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Regulatory compliance

The Law Society of NSW seeks to align the commercial imperatives that drive the business of legal practice with the regulatory framework largely contained in the Legal Profession Act 2004. This approach encourages solicitors to view regulatory compliance, not as an authoritative burden, but as a means to generate client satisfaction and drive profitability.

Regulatory Compliance Support Unit

The Regulatory Compliance Support Unit offers solicitors confidential assistance to prevent compliance issues from escalating into complaints and disciplinary actions. The Unit is staffed by two experienced solicitors in the Law Society’s Professional Standards Department, who have detailed knowledge of the Legal Profession Act 2004 and an understanding of solicitors’ working lives.

Assistance in:

  • Practice Management
  • Business structures for practices
  • Practising Certificates
  • Risk management
  • Closure of practices
  • Incorporated legal practices
  • Multi-disciplinary partnerships
  • 'Show cause' issues
  • Practice of foreign law
  • Transferring a law practice
  • management systems including:
    • trust accounts
    • safe custody
    • confidentiality
    • avoiding delay
    • avoiding a conflict of interest

Help line

If you have a question about compliance or need help in this area, contact the Regulatory Compliance Support Unit for confidential assistance:

Assistance is available Monday to Friday during standard business hours.


Compliance Analysis Reviews Compliance Review Toolkit Law practice - PARTNERSHIP – checklist Law practice - CORPORATION – checklist Law practice - SOLE PRACTITIONER – checklist Transfer of a practitioner's practice – checklist


  • Regulatory Compliance Support Unit
  • Frances Moffitt
  • Law Society of NSW
  • 170 Phillip Street
  • Sydney NSW 2000
  • DX 362 Sydney
  • T: (02) 9926 0115
  • F: (02) 9223 5804