of the report of the Trustees in its annual report for the same period under section 700 (Council to submit annual report).
Division 8 – Miscellaneous provisions
295 Restrictions on receipt of trust money
(1) A law practice (other than an incorporated legal practice) must not receive trust money unless a principal holds an Australian practising certificate authorising the receipt of trust money. Maximum penalty: 200 penalty units.
(2), (3) (Repealed)
(4) An incorporated legal practice must not receive trust money unless:
(a) at least one legal practitioner director of the practice holds an Australian practising certificate authorising the receipt of trust money, or
(b) a person is holding an appointment under section 142 (Incorporated legal practice without legal practitioner director) in relation to the practice and the person holds an Australian practising certificate authorising the receipt of trust money, or
(c) the money is received during any period during which the practice:
(i) does not have any legal practitioner directors, and
(ii) is not in default of director requirements under section 142,
so long as there was, immediately before the start of that period, at least one legal practitioner director of the practice who held an Australian practising certificate authorising the receipt of trust money.
Maximum penalty: 200 penalty units.
296 Application of Part to incorporated legal practices and multi-disciplinary partnerships
(1) The obligations imposed on law practices by this Part, and any other provisions of this Act, the regulations or any legal profession rule relating to trust money and trust accounts, apply to an incorporated legal practice or multi-disciplinary partnership only in connection with legal services provided by the practice or partnership.
(2) The regulations may provide that specified provisions of this Part, and any other provisions of this Act, the regulations or any legal profession rule relating to trust money and trust accounts, do not apply to incorporated legal practices or multi-disciplinary partnerships or both or apply to them with specified modifications.
297 Application of Part to community legal centres
(1) The regulations may provide that specified provisions of this Part, and any other provisions of this Act or any provisions of the regulations or legal profession rules relating to trust money and trust accounts, do not apply to complying community legal centres or apply to them with specified modifications.
(2) For the purposes of the application of the provisions of this Part, and any other provisions of this Act or any provisions of the regulations or legal profession rules relating to trust money and trust accounts, to a complying community legal centre:
(a) the obligations and rights of a law practice under those provisions extend to a complying community legal centre that is a body corporate, but only in connection with legal services provided by the centre, and
(b) money received by a law practice on behalf of another person includes money received by any officer or employee of the complying community legal centre on behalf of another person in the course of providing legal services.
(3) In this section:"employee" of a complying community legal centre includes a person whose services are made use of by the community legal centre in connection with the provision of legal services by the centre.
298 Disclosure to clients--money not received or held as trust money
(1) In this section:"non-trust money" means money that is not trust money for the purposes of this Act because of section 244 (Money involved in financial services or investments) or because of a determination under section 245 (Determinations about status of money).
(2) When money entrusted to a law practice is or becomes non-trust money, the practice must, in accordance with this section and the regulations, notify the person who entrusted the money to the practice that:
(a) the money is not treated as trust money for the purposes of this Act and is not subject to any supervision, investigation or audit requirements of this Act, and
(b) a claim against the Fidelity Fund under this Act cannot be made in respect of the money.
Maximum penalty: 20 penalty units.
(3) The notification must be given, in writing, to the person at the time:
(a) the money was entrusted to the law practice, if the money was non-trust money when it was entrusted to the practice, or
(b) the money becomes non-trust money, if the money was trust money when it was entrusted to the practice.
(4) The regulations may make provision for or with respect to the form and manner in which notification required by this section is to be given and the contents of the notification.
299 Disclosure of accounts used to hold money entrusted to law practice or legal practitioner associate
(1) A law practice must, in accordance with the regulations, notify the appropriate Council of the details required by the regulations of each account maintained at an ADI in which the practice or any legal practitioner associate of the practice holds money entrusted to the practice or legal practitioner associate. Maximum penalty: 50 penalty units.
(2) Subsection (1) applies whether or not the money is trust money and whether or not section 244 (Money involved in financial services or investments) or 245 (Determinations about status of money) applies to the money.
300 Regulations
The regulations may make provision for or with respect to any matter to which this Part relates, including for or with respect to:

(a) the establishment, maintenance and closure of general trust accounts and controlled money accounts, and
(b) the manner of receiving, depositing, withdrawing, making records about and otherwise dealing with and accounting for trust money, and
(c) without limiting paragraph (a) or (b):
(i) the keeping and reconciliation of trust records, and
(ii) the establishment and keeping of trust ledger accounts, and
(iii) the establishment and keeping of records about controlled money and transit money, and
(iv) the establishment and keeping of registers of powers and estates where trust money is involved, and
(v) the recording of information about the investment of trust money, and
(vi) the furnishing of statements regarding trust money, and
(d) the notification to the Law Society Council of information relating directly or indirectly to matters to which this Part relates, including information about:
(i) trust accounts, trust money and trust records, and
(ii) the proposed or actual termination of a law practice that holds trust money, and
(iii) the proposed or actual termination of engaging in legal practice in this jurisdiction by a law practice that holds trust money, and
(iv) the proposed or actual restructuring of the business of a law practice so that it no longer holds or no longer will hold trust money, and
(e) the creation and exercise of liens over trust money, and
(f) providing exemptions, or providing for the giving of exemptions, from all or any specified requirements of this Part.
Part 3.2 – Costs disclosure and assessment

Division 1 – Preliminary
301 Purposes
The purposes of this Part are as follows:

(a) to provide for law practices to make disclosures to clients regarding legal costs,
(b) to regulate the making of costs agreements in respect of legal services, including conditional costs agreements,
(c) to regulate the billing of costs for legal services,
(d) to provide a mechanism for the assessment of legal costs and the setting aside of certain costs agreements.
302 Definitions
(1) In this Part:"bill" means a bill of costs for providing legal services."business day" means a day other than a Saturday, a Sunday or a bank or public holiday."conditional costs agreement" means a costs agreement that provides that the payment of some or all of the legal costs is conditional on the successful outcome of the matter to which those costs relate, as referred to in section 323 (Conditional costs agreements), but does not include a costs agreement to the extent to which section 324 (Conditional costs agreement involving uplift fees) or section 325 (Contingency fees are prohibited) applies."costs" includes fees, charges, disbursements, expenses and remuneration."costs agreement" means an agreement about the payment of legal costs."costs assessment" means an assessment of legal costs under Division 11."costs assessor" means a person appointed as a costs assessor under Division 11."disbursements" includes outlays."fixed costs provision" means a determination, scale, arrangement or other provision fixing the costs or maximum costs of any legal services that is made by or under legislation."itemised bill" means a bill that specifies in detail how the legal costs are made up in a way that would allow them to be assessed under Division 11."litigious matter" means a matter that involves, or is likely to involve, the issue of proceedings in a court or tribunal. A matter is a litigious matter when proceedings are initiated or at any stage when proceedings are reasonably likely."lump sum bill" means a bill that describes the legal services to which it relates and specifies the total amount of the legal costs."public authority" means an authority or body (whether a body corporate or not) established or incorporated for a public purpose by a law of a jurisdiction or of the Commonwealth, and includes a body corporate incorporated under a law of a jurisdiction or of the Commonwealth in which a jurisdiction or the Commonwealth has a controlling interest."sophisticated client" means a client to whom, because of section 312 (1) (c) or (d), disclosure under section 309 or 310 (1) is not or was not required."third party payer" --see section 302A (Terms relating to third party payers)."uplift fee" means additional legal costs (excluding disbursements) payable under a costs agreement on the successful outcome of the matter to which the agreement relates.
(2) In this Part, a reference to a law practice includes a reference to:
(a) in the case of a person who was a sole practitioner when the legal services concerned were provided:
(i) the former sole practitioner, or
(ii) the executor of the will of the former sole practitioner, or
(iii) the trustee or administrator of the estate of the former sole practitioner, and
(b) subject to any other applicable arrangements:
(i) the persons who were the partners of a former law firm or multi-disciplinary partnership when the legal services concerned were provided, and
(ii) in the case of a law firm or multi-disciplinary partnership where there has been a change of partners since the legal services concerned were provided--subject to any other applicable arrangements, the firm or partnership as currently constituted, and
(iii) the assignee of a law practice or former law practice, and
(iv) the receiver of a law practice or former law practice appointed under this Act, and

