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20/06/2019

Legal Profession Uniform Law Australian Solicitors’ Conduct Rules 2015 - NSW Legislation

LegalProfessionUniformLawAustralianSolicitors’Conduct Rules2015 Currentversionfor27May2015todate(accessed20June2019at21:28) Statusinformation

NewSouthWales

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Statusinformation Currencyofversion Currentversionfor27May2015todate(accessed20June2019at21:28) Legislationonthissiteisusuallyupdatedwithin3workingdaysafterachangetothelegislation. Provisionsinforce Theprovisionsdisplayedinthisversionofthelegislationhaveallcommenced.SeeHistoricalNotes Authorisation ThisversionofthelegislationiscompiledandmaintainedinadatabaseoflegislationbytheParliamentary Counsel'sOfficeandpublishedontheNSWlegislationwebsite,andiscertifiedastheformofthatlegislationthatis correctundersection45CoftheInterpretationAct1987. Filelastmodified1July2015.

https://www.legislation.nsw.gov.au/#/view/regulation/2015/244/full

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Legal Profession Uniform Law Australian Solicitors’ Conduct Rules 2015 - NSW Legislation

https://www.legislation.nsw.gov.au/#/view/regulation/2015/244/full

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Legal Profession Uniform Law Australian Solicitors’ Conduct Rules 2015 - NSW Legislation

NewSouthWales

Part1Preliminaryrules 1Citation

1.1TheseRulesaredesignatedasLegalProfessionConductRulesandmaybecitedastheLegal ProfessionUniformLawAustralianSolicitors’ConductRules2015. 2Commencement

2.1TheseRulescomeintooperationon1July2015. 3Objective

3.1TheobjectiveoftheseRulesistoassistsolicitorstoactethicallyandinaccordancewiththe principlesofprofessionalconductestablishedbythecommonlawandtheseRules. 4Authorisingprovisions

4.1TheseRulesweredevelopedbytheLawCouncilofAustraliainaccordancewithsection427of theLegalProfessionUniformLawandaremadebytheLegalServicesCouncilunderPart9.2of thatLaw.

Part2Operationalrules NatureandpurposeoftheRules 1Applicationandinterpretation

1.1TheseRulesapplyastheLegalProfessionConductRulesundertheLegalProfessionUniform LawtosolicitorsandAustralianregisteredforeignlawyersactinginthemannerofasolicitor. 1.2ThedefinitionsthatapplyintheseRulesaresetoutintheglossary. 2PurposeandeffectoftheRules

2.1ThepurposeoftheseRulesistoassistsolicitorstoactethicallyandinaccordancewiththe principlesofprofessionalconductestablishedbythecommonlawandtheseRules. 2.2Inconsideringwhetherasolicitorhasengagedinunsatisfactoryprofessionalconductor professionalmisconduct,theRulesapplyinadditiontothecommonlaw. 2.3AbreachoftheseRulesiscapableofconstitutingunsatisfactoryprofessionalconductor professionalmisconduct,andmaygiverisetodisciplinaryactionbytherelevantregulatory authority,butcannotbeenforcedbyathirdparty.

Fundamentaldutiesofsolicitors 3Paramountdutytothecourtandtheadministrationofjustice

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3.1Asolicitor’sdutytothecourtandtheadministrationofjusticeisparamountandprevailstothe extentofinconsistencywithanyotherduty. 4Otherfundamentalethicalduties

4.1Asolicitormustalso: 4.1.1actinthebestinterestsofaclientinanymatterinwhichthesolicitorrepresentstheclient, 4.1.2behonestandcourteousinalldealingsinthecourseoflegalpractice, 4.1.3deliverlegalservicescompetently,diligentlyandaspromptlyasreasonablypossible, 4.1.4avoidanycompromisetotheirintegrityandprofessionalindependence,and 4.1.5complywiththeseRulesandthelaw. 5Dishonestanddisreputableconduct

5.1Asolicitormustnotengageinconduct,inthecourseofpracticeorotherwise,which demonstratesthatthesolicitorisnotafitandproperpersontopractiselaw,orwhichislikelyto amaterialdegreeto: 5.1.1beprejudicialto,ordiminishthepublicconfidencein,theadministrationofjustice,or 5.1.2bringtheprofessionintodisrepute. 6Undertakings

6.1Asolicitorwhohasgivenanundertakinginthecourseoflegalpracticemusthonourthat undertakingandensurethetimelyandeffectiveperformanceoftheundertaking,unlessreleased bytherecipientorbyacourtofcompetentjurisdiction. 6.2Asolicitormustnotseekfromanothersolicitor,orthatsolicitor’semployee,associate,oragent, undertakingsinrespectofamatter,thatwouldrequirethecooperationofathirdpartywhois notpartytotheundertaking.

