Offences under the Legal Profession Act 2004
1
Section
Penalty
Reservation of legal work and legal titles
1
Engaging in legal practice when not entitled to do so
s.2.2.2(1)
Imprisonment for 2
years
2
Representing or advertising one’s entitlement to engage in legal practice when not entitled to do so
s.2.2.3(1)
120 penalty units
3
A director, officer, employee or agent of a body corporate representing or advertising that body
corporate’s entitlement to engage in legal practice when the body corporate is not entitled
s.2.2.3(2)
120 penalty units
4
Disqualified person, or person found guilty of a relevant offence (defined in s.2.2.5), becoming (or
seeking to become) a lay associate without making required disclosure
s.2.2.7(3)
60 penalty units
5
A local legal practitioner or law practice failing to comply with conditions imposed on approval of a lay
associate
s.2.2.8(6)
60 penalty units
6
An Australian legal practitioner or law practice entering into an agreement or arrangement to share
income with unqualified persons (except as permitted by the Act)
s.2.2.9(1)
240 penalty units
7
An Australian legal practitioner or law practice permitting or assisting unqualified person to practise
s.2.2.10
Contempt of court
8
An Australian lawyer commencing or continuing to act in any civil or criminal proceeding while a prisoner
s.2.2.11
Contempt of court
1
•
•
1 penalty unit = $147.61 (from 1 July 2014)
Breaches of any sections of the Act (including those not in this list) are capable of constituting unsatisfactory professional conduct or
professional misconduct under s.4.4.4 Legal Profession Act 2004
Offences under the Legal Profession Act 2004
1
Section
Penalty
Legal practice by Australian legal practitioners
9
An Australian lawyer failing to surrender lapsed practising certificate after request by the Board
s.2.4.9(8)
20 penalty units
10
A local legal practitioner failing to give practising certificate to the Board for amendment of conditions
after request by the Board
s.2.4.13(3)
20 penalty units
11
An Australian legal practitioner failing to comply with a notice from the Board requiring the return of a
practising certificate that is amended, suspended or cancelled.
s.2.4.31(3)
10 penalty units
Suitability reports
12
A member, member of staff or agent of the Board disclosing a suitability report or information in a
suitability report
s.2.5.9(1)
60 penalty units
13
A member, member of staff or agent of the Board of Examiners disclosing a health assessment report of
information in a health assessment report
s.2.5.10(1)
60 penalty units
Inter-jurisdictional provisions regarding admission and practising certificates
14
A local lawyer failing to give written notice of their removal from an interstate roll
s.2.6.6(1)
10 penalty units
15
A local legal practitioner failing to give written notice of their removal from an interstate roll
s.2.6.6(2)
60 penalty units
16
A local lawyer failing to give written notice of interstate orders recommending their removal from the roll
s.2.6.6A(1)
10 penalty units
1
Offences under the Legal Profession Act 2004
Section
Penalty
17
A local legal practitioner failing to give written notice of interstate orders that their practising certificate be
suspended, cancelled, have conditions imposed on it, or that it not be granted for a period
s.2.6.6A(2)
60 penalty units
18
A local lawyer failing to give written notice of foreign regulatory action
s.2.6.7(1)
10 penalty units
19
A local legal practitioner failing to give written notice of foreign regulatory action
s.2.6.7(2)
60 penalty units
Incorporated legal practices
20
ILP engaging in legal practice before giving written notice of intention to do so
s.2.7.7(2)
60 penalty units
21
A corporation, without reasonable excuse, representing or advertising that it is an ILP before giving
written notice of intention to engage in legal practice as an ILP
s.2.7.8(1)
60 penalty units
22
A director, officer, employee or agent of a corporation, without reasonable excuse, representing or
advertising that the corporation is an ILP before written notice of intention to engage in legal practice as
an ILP has been given
s.2.7.8(2)
60 penalty units
23
A corporation failing to give the Board written notice within time that that it has ceased to engage in legal
practise in Victoria as an ILP
s.2.7.9(1)
10 penalty units
24