(c) any person of a class prescribed by the regulations for the purposes of this

subsection.
302A Terms relating to third party payers
(1) For the purposes of this Part:
(a) a person is a "third party payer", in relation to a client of a law practice, if the person is not the client and:
(i) is under a legal obligation to pay all or any part of the legal costs for legal services provided to the client, or
(ii) being under that obligation, has already paid all or a part of those legal costs, and
(b) a third party payer is an "associated third party payer" if the legal obligation referred to in paragraph (a) is owed to the law practice, whether or not it is also owed to the client or another person, and
(c) a third party payer is a "non-associated third party payer" if the legal obligation referred to in paragraph (a) is owed to the client or another person but not the law practice.
(2) The legal obligation referred to in subsection (1) can arise by or under contract or legislation or otherwise.
(3) A law practice that retains another law practice on behalf of a client is not on that account a third party payer in relation to that client.
302B Costs assessment is to take into account GST
A costs assessor (or, in the case of a review of or an appeal against a costs assessment, a panel under Subdivision 5 of Division 11 or a court) is to take into account the GST (within the meaning of the A New Tax System (Goods and Services Tax) Act 1999 of the Commonwealth) referable to the provision of legal services when making or reviewing a determination of legal costs payable.

Division 2 – Application of this Part
303 Application of Part--first instructions rule
This Part applies to a matter if the client first instructs the law practice in relation to the matter in this jurisdiction.

304 Part also applies by agreement or at client's election
(1) This Part applies to a matter if:
(a) either:
(i) this Part does not currently apply to the matter, or
(ii) it is not possible to determine the jurisdiction in which the client first instructs the law practice in relation to the matter, and
(b) either:
(i) the legal services are or will be provided wholly or primarily in this jurisdiction, or
(ii) the matter has a substantial connection with this jurisdiction,
or both, and
(c) either:
(i) the client accepts, in writing or by other conduct, a written offer to enter into an agreement under subsection (2) (a) in respect of the matter, or
(ii) the client gives a notification under subsection (2) (b) in respect of the matter.
(2) For the purposes of subsection (1) (c), the client may:
(a) accept, in writing or by other conduct, a written offer that complies with subsection (2A) to enter into an agreement with the law practice that this Part is to apply to the matter, or
(b) notify the law practice in writing that the client requires this Part to apply to the matter.
(2A) An offer referred to in subsection (2) (a) must clearly state:
(a) that it is an offer to enter into an agreement that this Part is to apply to the matter, and
(b) that the client may accept it in writing or by other conduct, and
(c) the type of conduct that will constitute acceptance.
(3) A notification has no effect for the purposes of subsection (2) (b) if it is given after the period of 28 days after the law practice discloses to the client (under a corresponding law) information about the client's right to make a notification of that kind, but nothing in this subsection prevents an agreement referred to in subsection (2) (a) from coming into effect at any time.
305 Displacement of Part
(1) This section applies if this Part applies to a matter by the operation of section 303 or 304.
(2) This Part ceases to apply to the matter if:
(a) either:
(i) the legal services are or will be provided wholly or primarily in another jurisdiction, or
(ii) the matter has a substantial connection with another jurisdiction,
or both, and
(b) either:
(i) the client enters under the corresponding law of the other jurisdiction into an agreement with the law practice that the corresponding provisions of the corresponding law apply to the matter, or
(ii) the client notifies under the corresponding law of the other jurisdiction (and within the time allowed by the corresponding law) the law practice in writing that the client requires the corresponding provisions of the corresponding law to apply to the matter.
(3) Nothing in this section prevents the application of this Part to the matter by means of a later agreement or notification under section 304.
306 How and when does a client first instruct a law practice?
A client first instructs a law practice in relation to a matter in a particular jurisdiction if the law practice first receives instructions from or on behalf of the client in relation to the matter in that jurisdiction, whether in person or by post, telephone, fax, e-mail or other form of communication.

307 When does a matter have a substantial connection with this jurisdiction?
The regulations may prescribe the circumstances in which, or the rules to be used to determine whether, a matter has or does not have a substantial connection with this jurisdiction for the purposes of this Part.