Relationswithclients 7Communicationofadvice

7.1Asolicitormustprovideclearandtimelyadvicetoassistaclienttounderstandrelevantlegal issuesandtomakeinformedchoicesaboutactiontobetakenduringthecourseofamatter, consistentwiththetermsoftheengagement. 7.2Asolicitormustinformtheclientortheinstructingsolicitoraboutthealternativestofully contestedadjudicationofthecasewhicharereasonablyavailabletotheclient,unlessthe solicitorbelievesonreasonablegroundsthattheclientalreadyhassuchanunderstandingof thosealternativesastopermittheclienttomakedecisionsabouttheclient’sbestinterestsin relationtothematter. 8Clientinstructions

8.1Asolicitormustfollowaclient’slawful,properandcompetentinstructions. 9Confidentiality

9.1Asolicitormustnotdiscloseanyinformationwhichisconfidentialtoaclientandacquiredby thesolicitorduringtheclient’sengagementtoanypersonwhoisnot:

https://www.legislation.nsw.gov.au/#/view/regulation/2015/244/full

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9.1.1asolicitorwhoisapartner,principal,director,oremployeeofthesolicitor’slawpractice, or 9.1.2abarristeroranemployeeof,orpersonotherwiseengagedby,thesolicitor’slawpractice orbyanassociatedentityforthepurposesofdeliveringoradministeringlegalservicesin relationtotheclient, EXCEPTaspermittedinRule9.2. 9.2Asolicitormaydiscloseinformationwhichisconfidentialtoaclientif: 9.2.1theclientexpresslyorimpliedlyauthorisesdisclosure, 9.2.2thesolicitorispermittedoriscompelledbylawtodisclose, 9.2.3thesolicitordisclosestheinformationinaconfidentialsetting,forthesolepurposeof obtainingadviceinconnectionwiththesolicitor’slegalorethicalobligations, 9.2.4thesolicitordisclosestheinformationforthesolepurposeofavoidingtheprobable commissionofaseriouscriminaloffence, 9.2.5thesolicitordisclosestheinformationforthepurposeofpreventingimminentserious physicalharmtotheclientortoanotherperson,or 9.2.6theinformationisdisclosedtotheinsurerofthesolicitor,lawpracticeorassociatedentity. 10Conflictsconcerningformerclients

10.1Asolicitorandlawpracticemustavoidconflictsbetweenthedutiesowedtocurrentandformer clients,exceptaspermittedbyRule10.2. 10.2Asolicitororlawpracticewhoorwhichisinpossessionofinformationwhichisconfidentialto aformerclientwherethatinformationmightreasonablybeconcludedtobematerialtothe matterofanotherclientanddetrimentaltotheinterestsoftheformerclientifdisclosed,mustnot actforthecurrentclientinthatmatterUNLESS: 10.2.1theformerclienthasgiveninformedwrittenconsenttothesolicitororlawpracticeso acting,or 10.2.2aneffectiveinformationbarrierhasbeenestablished. 11Conflictofdutiesconcerningcurrentclients

11.1Asolicitorandalawpracticemustavoidconflictsbetweenthedutiesowedtotwoormore currentclients,exceptwherepermittedbythisRule. 11.2Ifasolicitororalawpracticeseekstoactfortwoormoreclientsinthesameorrelatedmatters wheretheclients’interestsareadverseandthereisaconflictorpotentialconflictofthedutiesto actinthebestinterestsofeachclient,thesolicitororlawpracticemustnotact,exceptwhere permittedbyRule11.3. 11.3WhereasolicitororlawpracticeseekstoactinthecircumstancesspecifiedinRule11.2,the solicitororlawpracticemay,subjectalwaystoeachsolicitordischargingtheirdutytoactinthe bestinterestsoftheirclient,onlyactifeachclient: 11.3.1isawarethatthesolicitororlawpracticeisalsoactingforanotherclient,and 11.3.2hasgiveninformedconsenttothesolicitororlawpracticesoacting.

https://www.legislation.nsw.gov.au/#/view/regulation/2015/244/full

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Legal Profession Uniform Law Australian Solicitors’ Conduct Rules 2015 - NSW Legislation