An ILP failing to have a legal practitioner director for more than 7 days
s.2.7.12(1)
60 penalty units
25
An ILP failing to notify the Board that it does not have a legal practitioner director
s.2.7.12(2)
60 penalty units
1
Offences under the Legal Profession Act 2004
Section
Penalty
26
An ILP providing legal services while in default of the director requirements under s.2.7.12
s.2.7.12(3)
240 penalty units
27
Legal practitioner directors and employees of an ILP failing to ensure required disclosures are made to
clients
s.2.7.15(2)
60 penalty units
28
An ILP engaging or paying, or sharing receipts, revenue or other income with disqualified persons or
having a disqualified person as an officer of employee of the ILP
s.2.7.21(1)
120 penalty units
29
A person required to provide written explanation, information, documents or access to documents failing
to do so
s.2.7.23(4)
60 penalty units
30
An ILP providing legal services while disqualified
s.2.7.24(6)
240 penalty units
31
Inducing or attempting to cause or induce a legal practitioner director or legal practitioner who provides
services on behalf of an ILP to contravene the Act, rules, regulations or their professional obligations as a
legal practitioner
s.2.7.35
240 penalty units
Multi-disciplinary partnerships
32
A legal practitioner partner failing to give written notice of intention to provide legal services in Victoria as
a member of a MDP before starting to provide such services
s.2.7.38
10 penalty units
33
Legal practitioner partners and employees of an MDP failing to ensure that required disclosures are
made to clients
s.2.7.44(2)
60 penalty units
34
Inducing or attempting to cause or induce a legal practitioner partner or legal practitioner employee who
provides legal services to contravene the Act, rules, regulations or their professional obligations as a
legal practitioner
2.7.51
240 penalty units
Offences under the Legal Profession Act 2004
1
Section
Penalty
Legal practice by foreign lawyers
35
Practising foreign law without proper registration
2.8.4(1)
240 penalty units
36
A foreign lawyer failing to comply with a notice from the Board requiring the return of a local registration
certificate on the amendment, suspension or cancellation of their registration
2.8.38(3)
20 penalty units
37
A locally registered foreign lawyer contravening a condition of their registration
2.8.43
60 penalty units
Trust money and trust accounts
38
A law practice or approved clerk, who receives trust money, failing to maintain a general trust account
3.3.11(1)
120 penalty units
39
A law practice or approved clerk, who is required to maintain a general trust account, failure to establish
and maintain the account in accordance with the regulations
3.3.11(2)
60 penalty units
40
A law practice or approved clerk failing to notify the Board of trust account details
3.3.12(1)
60 penalty units
41
A law practice or approved clerk failing to notify the Board of changes to trust account details
3.3.12(2)
60 penalty units
42
A law practice or approved clerk failing to notify the Board of trust account closure
3.3.12(3)
60 penalty units
43
A law practice or approved clerk failing to deposit trust money in a general trust account as soon as
practicable unless not required under s.3.3.13
3.3.13(1)
120 penalty units
1
Offences under the Legal Profession Act 2004
Section
Penalty
44
A law practice or approved clerk failing to deal with trust money in accordance with written directions
3.3.13(2)
120 penalty units
45
A law practice or approved clerk failing to keep a written direction about trust money for the prescribed
period
3.3.13(3)
60 penalty units
46
A law practice or approved clerk failing to hold or disburse trust money in accordance with s.3.3.14
3.3.14(1)
120 penalty units
47
A law practice or approved clerk failing to account for trust money as required by the regulations
3.3.14(3)
60 penalty units
48
A law practice or approved clerk withdrawing trust money from a general trust account otherwise than by
cheque or electronic funds transfer
3.3.14A(1)
120 penalty units
49
A law practice failing to deposit (as soon as practicable after receipt) controlled money in the account
specified in the written direction relating to that money
3.3.15(1)
120 penalty units
50
A law practice failing to hold controlled money deposited in a controlled money account exclusively for