308 What happens when different laws apply to a matter?
(1) This section applies if this Part applies to a matter for a period and a corresponding law applies for another period.
(2) If this Part applied to a matter for a period and a corresponding law applies to the matter afterwards, this Part continues to apply in respect of legal costs (if any) incurred while this Part applied to the matter.
(3) If a corresponding law applied to a matter for a period and this Part applies to the matter afterwards, this Part does not apply in respect of legal costs (if any) incurred while the corresponding law applied to the matter, so long as the corresponding law continues to apply in respect of those costs.
(4) However:
(a) the client may enter into a written agreement with the law practice that the cost assessment provisions of this Part are to apply in respect of all legal costs incurred in relation to the matter, and Division 11 (Costs assessment) accordingly applies in respect of those legal costs, or
(b) if the client enters into a written agreement with the law practice that the cost assessment provisions of a corresponding law are to apply in respect of all legal costs incurred in relation to the matter, Division 11 accordingly does not apply in respect of those legal costs.
(4A) A written agreement referred to in subsection (4) need not be signed by the client but in that case the client's acceptance must be communicated to the law practice by facsimile transmission, e-mail or some other written form.
(4B) If a corresponding law applied to a matter for a period and this Part applies to the matter afterwards, this Part does not require disclosure of any matters to the extent that they have already been disclosed under a corresponding law.
(5) This section has effect despite any other provisions of this Part.
Division 3 – Costs disclosure
309 Disclosure of costs to clients
(1) A law practice must disclose to a client in accordance with this Division:
(a) the basis on which legal costs will be calculated, including whether a fixed costs provision applies to any of the legal costs, and
(b) the client's right to:
(i) negotiate a costs agreement with the law practice, and
(ii) receive a bill from the law practice, and
(iii) request an itemised bill after receipt of a lump sum bill, and
(iv) be notified under section 316 of any substantial change to the matters disclosed under this section, and
(c) an estimate of the total legal costs if reasonably practicable or, if that is not reasonably practicable, a range of estimates of the total legal costs and an explanation of the major variables that will affect the calculation of those costs, and
(d) details of the intervals (if any) at which the client will be billed, and
(e) the rate of interest (if any), whether a specific rate or a benchmark rate, that the law practice charges on overdue legal costs, whether that rate is a specific rate of interest or is a benchmark rate of interest (as referred to in subsection (1A)), and
(f) if the matter is a litigious matter, an estimate of:
(i) the range of costs that may be recovered if the client is successful in the litigation, and
(ii) the range of costs the client may be ordered to pay if the client is unsuccessful, and
(g) the client's right to progress reports in accordance with section 318, and
(h) details of the person whom the client may contact to discuss the legal costs, and
(i) the following avenues that are open to the client in the event of a dispute in relation to legal costs:
(i) costs assessment under Division 11,
(ii) the setting aside of a costs agreement or a provision of a costs agreement under section 328 (Setting aside costs agreements or provisions of costs agreements),
(iii) mediation under Division 8, and
(j) any time limits that apply to the taking of any action referred to in paragraph (i), and
(k) that the law of this jurisdiction applies to legal costs in relation to the matter, and
(l) information about the client's right:
(i) to accept under a corresponding law a written offer to enter into an agreement with the law practice that the corresponding provisions of the corresponding law apply to the matter, or
(ii) to notify under a corresponding law (and within the time allowed by the corresponding law) the law practice in writing that the client requires the corresponding provisions of the corresponding law to apply to the matter.
The client's right to sign an agreement or give a notification as mentioned in paragraph (l) will be under provisions of the law of the other jurisdiction that correspond to section 304 (Part also applies by agreement or at client's election).
(1A) For the purposes of subsection (1) (e), a benchmark rate of interest is a rate of interest for the time being equal to or calculated by reference to a rate of interest that is specified or determined from time to time by an ADI or another body or organisation, or by or under other legislation, and that is publicly available.
(1B) The regulations may make provision for or with respect to the use of benchmark rates of interest, and in particular for or with respect to permitting, regulating or preventing the use of particular benchmark rates or particular kinds of benchmark rates.
(2) For the purposes of subsection (1) (f), the disclosure must include:
(a) a statement that an order by a court for the payment of costs in favour of the client will not necessarily cover the whole of the client's legal costs, and
(b) if applicable, a statement that disbursements may be payable by the client even if the client enters a conditional costs agreement.
(3) A law practice may disclose any or all of the details referred to in subsection (1) (b) (i)-(iii), (g), (i), (j) and (l) in or to the effect of a form prescribed by the regulations for the purposes of this subsection, and if it does so at the time the other details are disclosed as required by this section the practice is taken to have complied with this section in relation to the details so disclosed.
310 Disclosure if another law practice is to be retained
(1) If a law practice intends to retain another law practice on behalf of the client, the first law practice must disclose to the client the details specified in section 309 (1) (a), (c) and (d) in relation to the other law practice, in addition to any information required to be disclosed to the client under section 309.
(2) A law practice retained or to be retained on behalf of a client by another law practice is not required to make disclosure to the client under section 309, but must disclose to the other law practice the information necessary for the other law practice to comply with subsection (1).
(3) This section does not apply if the first law practice ceases to act for the client in the matter when the other law practice is retained.
An example of the operation of this section is where a barrister is retained by a firm of solicitors on behalf of a client of the firm. The barrister must disclose to the firm details of the barrister's legal costs and billing arrangements, and the firm must disclose those details to the client. The barrister is not required to make a disclosure directly to the client.

311 How and when must disclosure be made to a client?
(1) Disclosure under section 309 must be made in writing before, or as soon as practicable after, the law practice is retained in the matter.
(2) Disclosure under section 310 (1) must be made in writing before, or as soon as practicable after, the other law practice is retained.
(3) Disclosure made to a person before the law practice is retained in a matter is taken to be disclosure to the person as a client for the purposes of sections 309 and 310.
312 Exceptions to requirement for disclosure
(1) Disclosure under section 309 or 310 (1) is not required to be made in any of the following circumstances:
(a) if the total legal costs in the matter, excluding disbursements, are not likely to exceed $750 (exclusive of GST) or the amount prescribed by the regulations (whichever is higher),
(b) if:
(i) the client has received one or more disclosures under section 309 or 310 (1) from the law practice in the previous 12 months, and
(ii) the client has agreed in writing to waive the right to disclosure, and
(iii) a principal of the law practice decides on reasonable grounds that, having regard to the nature of the previous disclosures and the relevant circumstances, the further disclosure is not warranted,
(c) if the client is:
(i) a law practice or an Australian legal practitioner, or
(ii) a public company, a subsidiary of a public company, a large proprietary company, a foreign company, a subsidiary of a foreign company or a registered Australian body (each within the meaning of the Corporations Act 2001 of the Commonwealth), or
(iii) a financial services licensee (within the meaning of that Act), or
(iv) a liquidator, administrator or receiver (as respectively referred to in that Act), or
(v) a partnership that carries on the business of providing professional services if the partnership consists of more than 20 members or if the partnership would be a large proprietary company (within the meaning of that Act) if it were a company, or
(vi) a proprietary company (within the meaning of that Act) formed for the purpose of carrying out a joint venture, if any shareholder of the company is a person to whom disclosure of costs is not required, or
(vii) an unincorporated group of participants in a joint venture, if one or more members of the group are persons to whom disclosure of costs is not required and one or more members of the group are not such persons and if all of the members of the group who are not such persons have indicated that they waive their right to disclosure, or
(viii) a Minister of the Crown in right of a jurisdiction or the Commonwealth acting in his or her capacity as such, or a government department or public authority of a jurisdiction or the Commonwealth,
(d) if the legal costs or the basis on which they will be calculated have or has been agreed as a result of a tender process,
(e) if the client will not be required to pay the legal costs or they will not otherwise be recovered by the law practice, For instance, disclosure would not be required where the law practice acts in the matter on a pro bono basis.
(f) in any circumstances prescribed by the regulations.
(2) Despite subsection (1) (a), if a law practice becomes aware that the total legal costs are likely to exceed $750 (exclusive of GST) or the amount prescribed by the regulations (whichever is higher), the law practice must disclose the matters in section 309 or 310 (as the case requires) to the client as soon as practicable.
(3) A law practice must ensure that a written record of a principal's decision that further disclosure is not warranted as mentioned in subsection (1) (b) is made and kept with the files relating to the matter concerned.
(4) The reaching of a decision referred to in subsection (3) otherwise than on reasonable grounds is capable of being unsatisfactory professional conduct or professional misconduct on the part of the principal.
(5) Nothing in this section affects or takes away from any client's right:
(a) to progress reports in accordance with section 318, or
(b) to obtain reasonable information from the law practice in relation to any of the matters specified in section 309, or
(c) to negotiate a costs agreement with a law practice and to obtain a bill from the law practice.
313 Additional disclosure--settlement of litigious matters
(1) If a law practice negotiates the settlement of a litigious matter on behalf of a client, the law practice must disclose to the client, before the settlement is executed:
(a) a reasonable estimate of the amount of legal costs payable by the client if the matter is settled (including any legal costs of another party that the client is to pay), and
(b) a reasonable estimate of any contributions towards those costs likely to be received from another party.
(2) A law practice retained on behalf of a client by another law practice is not required to make a disclosure to the client under subsection (1), if the other law practice makes the disclosure to the client before the settlement is executed.
314 Additional disclosure--uplift fees
(1) If a costs agreement involves an uplift fee, the law practice must, before entering into the agreement, disclose to the client in writing:
(a) the law practice's legal costs, and
(b) the uplift fee (or the basis of calculation of the uplift fee), and
(c) the reasons why the uplift fee is warranted.
(2) A law practice is not required to make a disclosure under subsection (1) to a sophisticated client.
315 Form of disclosure
(1) Written disclosures to a client under this Division:
(a) must be expressed in clear plain language, and
(b) may be in a language other than English if the client is more familiar with that language.
(2) If the law practice is aware that the client is unable to read, the law practice must arrange for the information required to be given to a client under this Division to be conveyed orally to the client in addition to providing the written disclosure.
316 Ongoing obligation to disclose
A law practice must, in writing, disclose to a client any substantial change to anything included in a disclosure already made under this Division as soon as is reasonably practicable after the law practice becomes aware of that change.