11.4InadditiontotherequirementsofRule11.3,whereasolicitororlawpracticeisinpossessionof informationwhichisconfidentialtoaclient(thefirstclient)whichmightreasonablybe concludedtobematerialtoanotherclient’scurrentmatteranddetrimentaltotheinterestsofthe firstclientifdisclosed,thereisaconflictofdutiesandthesolicitorandthesolicitor’slaw practicemustnotactfortheotherclient,exceptasfollows: 11.4.1asolicitormayactwherethereisaconflictofdutiesarisingfromthepossessionof confidentialinformation,whereeachclienthasgiveninformedconsenttothesolicitor actingforanotherclient,and 11.4.2alawpractice(andthesolicitorsconcerned)mayactwherethereisaconflictofduties arisingfromthepossessionofconfidentialinformationwhereaneffectiveinformation barrierhasbeenestablished. 11.5Ifasolicitororalawpracticeactsformorethanoneclientinamatterand,duringthecourseof theconductofthatmatter,anactualconflictarisesbetweenthedutiesowedtotwoormoreof thoseclients,thesolicitororlawpracticemayonlycontinuetoactforoneoftheclients(ora groupofclientsbetweenwhomthereisnoconflict)providedthedutyofconfidentialitytoother client(s)isnotputatriskandthepartieshavegiveninformedconsent. 12Conflictconcerningasolicitor’sowninterests

12.1Asolicitormustnotactforaclientwherethereisaconflictbetweenthedutytoservethebest interestsofaclientandtheinterestsofthesolicitororanassociateofthesolicitor,exceptas permittedbythisRule. 12.2Asolicitormustnotexerciseanyundueinfluenceintendedtodisposetheclienttobenefitthe solicitorinexcessofthesolicitor’sfairremunerationforlegalservicesprovidedtotheclient. 12.3Asolicitormustnotborrowanymoney,norassistanassociatetoborrowmoney,from: 12.3.1aclientofthesolicitororofthesolicitor’slawpractice,or 12.3.2aformerclientofthesolicitororofthesolicitor’slawpracticewhohasindicateda continuingrelianceupontheadviceofthesolicitororofthesolicitor’slawpracticein relationtotheinvestmentofmoney, UNLESStheclientis: (i)anAuthorisedDeposittakingInstitution, (ii)atrusteecompany, (iii)theresponsibleentityofamanagedinvestmentschemeregisteredunderChapter5Cofthe CorporationsAct2001(Cth)oracustodianforsuchascheme, (iv)anassociateofthesolicitorandthesolicitorisabletodischargetheonusofprovingthata fullwrittendisclosurewasmadetotheclientandthattheclient’sinterestsareprotectedin thecircumstances,whetherbylegalrepresentationorotherwise,or (v)theemployerofthesolicitor. 12.4AsolicitorwillnothavebreachedthisRulemerelyby: 12.4.1drawingaWillappointingthesolicitororanassociateofthesolicitorasexecutor, providedthesolicitorinformstheclientinwritingbeforetheclientsignstheWill:

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(i)ofanyentitlementofthesolicitor,orthesolicitor’slawpracticeorassociate,toclaim executor’scommission, (ii)oftheinclusionintheWillofanyprovisionentitlingthesolicitor,orthesolicitor’slaw practiceorassociate,tochargelegalcostsinrelationtotheadministrationoftheestate, and (iii)ifthesolicitororthesolicitor’slawpracticeorassociatehasanentitlementtoclaim commission,thattheclientcouldappointasexecutorapersonwhomightmakeno claimforexecutor’scommission, 12.4.2drawingaWillorotherinstrumentunderwhichthesolicitor(orthesolicitor’slaw practiceorassociate)willormayreceiveasubstantialbenefitotherthananyproper entitlementtoexecutor’scommissionandproperfees,providedthepersoninstructingthe solicitoriseither: (i)amemberofthesolicitor’simmediatefamily,or (ii)asolicitor,oramemberoftheimmediatefamilyofasolicitor,whoisapartner, employer,oremployee,ofthesolicitor, 12.4.3receivingafinancialbenefitfromathirdpartyinrelationtoanydealingwherethe solicitorrepresentsaclient,orfromanotherserviceprovidertowhomaclienthasbeen referredbythesolicitor,providedthesolicitoradvisestheclient: (i)thatacommissionorbenefitisormaybepayabletothesolicitorinrespectofthe dealingorreferralandthenatureofthatcommissionorbenefit, (ii)thattheclientmayrefuseanyreferral,and theclienthasgiveninformedconsenttothecommissionorbenefitreceivedorwhichmay bereceived, 12.4.4actingforaclientinanydealinginwhichafinancialbenefitmaybepayabletoathird partyforreferringtheclient,providedthesolicitorhasfirstdisclosedthepaymentor financialbenefittotheclient. 13Completionorterminationofengagement

13.1Asolicitorwithdesignatedresponsibilityforaclient’smattermustensurecompletionofthe legalservicesforthatmatterUNLESS: 13.1.1theclienthasotherwiseagreed, 13.1.2thelawpracticeisdischargedfromtheengagementbytheclient, 13.1.3thelawpracticeterminatestheengagementforjustcauseandonreasonablenotice,or 13.1.4theengagementcomestoanendbyoperationoflaw. 13.2Whereaclientisrequiredtostandtrialforaseriouscriminaloffence,theclient’sfailureto makesatisfactoryarrangementsforthepaymentofcostswillnotnormallyjustifyterminationof theengagementUNLESSthesolicitororlawpracticehas: 13.2.1servedwrittennoticeontheclientofthesolicitor’sintention,areasonabletimebefore thedateappointedforcommencementofthetrialorthecommencementofthesittingsof thecourtinwhichthetrialislisted,providingtheclientatleast7daystomakesatisfactory arrangementsforpaymentofthesolicitor’scosts,and

