- Encouraging appropriate standards of professional behavior is supported by the regulatory requirements ascribed to principals of all law practices under the Legal Profession Uniform Law (NSW) (‘Uniform Law’).
- There is no longer a positive obligation placed upon any type of law practice to implement appropriate management systems.
- Section 34 of the Uniform Law, however, imposes a positive obligation on all principals of all law practices to ensure that reasonable steps are taken to ensure that all legal practitioners in the practice comply with their obligations under the Uniform Law, the Uniform Rules and other professional obligations.
- It is suggested that the first reasonable step a principal should take is to set the tone in the practice by introducing compliance management systems.
There is no doubt that when the principal of a law practice shows leadership on compliance issues, it helps to set the tone for the whole practice. Both the management and staff of the law practice should have a clear understanding that compliance is important to the principals and that they are expected to incorporate compliance into their daily operations.
Encouraging appropriate standards of professional behavior is supported by the regulatory requirements ascribed to principals of all law practices under the Uniform Law.