317 Effect of failure to disclose
(1) Postponement of payment of legal costs until assessed If a law practice does not disclose to a client or an associated third party payer anything required by this Division to be disclosed, the client or associated third party payer (as the case may be) need not pay the legal costs unless they have been assessed under Division 11. Under section 369, the costs of an assessment in these circumstances are generally payable by the law practice.
(2) Bar on recovering proceedings until legal costs assessed A law practice that does not disclose to a client or an associated third party payer anything required by this Division to be disclosed may not maintain proceedings against the client or associated third party payer (as the case may be) for the recovery of legal costs unless the costs have been assessed under Division 11.
(3) Setting costs agreement aside If a law practice does not disclose to a client or an associated third party payer anything required by this Division to be disclosed and the client or associated third party payer has entered into a costs agreement with the law practice, the client or associated third party payer may also apply under section 328 for the costs agreement to be set aside.
(4) Reduction of legal costs on assessment If a law practice does not disclose to a client or an associated third party payer anything required by this Division to be disclosed, then, on an assessment of the relevant legal costs, the amount of the costs may be reduced by an amount considered by the costs assessor to be proportionate to the seriousness of the failure to disclose.
(5) Effect on legal costs where law practice retains another law practice that fails to disclose If a law practice retains another law practice on behalf of a client and the first law practice fails to disclose something to the client solely because the retained law practice failed to disclose relevant information to the first law practice as required by section 310 (2), then subsections (1)-(4):
(a) do not apply to the legal costs owing to the first law practice on account of legal services provided by it, to the extent that the non-disclosure by the first law practice was caused by the failure of the retained law practice to disclose the relevant information, and
(b) do apply to the legal costs owing to the retained law practice.
(6) Circumstances where associated third party payer involved In a matter involving both a client and an associated third party payer where disclosure has been made to one of them but not the other:
(a) subsection (1) does not affect the liability of the one to whom disclosure was made to pay the legal costs, and
(b) subsection (2) does not prevent proceedings being maintained against the one to whom the disclosure was made for the recovery of those legal costs.
(7) Non-disclosure capable of constituting unsatisfactory professional conduct or professional misconduct Failure by a law practice to comply with this Division is capable of being unsatisfactory professional conduct or professional misconduct on the part of any Australian legal practitioner or Australian-registered foreign lawyer involved in the failure.
318 Progress reports
(1) A law practice must give a client, on reasonable request:
(a) a written report of the progress of the matter in which the law practice is retained, and
(b) a written report of the legal costs incurred by the client to date, or since the last bill (if any), in the matter.
(2) A law practice may charge a client a reasonable amount for a report under subsection (1) (a) but must not charge a client for a report under subsection (1) (b).
(3) A law practice retained on behalf of a client by another law practice is not required to give a report to the client under subsection (1), but must disclose to the other law practice any information necessary for the other law practice to comply with that subsection.
(4) Subsection (3) does not apply if the other law practice ceases to act for the client in the matter when the law practice is retained.
318A Disclosure to associated third party payers
(1) If a law practice is required to make a disclosure to a client of the practice under this Division, the practice must, in accordance with subsections (2) and (3), also make the same disclosure to any associated third party payer for the client, but only to the extent that the details or matters disclosed are relevant to the associated third party payer and relate to costs that are payable by the associated third party payer in respect of legal services provided to the client.
(2) A disclosure under subsection (1) must be made in writing:
(a) at the time the disclosure to the client is required under this Division, or
(b) if the law practice only afterwards becomes aware of the legal obligation of the associated third party payer to pay legal costs of the client--as soon as practicable after the practice became aware of the obligation.
(3) Section 315 (Form of disclosure) applies to a disclosure to an associated third party payer under subsection (1) in the same way as it applies to a client.
(4) An associated third party payer for a client of a law practice has the same right as the client to obtain reports under section 318 (Progress reports) of legal costs incurred by the client, but only to the extent that the costs are payable by the associated third party payer in respect of legal services provided to the client, and the law practice must comply with that section accordingly.
Division 4 – Legal costs generally
319 On what basis are legal costs recoverable?
(1) Subject to the provisions of this Part, legal costs are recoverable:
(a) in accordance with an applicable fixed costs provision, or
(b) if paragraph (a) does not apply, under a costs agreement made in accordance with Division 5 or the corresponding provisions of a corresponding law, or
(c) if neither paragraph (a) or (b) applies, according to the fair and reasonable value of the legal services provided.
(2) However, the following kinds of costs are not recoverable:
(a) the costs associated with the preparation of a bill for a client,
(b) the costs associated with the making of disclosures for the purposes of Division 3,
(c) the costs associated with the making of a costs agreement with a client.
320 Security for legal costs
A law practice may take reasonable security from a client for legal costs (including security for the payment of interest on unpaid legal costs).

