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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 Uniform Law. 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 (RCSU)

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 Uniform Law and an understanding of solicitors’ working lives.

The RCSU can assist you with:


Establishing a law practice

• Choosing a law practice structure – visit the Small Practice Portal and follow our checklists below
• Practice Management – read our Compliance Review Toolkit and visit our Small Practice Portal
• Business Development – read more about advertising legal services and developing your practice
• Trust account issues – see our Trust Account Seminar Notes 


Your practising entitlements

• How to apply for your practising certificate, conditions of practice and more
• Supervised legal practice – what is it? When and how can you apply to remove condition 2?
• Show cause/disclosure issues – find out if and when you need to disclose show cause events to the Law Society 
• Practising foreign law in NSW – how to register as an Australian-registered foreign lawyer
• Interstate practitioners – do you need to notify the Law Society of your practice in NSW


Ceasing practice

• Transferring a law practice – download the checklists
• Law practice closure – what to do before you leave 
How to advertise your practice for sale 
Surrendering your practising certificate


Help line

If you have a question about compliance or need help in this area, contact the RCSU for confidential assistance via email regulatory.compliance@lawsociety.com.au or phone (02) 9926 0115. Assistance is available Monday to Friday during standard business hours.


Resources

Compliance Analysis Reviews Compliance Review ToolkitIncorporated Legal Practice ToolkitLaw practice - CORPORATION – checklist Law practice - PARTNERSHIP – checklist Law practice - SOLE PRACTITIONER – checklist Transfer of a practitioner's practice – checklistUnincorporated legal practice - PARTNERSHIP – checklist

Fact Sheets

Uniform Law for Law Practices

Law Practices - Incorporated Legal Practice Law Practices - Unincorporated Legal Practice Managed Investment SchemesSolicitor's Stamps

Uniform Law for Individuals

IndividualsInterstate Practitioners - Participating JurisdictionsInterstate Practitioners - Non Participating Jurisdictions Unqualified Legal PracticeLiability of Principals Transitional Arrangements for Corporate and Government Lawyers

Practice of Foreign Law under the Uniform Law

Admission of Foreign Lawyers Practice of foreign law in Australia

CONTACT