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Snapshot

  • Principals of a law practice have much greater responsibilities than employed solicitors. Under s 34 Legal Profession Uniform Law,a principal is required to ensure reasonable steps are taken so that all solicitors in the law practice comply with the Uniform Lawand their professional obligations.
  • While ‘reasonable steps’ is not defined, establishing a compliance management system that specifically addresses the needs of the law practice can provide a platform to manage and monitor many compliance risks.
  • Suggestions are made as to how to develop a compliance management system that complies with regulatory obligations and assists in providing consistent legal services.

As a principal of a law practice, you have much greater responsibilities than an employed solicitor.

Section 34 of theLegal Profession Uniform Law (NSW)(‘Uniform Law) requires you to ensure that reasonable steps are taken so that all solicitors in your law practice comply with the Uniform Lawand their professional obligations. You are also required to ensure that reasonable steps are taken so that the legal services provided by your law practice are provided in accordance with the Uniform Law.

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