321 Interest on unpaid legal costs
(1) A law practice may charge interest on unpaid legal costs if the costs are unpaid 30 days or more after the practice has given a bill for the costs in accordance with this Part.
(2) A law practice may also charge interest on unpaid legal costs in accordance with a costs agreement.
(3) A law practice must not charge interest under subsection (1) or (2) on unpaid legal costs unless the bill for those costs contains a statement that interest is payable and of the rate of interest.
(4) A law practice may not charge interest under this section or under a costs agreement at a rate that exceeds the rate prescribed by the regulations.
(5) Subsection (1) applies in relation to a bill of costs given in the form of a lump sum bill even if the client afterwards requests or is afterwards given an itemised bill.
Division 5 – Costs agreements
322 Making costs agreements
(1) A costs agreement may be made:
(a) between a client and a law practice retained by the client, or
(b) between a client and a law practice retained on behalf of the client by another law practice, or
(c) between a law practice and another law practice that retained that law practice on behalf of a client, or
(d) between a law practice and an associated third party payer.
(2) A costs agreement must be written or evidenced in writing.
(3) A costs agreement may consist of a written offer in accordance with subsection (4) that is accepted in writing or by other conduct. Acceptance by other conduct is not permitted for conditional costs agreements--see section 323 (3) (c) (i).
(4) The offer must clearly state:
(a) that it is an offer to enter into a costs agreement, and
(b) that the client may accept it in writing or by other conduct, and
(c) the type of conduct that will constitute acceptance.
(5) Except as provided by section 395A, a costs agreement cannot provide that the legal costs to which it relates are not subject to costs assessment under Division 11. If it attempts to do so, the costs agreement will be void--see section 327 (1).
(6) A reference in section 328 and in any prescribed provisions of this Part to a client is, in relation to a costs agreement that is entered into between a law practice and an associated third party payer as referred to in subsection (1) (d) and to which a client of the law practice is not a party, a reference to the associated third party payer.
323 Conditional costs agreements
(1) A costs agreement may provide that the payment of some or all of the legal costs is conditional on the successful outcome of the matter to which those costs relate.
(2) A conditional costs agreement may relate to any matter, except a matter that involves criminal proceedings or proceedings under the Family Law Act 1975 of the Commonwealth.
(3) A conditional costs agreement:
(a) must set out the circumstances that constitute the successful outcome of the matter to which it relates, and
(b) may provide for disbursements to be paid irrespective of the outcome of the matter, and
(c) must be:
(i) in writing, and
(ii) in clear plain language, and
(iii) signed by the client, and
(d) must contain a statement that the client has been informed of the client's right to seek independent legal advice before entering into the agreement, and
(e) must contain a cooling-off period of not less than 5 clear business days during which the client, by written notice, may terminate the agreement.
(4) Subsection (3) (c) (iii), (d) and (e) do not apply to a conditional costs agreement made under section 322 (1) (c) (Costs agreements between law practices).
(4A) Subsection (3) (c) (iii), (d) and (e) do not apply to a conditional costs agreement if disclosure under:
(a) section 309 (Disclosure of costs to clients), or
(b) section 310 (1) (Disclosure if another law practice is to be retained),
in relation to the agreement was not or would not be required in the circumstances referred to in section 312 (1) (c) or (d) (Exceptions to requirement for disclosure).
(4B) Subsection (3) (c) (iii), (d) and (e) do not apply to a conditional costs agreement made with a sophisticated client.
(5) If a client terminates an agreement within the period referred to in subsection (3) (e), the law practice:
(a) may recover only those legal costs in respect of legal services performed for the client before that termination that were performed on the instructions of the client and with the client's knowledge that the legal services would be performed during that period, and
(b) without affecting the generality of paragraph (a), may not recover the uplift fee (if any).
324 Conditional costs agreements involving uplift fees
(1) A law practice must not enter into a conditional costs agreement in relation to a claim for damages that provides for the payment of an uplift fee on the successful outcome of the claim to which the fee relates.
(2) Except as provided by subsection (1), a conditional costs agreement may provide for the payment of an uplift fee.
(3) The basis of calculation of the uplift fee must be separately identified in the agreement.
(4) The agreement must contain an estimate of the uplift fee or, if that is not reasonably practicable:
(a) a range of estimates of the uplift fee, and
(b) an explanation of the major variables that will affect the calculation of the uplift fee.
(5) If a conditional costs agreement relates to a litigious matter, the uplift fee must not exceed 25% of the legal costs (excluding disbursements) otherwise payable.
(6) A law practice must not enter into a costs agreement in contravention of this section.
Maximum penalty: 100 penalty units.

325 Contingency fees are prohibited
(1) A law practice must not enter into a costs agreement under which the amount payable to the law practice, or any part of that amount, is calculated by reference to:
(a) (Repealed)
(b) the amount of any award or settlement or the value of any property that may be recovered in any proceedings to which the agreement relates.
Maximum penalty: 100 penalty units.
(2) Subsection (1) does not apply to the extent that the costs agreement adopts an applicable fixed costs provision.
326 Effect of costs agreement
Subject to this Division and Division 11, a costs agreement may be enforced in the same way as any other contract.