the person on whose behalf it was received
3.3.15(2)
120 penalty units
51
A law practice disbursing controlled money deposited in a controlled money account otherwise than in
accordance with written directions
3.3.15(3)
120 penalty units
52
A law practice failing to maintain a controlled money account and account for controlled money as
required by the regulations
3.3.15(4)
60 penalty units
1
Offences under the Legal Profession Act 2004
Section
Penalty
53
A law practice failing to keep a written direction about controlled money (mentioned in s.3.3.15) for the
prescribed period
3.3.15(5)
60 penalty units
54
A law practice failing to ensure a controlled money account is used for the deposit of controlled money
received on behalf of only the person on whose behalf it was received, except to the extent that the
regulations otherwise permit
3.3.15(6)
120 penalty units
55
A law practice withdrawing controlled money from a controlled money account otherwise than by cheque
or electronic funds transfer
3.3.15A(1)
120 penalty units
56
A law practice that has received transit money failing to pay or deliver the money as required by the
instructions relating to the money
3.3.16(1)
120 penalty units
57
A law practice failing to account for transit money as required by the regulations
3.3.16(2)
60 penalty units
58
A law practice or approved clerk failing to ensure that trust money that is the subject of a power given to
the practice (or an associate of the practice) or clerk is dealt with only in accordance with that power
3.3.17(1)
120 penalty units
59
A law practice or approved clerk failing to account for trust money subject to a specific power as
prescribed by the regulations
3.3.17(2)
60 penalty units
60
A law practice or approved clerk failing to deposit general trust money received in cash to their general
trust account
3.3.17A(1)
120 penalty units
61
A law practice failing to deposit transit money received in cash to their general trust account before
further dealing with that money
3.3.17A(4)
120 penalty units
1
Offences under the Legal Profession Act 2004
Section
Penalty
62
A law practice or approved clerk failing to deposit trust money subject to a specific power (that is received
in cash) to their general trust account before further dealing with that money
3.3.17A(5)
120 penalty units
63
A law practice or approved clerk mixing trust money with other money, otherwise than in accordance with
s.3.3.19(2)
3.3.19(1)
120 penalty units
64
A legal practitioner or approved clerk, without reasonable excuse, causing a deficiency in a trust account
or trust ledger account or failure to pay or deliver trust money without reasonable excuse
3.3.21(1)
Level 4 imprisonment
(15 years maximum)
65
A legal practitioner associate failing to give (as soon as practicable) written notice of trust account or trust
ledger account irregularities
3.3.22(1)
60 penalty units
66
A legal practitioner failing to give written notice (as soon as practicable) if they believe on reasonable
grounds that there is an irregularity with the receipt, recording or disbursement of any trust money
received by a law practice
3.3.22(2)
60 penalty units
67
An approved clerk failing to give (as soon as practicable) written notice of irregularities in their own trust
accounts or trust ledger accounts
3.3.23(1)
60 penalty units
68
An approved clerk failing to report (as soon as practicable after forming a belief on reasonable grounds)
their belief that there is a deficiency in another approved clerk’s trust account
3.3.23(2)
60 penalty units
69
An approved clerk failing to report (as soon as practicable after forming a belief on reasonable grounds)
their belief that there is an irregularity in a law practice’s trust account or trust ledger account
3.3.23(3)
60 penalty units
70
A law practice or an approved clerk failing to keep trust records in permanent form
3.3.25(1)
60 penalty units
1
Offences under the Legal Profession Act 2004
Section
Penalty
71
A law practice or approved clerk failing to keep trust records in accordance with s.3.3.25(2)
3.3.25(2)
60 penalty units
72
A law practice or approved clerk knowingly receiving money or recording receipt of money in trust
records under a false name
3.3.26(1)
120 penalty units
73
An inspector failing to produce identity card in accordance with s.3.3.30(3)
3.3.30(3)
5 penalty units
74