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13.2.2givenappropriatenoticetotheregistrarofthecourtinwhichthetrialislistedto commence. 13.3Whereaclientislegallyassistedandthegrantofaidiswithdrawnorotherwiseterminated,a solicitororlawpracticemayterminatetheengagementbygivingreasonablenoticeinwritingto theclient,suchthattheclienthasareasonableopportunitytomakeothersatisfactory arrangementsforpaymentofcostswhichwouldbeincurrediftheengagementcontinued. 14Clientdocuments

14.1Asolicitorwithdesignatedresponsibilityforaclient’smatter,mustensurethat,upon completionorterminationofthelawpractice’sengagement: 14.1.1theclientorformerclient,or 14.1.2anotherpersonauthorisedbytheclientorformerclient, isgivenanyclientdocuments,(oriftheyareelectronicdocumentscopiesofthosedocuments), assoonasreasonablypossiblewhenrequestedtodosobytheclient,unlessthereisaneffective lien. 14.2Asolicitororlawpracticemaydestroyclientdocumentsafteraperiodof7yearshaselapsed sincethecompletionorterminationoftheengagement,exceptwherethereareclientinstructions orlegislationtothecontrary. 15Lienoveressentialdocuments

15.1NotwithstandingRule14,whenasolicitorclaimstoexercisealienforunpaidlegalcostsover clientdocumentswhichareessentialtotheclient’sdefenceorprosecutionofcurrent proceedings: 15.1.1ifanothersolicitorisactingfortheclient,thefirstsolicitormustsurrenderthedocuments tothesecondsolicitor: (i)ifthesecondsolicitorundertakestoholdthedocumentssubjecttothelienandwith reasonablesecurityfortheunpaidcosts,or (ii)ifthefirstsolicitoragreestothesecondsolicitoragreeingtopay,orenteringintoan agreementwiththeclienttoprocurepaymentof,thefirstsolicitor’scostsupon completionoftherelevantproceedings,or 15.1.2alternatively,thesolicitor,uponreceivingreasonablesecurityfortheunpaidcosts,must deliverthedocumentstotheclient. 16Chargingfordocumentstorage

16.1Asolicitormustnotcharge: 16.1.1forthestorageofdocuments,filesorotherpropertyonbehalfofclientsorformerclients ofthesolicitororlawpractice(orpredecessorsinpractice),or 16.1.2forretrievalfromstorageofthosedocuments,filesorotherproperty, UNLESStheclientorformerclienthasagreedinwritingtosuchchargebeingmade.

Advocacyandlitigation 17Independence—avoidanceofpersonalbias

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17.1Asolicitorrepresentingaclientinamatterthatisbeforethecourtmustnotactasthemere mouthpieceoftheclientoroftheinstructingsolicitor(ifany)andmustexercisetheforensic judgmentscalledforduringthecaseindependently,aftertheappropriateconsiderationofthe client’sandtheinstructingsolicitor’sinstructionswhereapplicable. 17.2Asolicitorwillnothavebreachedthesolicitor’sdutytotheclient,andwillnothavefailedto giveappropriateconsiderationtotheclient’sortheinstructingsolicitor’sinstructions,simplyby choosing,contrarytothoseinstructions,toexercisetheforensicjudgmentscalledforduringthe casesoasto: 17.2.1confineanyhearingtothoseissueswhichthesolicitorbelievestobetherealissues, 17.2.2presenttheclient’scaseasquicklyandsimplyasmaybeconsistentwithitsrobust advancement,or 17.2.3informthecourtofanypersuasiveauthorityagainsttheclient’scase. 17.3Asolicitormustnotmakesubmissionsorexpressviewstoacourtonanymaterialevidenceor issueinthecaseintermswhichconveyorappeartoconveythesolicitor’spersonalopinionon themeritsofthatevidenceorissue. 17.4Asolicitormustnotbecomethesuretyfortheclient’sbail. 18Formalitybeforethecourt

18.1Asolicitormustnot,inthepresenceofanyofthepartiesorsolicitors,dealwithacourton termsofinformalpersonalfamiliaritywhichmayreasonablygivetheappearancethatthe solicitorhasspecialfavourwiththecourt. 19Franknessincourt

19.1Asolicitormustnotdeceiveorknowinglyorrecklesslymisleadthecourt. 19.2Asolicitormusttakeallnecessarystepstocorrectanymislead...