327 Certain costs agreements are void
(1) A costs agreement that contravenes, or is entered into in contravention of, any provision of this Division is void.
(2) Subject to this section and Division 11, legal costs under a void costs agreement are recoverable as set out in section 319 (1) (a) or (c) (On what basis are legal costs recoverable?).
(3) However, a law practice is not entitled to recover any amount in excess of the amount that the law practice would have been entitled to recover if the costs agreement had not been void and must repay any excess amount received.
(3A) A law practice that has entered into a costs agreement in contravention of section 324 (2)-(5) (Conditional costs agreements involving uplift fees) is not entitled to recover the whole or any part of the uplift fee and must repay any amount received in respect of the uplift fee to the person from whom it was received.
(4) A law practice that has entered into a costs agreement in contravention of section 324 (1) (Conditional costs agreements involving uplift fees) or 325 (Contingency fees are prohibited) is not entitled to recover any amount in respect of the provision of legal services in the matter to which the costs agreement related and must repay any amount received in respect of those services to the person from whom it was received.
(5) If a law practice does not repay an amount required by subsection (3) or (4) to be repaid, the person entitled to be repaid may recover the amount from the law practice as a debt in a court of competent jurisdiction.
328 Setting aside costs agreements or provisions of costs agreements
(1) On application by a client, a costs assessor may order that a costs agreement or a provision of a costs agreement be set aside if satisfied that the agreement is not fair or reasonable. Section 317 (2) also enables a client to make an application under this section for an order setting aside a costs agreement or a provision of a costs agreement where the law practice concerned has failed to make the disclosures concerning costs required by Division 3.
(1A) The costs assessor may:
(a) set aside merely a provision of the costs agreement even if the client applied for the whole agreement to be set aside, or
(b) set aside the whole costs agreement even if the client applied merely for a provision of the agreement to be set aside.
(2) In determining whether or not a costs agreement is fair or reasonable, and without limiting the matters to which the costs assessor can have regard, the costs assessor may have regard to any or all of the following matters:
(a) whether the client was induced to enter into the agreement by the fraud or misrepresentation of the law practice or of any representative of the law practice,
(b) whether any Australian legal practitioner or Australian-registered foreign lawyer acting on behalf of the law practice has been found guilty of unsatisfactory professional conduct or professional misconduct in relation to the provision of legal services to which the agreement relates,
(c) whether the law practice failed to make any of the disclosures required under Division 3,
(d) the circumstances and the conduct of the parties before and when the agreement was made,
(e) the circumstances and the conduct of the parties in the matters after the agreement was made,
(f) whether and how the agreement addresses the effect on costs of matters and changed circumstances that might foreseeably arise and affect the extent and nature of legal services provided under the agreement,
(g) whether and how billing under the agreement addresses changed circumstances affecting the extent and nature of legal services provided under the agreement.
(3) The costs assessor may decline to deal with an application under this section pending the completion of any investigation or determination of any information in relation to the conduct of any Australian legal practitioner or Australian-registered foreign lawyer.
(4) If the costs assessor determines that a costs agreement or a provision of a costs agreement be set aside, the assessor may make an order in relation to the payment of legal costs the subject of the agreement or the provision of the agreement.
(5) In making an order under subsection (4), the costs assessor must determine the fair and reasonable legal costs in relation to the work to which the agreement or the provision of the agreement related, taking into account:
(a) the seriousness of the conduct of the law practice or any Australian legal practitioner or Australian-registered foreign lawyer acting on its behalf, and
(b) whether or not it was reasonable to carry out the work, and
(c) whether or not the work was carried out in a reasonable manner.
(6) In making an order under subsection (4), the costs assessor may not order the payment of an amount in excess of the amount that the law practice would have been entitled to recover if the costs agreement or the provision of the costs agreement had not been set aside.
(7) For the purposes of subsection (5), the costs assessor may have regard to any or all of the following matters:
(a) whether the law practice and any Australian legal practitioner or Australian-registered foreign lawyer acting on its behalf complied with any relevant legislation or legal profession rules,
(b) any disclosures made by the law practice under Division 3, or the failure to make any disclosures required under that Division,
(c) any relevant advertisement as to:
(i) the law practice's costs, or
(ii) the skills of the law practice or of any Australian legal practitioner or Australian-registered foreign lawyer acting on its behalf,
(d) the skill, labour and responsibility displayed on the part of the Australian legal practitioner or Australian-registered foreign lawyer responsible for the matter,
(e) the retainer and whether the work done was within the scope of the retainer,
(f) the complexity, novelty or difficulty of the matter,
(g) the quality of the work done,
(h) the place where, and circumstances in which, the work was done,
(i) the time within which the work was required to be done,
(j) any other relevant matter.
(8) The costs assessor may determine whether or not a costs agreement exists.
(9) The costs assessor may order the payment of the costs of and incidental to determining an application under this section.
(9A) A costs assessor must ensure that an order or determination under this section is accompanied by a statement of the reasons for the order or determination.
(10) A party to a costs agreement may apply to the Manager, Costs Assessment under section 373 for a review of a determination to make, or not make, an order under subsection (1) or (4).
(11) Subdivision 6 (Appeals) of Division 11 applies in relation to a determination to make, or not make, an order under subsection (1) or (4) as if references in that Subdivision to an application for a costs assessment were references to an application to set aside a costs agreement or a provision of a costs agreement.
(12) In this section:"client" means a person to whom or for whom legal services are or have been provided.
See also section 322 (6), which extends the application of this section to associated third party payers.

Division 6 – Costs fixed by regulations
329 Regulations to provide for fixed costs
(1) The regulations may make provision for or with respect to the following:
(a) fixing fair and reasonable costs for legal services provided in any workers compensation matter,
(b) fixing the costs payable for legal services provided in connection with any claim for personal injury damages (within the meaning of the Civil Liability Act 2002),
(b1) fixing the costs payable for legal services provided in connection with small claims applications (within the meaning of section 379 of the Industrial Relations Act 1996),
(c) fixing the costs payable for the enforcement of a lump sum debt or liquidated sum for damages,
(d) fixing the costs payable for the enforcement of a judgment by a judgment creditor,
(e) fixing the costs payable for legal services provided in respect of probate or the administration of estates,
(f) fixing an amount of costs for a matter that is not a legal service but is related to proceedings (for example, expenses for witnesses).
(2) A law practice is not entitled to be paid or recover for a legal service an amount that exceeds the fair and reasonable cost fixed for the service by the regulations under this section.
330 Provisions relating to regulations generally
(1) The regulations may fix a cost under this Division for a particular legal service, for a class of legal services or for any part of a legal service.
(2) The regulations may fix a cost under this Division:
(a) as a gross amount for legal services, or
(b) as an amount for specified elements in the legal services provided (for example, documents prepared), or
(c) in any other manner.
Division 7 – Billing
331 Legal costs cannot be recovered unless bill has been served
(1) Subject to section 332A (Person may request itemised bill), a law practice must not commence legal proceedings to recover legal costs from a person until at least 30 days after the law practice has given a bill to the person in accordance with sections 332 (Bills) and 333 (Notification of client's rights).
(2) The Supreme Court may make an order authorising a law practice to commence legal proceedings against a person sooner if satisfied that:
(a) the law practice has given a bill to the person in accordance with sections 332 and 333, and
(b) the person is about to leave this jurisdiction.
(3) A court or tribunal before which any proceedings are brought in contravention of subsection (1) must stay those proceedings on the application of a party, or on its own initiative.
(4) This section applies whether or not the legal costs are the subject of a costs agreement.
332 Bills
(1) A bill may be in the form of a lump sum bill or an itemised bill.
(2) A bill must be signed on behalf of a law practice by an Australian legal practitioner or an employee of the law practice.
(3) It is sufficient compliance with subsection (2) if a letter signed on behalf of a law practice by an Australian legal practitioner or an employee of the law practice is attached to, or enclosed with, the bill.
(4) A bill or letter is taken to have been signed by a law practice that is an incorporated legal practice if it has the practice's seal affixed to it or is signed by a legal practitioner director of the practice or an officer or employee of the practice who is an Australian legal practitioner.
(5) A bill is to be given to a person:
(a) by delivering it personally to the person or to an agent of the person, or
(b) by sending it by post to the person or agent at:
(i) the usual or last known business or residential address of the person or agent, or
(ii) an address nominated for the purpose by the person or agent, or
(c) by leaving it for the person or agent at:
(i) the usual or last known business or residential address of the person or agent, or
(ii) an address nominated for the purpose by the person or agent,
with a person on the premises who is apparently at least 16 years old and apparently employed or residing there, or
(d) by sending it by facsimile transmission to a number specified by the person (by correspondence or otherwise) as a number to which facsimile transmissions to that person may be sent, or
(e) by delivering it to the appropriate place in a document exchange in which the person has receiving facilities, or
(f) in any other way authorised by the regulations.
(6) A reference in subsection (5) to any method of giving a bill to a person includes a reference to arranging for the bill to be given to that person by that method (for example, by delivery by courier).
(6A) Despite anything in subsections (2)-(6), a bill may be given to a client electronically if the client is a sophisticated client and requested the bill to be given electronically.
(7) In this section:"agent" of a person means an agent, law practice or Australian legal practitioner who has authority to accept service of legal process on behalf of the person.
332A Request for itemised bill
(1) If a bill is given by a law practice in the form of a lump sum bill, any person who is entitled to apply for an assessment of the legal costs to which the bill relates may request the law practice to give the person an itemised bill.
(2) The law practice must comply with the request within 21 days after the date on which the request is made.
(3) If the person making the request is liable to pay only a part of the legal costs to which the bill relates, the request for an itemised bill may only be made in relation to those costs that the person is liable to pay.
(4) Subject to subsection (5), a law practice must not commence legal proceedings to recover legal costs from a person who has been given a lump sum bill until at least 30 days after the date on which the person is given the bill.
(5) If the person makes a request for an itemised bill in accordance with this section, the law practice must not commence legal proceedings to recover the legal costs from the person until at least 30 days after complying with the request.
(6) A law practice is not entitled to charge a person for the preparation of an itemised bill requested under this section.
(7) Section 332 (2), (5) and (6) apply to the giving of an itemised bill under this section.
333 Notification of client's rights
(1) A bill must include or be accompanied by a written statement setting out:
(a) the following avenues that are open to the client in the event of a dispute in relation to legal costs:
(i) costs assessment under Division 11,
(ii) the setting aside of a costs agreement or a provision of a costs agreement under section 328 (Setting aside costs agreements or provisions of costs agreements),
(iii) mediation under Division 8, and
(b) any time limits that apply to the taking of any action referred to in paragraph (a).
These matters will already have been disclosed under section 309 (1) (Disclosure of costs to clients).
(2) Subsection (1) does not apply to a bill if disclosure under:
(a) section 309 (Disclosure of costs to clients), or
(b) section 310 (1) (Disclosure if another law practice is to be retained),
in relation to the relevant costs agreement was not or would not be required in the circumstances referred to in section 312 (1) (c) or (d) (Exceptions to requirement for disclosure).
(3) Subsection (1) does not apply in relation to a sophisticated client.
(4) A law practice may provide the written statement referred to in subsection (1) in or to the effect of a form prescribed by the regulations for the purposes of this subsection, and if it does so the practice is taken to have complied with this section in relation to the statement.
334 Interim bills
(1) A law practice may give a person an interim bill covering part only of the legal services the law practice was retained to provide.
(2) Legal costs that are the subject of an interim bill may be assessed under Division 11 (Costs assessment), either at the time of the interim bill or at the time of the final bill, whether or not the interim bill has been paid.
Division 8 – Mediation of costs disputes
335 Meaning of "client" and "costs dispute"
In this Division:

"client" has the same meaning as in section 350 (Application by clients for costs assessment).

"costs dispute" means a dispute between a client and an Australian legal practitioner concerning a bill, and includes a dispute over an amount claimed to be payable under a costs agreement.

336 Referral for mediation
(1) A client who is given a bill may refer a costs dispute about the bill to the Commissioner or to a Council for mediation if the amount in dispute is less than $10,000.
(2) The Manager, Costs Assessment may refer a costs dispute about a bill to the Commissioner if the amount in dispute is less than $10,000.
(3) The Manager, Costs Assessment may, by notice in writing, require the client and the Australian legal practitioner concerned to enter into a process of mediation if the amount in dispute is less than $5,000.
(4) A costs dispute about a bill may be referred under this section at any time before an application for an assessment of the whole or part of a bill is accepted by the Manager, Costs Assessment.
(5) Mediation is not limited to formal mediation procedures and extends to encompass preliminary assistance in dispute resolution, such as the giving of informal advice designed to ensure that the parties are fully aware of their rights and obligations and that there is full and open communication between the parties concerning the dispute.
(6) Failure on the part of an Australian legal practitioner to comply with the terms of a notice under subsection (3) is capable of being unsatisfactory professional conduct or professional misconduct.
Division 9 – Maximum costs in personal injury damages matters
337 Interpretation and application
(1) In this Division:"defendant" means a person against whom a claim for personal injury damages is or may be made."party" means plaintiff or defendant."personal injury damages" has the same meaning as in Part 2 of the Civil Liability Act 2002."plaintiff" means a person who makes or is entitled to make a claim for personal injury damages.
(2) This Division does not apply to the following costs:
(a) (Repealed)
(b) costs for legal services provided in respect of a claim under the Motor Accidents Act 1988 or Motor Accidents Compensation Act 1999,
(c) costs for legal services provided in respect of a claim for work injury damages (as defined in the Workplace Injury Management and Workers Compensation Act 1998),
(d) costs for legal services provided in respect of a claim for damages in proceedings of the kind referred to in section 11 (Claims for damages for dust diseases etc to be brought under this Act) of the Dust Diseases Tribunal Act 1989.
338 Maximum costs fixed for claims up to $100,000
(1) If the amount recovered on a claim for personal injury damages does not exceed $100,000, the maximum costs for legal services provided to a party in connection with the claim are fixed as follows:
(a) in the case of legal services provided to a plaintiff--maximum costs are fixed at 20% of the amount recovered or $10,000, whichever is greater,
(b) in the case of legal services provided to a defendant--maximum costs are fixed at 20% of the amount sought to be recovered by the plaintiff or $10,000, whichever is greater.
(2) The regulations may prescribe an amount to replace the amount of $100,000 or $10,000 in subsection (1) and may prescribe a percentage to replace the percentage of 20% in subsection (1). When such a replacement amount or percentage is prescribed, it applies for the purposes of subsection (1) in place of the amount or percentage that it replaces.
(3) The regulations may contain provisions of a savings or transitional nature consequent on the making of regulations under this section.
(4) When the maximum costs for legal services provided to a party are fixed by this Division the following provisions apply (subject to sections 339-341):
(a) a law practice is not entitled to be paid or recover for those legal services an amount that exceeds those maximum costs,
(b) a court or tribunal cannot order the payment by another party to the claim of costs in respect of those legal services in an amount that exceeds that maximum,
(c) in assessing the amount of those costs that is a fair and reasonable amount, a costs assessor cannot determine an amount that exceeds the maximum set by this section.
(5) In this Division:
(a) a reference to legal services provided to a party is a reference to legal services provided to the party by a law practice (including by an associate of the law practice), and
(b) a reference to costs for legal services does not include costs charged as disbursements for services provided by any other person or other disbursements.
(6) If proceedings are commenced on a claim, the amount sought to be recovered by the plaintiff is taken to be the amount sought to be proved by the plaintiff at the hearing of the claim.
(7) Maximum costs fixed by this Division apply despite regulations under section 329 (1) (b) (Regulations to provide for fixed costs) fixing those costs.
338A Maximum costs increased by additional amount for certain claims heard by the District Court
(1) This section applies to a claim for personal injury damages in respect of which the amount recovered does not exceed $100,000 that is made by proceedings heard by the District Court.
(2) If the District Court referred the proceedings to arbitration and, following the arbitration, made an order for a full or limited rehearing of the proceedings concerned on the application of a party, the maximum costs fixed by this Division for legal services provided in connection with the claim to the other party are increased by the additional amount.
(3) If the decision of the District Court in respect of a claim is the subject of an appeal, the maximum costs fixed by this Division for legal services provided in connection with the claim to the party who is the respondent to the appeal are increased by the additional amount or, if subsection (2) also applies to legal services provided to the respondent, by 2 times the additional amount.
(4) For the purposes of this section, the "additional amount" is:
(a) in the case of legal services provided to the plaintiff--15% of the amount recovered, or $7,500, whichever is the greater, and
(b) in the case of legal services provided to the defendant--15% of the amount sought to be recovered by the plaintiff, or $7,500, whichever is the greater.
(5) The regulations may prescribe a percentage to replace the percentage of 15% in subsection (4) and may prescribe an amount to replace the amount of $7,500 in subsection (4). When such a replacement percentage or amount is prescribed, it applies for the purposes of subsection (4) in place of the percentage or amount that it replaces.
(6) The regulations may contain provisions of a savings or transitional nature consequent on the making of regulations under this section.
339 Maximum costs do not affect solicitor-client costs under costs agreements
(1) This Division does not apply to the recovery of costs payable as between a law practice and the practice's client to the extent that recovery of those costs is provided for by a costs agreement that complies with Division 5 (Costs agreements).
(2) The regulations may make provision for or with respect to requiring disclosure by a law practice to the practice's client of information in relation to the effect of a costs agreement in connection with the operation of this Division.
(3) The regulations may provide that a failure by a law practice to comply with the requirements of the regulations under this section disentitles the law practice to the benefit of this section, and in such a case this Division applies in respect of the claim concerned despite the terms of any costs agreement.
340 Costs can be awarded on indemnity basis for costs incurred after failure to accept offer of compromise
(1) If a party to a claim for personal injury damages makes a reasonable offer of compromise on the claim that is not accepted, this Division does not prevent the awarding of costs against another party to be assessed on an indemnity basis in respect of legal services provided after the offer is made.
(2) An offer of compromise on a claim by a party is reasonable if the court determines or makes an order or award on the claim in terms that are no less favourable to the party than the terms of the offer.
(3) The regulations may make provision for or with respect to requiring disclosure by a law practice to the practice's client of information in relation to the operation of this section in respect of any refusal by the client to accept an offer of compromise.
(4) If it appears to the court in which proceedings are taken on a claim for personal injury damages that a law practice has failed to comply with any provision of the regulations under this section, and that the client of the practice has incurred an increased liability for costs as a result of refusing a reasonable offer of compromise in connection with the claim concerned, the court may of its own motion or on the application of the client make either or both of the following orders:
(a) an order directing the law practice to repay to the client the whole or any part of those increased costs that the client has been ordered to pay to any other party,
(b) an order directing the law practice to indemnify any party other than the client against the whole or any part of the costs payable by the party indemnified in respect of legal services provided after the offer is refused.
341 Court may order certain legal services to be excluded from maximum costs limitation
A court hearing a claim for personal injury damages may by order exclude from the operation of this Division legal services provided to a party to the claim if the court is satisfied that the legal services were provided in response to any action on the claim by or on behalf of the other party to the claim that in the circumstances was not reasonably necessary for the advancement of that party's case or was intended or reasonably likely to unnecessarily delay or complicate determination of the claim.

342 Apportionment of maximum costs between law practices
(1) If more than one law practice provides legal services to a party in connection with a claim, the maximum costs fixed by this Division are to be apportioned between them as agreed by them or (failing agreement) as ordered by the court hearing proceedings on the claim. For example, this provision would apply in relation to the provision of legal services by both a firm of solicitors and a barrister.
(2) The maximum then applicable to a particular law practice is the law practice's apportioned share of those maximum costs.
343 Meaning of "amount recovered" on a claim
(1) A reference in this Division to the amount recovered on a claim includes any amount paid under a compromise or settlement of the claim (whether or not legal proceedings have been instituted).
(2) In determining the amount recovered on a claim for personal injury damages, no regard is to be had to any part of the amount recovered that is attributable to costs or to the addition of interest.
Division 10 – Costs in civil claims where no reasonable prospects of success
344 Application of Division
(1) Division extends to appeals This Division extends to legal services in connection with proceedings in a court on appeal as well as a court at first instance.
(2) Legal services provided by both barrister and solicitor If legal services in relation to a particular matter are provided by both a solicitor and a barrister instructed by the solicitor, any function imposed by this Division on a law practice in respect of the provision of the services is to be read as imposing the function on both the solicitor and barrister.
345 Law practice not to act unless there are reasonable prospects of success
(1) A law practice must not provide legal services on a claim or defence of a claim for damages unless a legal practitioner associate responsible for the provision of the services concerned reasonably believes on the basis of provable facts and a reasonably arguable view of the law that the claim or the defence (as appropriate) has reasonable prospects of success.
(2) A fact is provable only if the associate reasonably believes that the material then available to him or her provides a proper basis for alleging that fact.
(3) This Division applies despite any obligation that a law practice or a legal practitioner associate of the practice may have to act in accordance with the instructions or wishes of the client.
(4) A claim has reasonable prospects of success if there are reasonable prospects of damages being recovered on the claim. A defence has reasonable prospects of success if there are reasonable prospects of the defence defeating the claim or leading to a reduction in the damages recovered on the claim.
(5) Provision of legal services in contravention of this section constitutes for the purposes of this Division the provision of legal services without reasonable prospects of success.
346 Preliminary legal work not affected
This Division does not apply to legal services provided as a preliminary matter for the purpose of a proper and reasonable consideration of whether a claim or defence has reasonable prospects of success.

347 Restrictions on commencing proceedings without reasonable prospects of success
(1) The provision of legal services by a law practice without reasonable prospects of success does not constitute an offence but is capable of being unsatisfactory professional conduct or professional misconduct by a legal practitioner associate of the practice who is responsible for the provision of the service or by a principal of the practice.
(2) A law practice cannot file court documentation on a claim or defence of a claim for damages unless a principal of the practice, or a legal practitioner associate responsible for the provision of the legal service concerned, certifies that there are reasonable grounds for believing on the basis of provable facts and a reasonably arguable view of the law that the claim or the defence (as appropriate) has reasonable prospects of success.
(3) Court documentation on a claim or defence of a claim for damages, which has been lodged for filing, is not to be filed in a court or court registry unless accompanied by the certification required by this section. Rules of court may make provision for or with respect to the form of that certification.
(4) In this section:"court documentation" means:
(a) an originating process (including for example, a statement of claim, summons or cross-claim), defence or further pleading, or
(b) an amended originating process, defence or further pleading, or
(c) a document amending an originating process, defence or further pleading, or
(d) any other document of a kind prescribed by the regulations.

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Чернов Сергей Витальевич