Failing (without reasonable excuse) to comply with a requirement of an inspector
3.3.45(1)
60 penalty units
75
An inspector disclosing information acquired in the course of an investigation except in accordance with
s.3.3.49(1)
3.3.49(1)
60 penalty units
76
A law practice or approved clerk failing to produce trust records for inspection by an approved external
examiner and to give the examiner any other information reasonably required
3.3.52(2)
60 penalty units
77
A financial institution failing to produce (without charge) trust account and trust money records to an
approved external examiner and to provide the examiner with full details of trust money and trust account
related transactions
3.3.52(3)
60 penalty units
78
An approved external examiner knowingly employing or engaging a person who has not satisfactorily
completed a required course to assist with an examination
3.3.52(5)
60 penalty units
79
A law practice failing to lodge report of annual trust records examination by due date
3.3.54(1)
120 penalty units
80
An approved clerk failing to lodge report of annual trust records examination by due date
3.3.54(2)
120 penalty units
1
Offences under the Legal Profession Act 2004
Section
Penalty
81
A law practice or approved clerk failing to lodge report of final trust records examination and a statutory
declaration within time
3.3.55(3)
120 penalty units
82
An ADI failing to report (as soon as practicable after becoming aware) a trust account deficiency
3.3.61(1)
60 penalty units
83
An ADI failing to report (as soon as practicable after forming a suspicion) a suspected trust account
offence
3.3.61(2)
60 penalty units
84
An ADI failing to give reports about trust accounts in accordance with the regulations
3.3.61(3)
60 penalty units
85
An ADI failing to produce (without charge) trust account and trust money records to an approved external
examiner and to provide the examiner with full details of trust money and trust account related
transactions
3.3.61(4)
60 penalty units
86
An approved clerk failing to comply with applicable legal profession rules
3.3.70(3)
60 penalty units
87
An approved clerk failing to pay fidelity fund contributions and levies by the due date
3.3.70(4)
120 penalty units
88
A law practice (other than an ILP) receiving trust money unless a principal has a practising certificate
authorising such receipt
3.3.71(1)
240 penalty units
89
An interstate legal practitioner receiving trust money unless authorised to do so in their home jurisdiction
and fidelity fund contribution is paid
3.3.72
240 penalty units
Costs disclosure and review
1
Offences under the Legal Profession Act 2004
Section
Penalty
90
A law practice entering into a conditional costs agreement that contravenes s.3.4.28
3.4.28(5)
60 penalty units
91
A law practice entering into a prohibited contingency fee costs agreement
3.4.29(1)
120 penalty units
3.6.20(3)
60 penalty units
5.3.3(2)
60 penalty units
Fidelity Fund
92
A fidelity fund claimaint failing to notify Board of receipt of claimed amount from another source within
time
Supervisors of trust money
93
A person dealing with trust money, signing a cheque or instrument drawn on a trust account or
authorising the withdrawal or transfer of funds from a trust account after that person has been served
with a notice of the appointment of a supervisor (until the appointment is terminated)
Managers
94
A legal practitioner associate participating in the affairs of a practice after a law practice has been seved
with a notice of the appointment of a manager (except under the direct supervision of the manager) until
the appointment is terminated
5.4.3(1)
60 penalty units
95
A person dealing with trust money, signing a cheque or instrument drawn on a trust account or
authorising the withdrawal or transfer of funds from a trust account after that person has been served
with a notice of the appointment of a manager (until the appointment is terminated)
5.4.3(3)
60 penalty units
Offences under the Legal Profession Act 2004
1
Section
Penalty
Receivers
96
A legal practitioner associate participating in the affairs of a practice after a law practice has been served
with a notice of the appointment of a receiver (until the appointment is terminated)
5.5.3(1)
60 penalty units
97
A person dealing with trust money, signing a cheque or instrument drawn on a trust account or
authorising the withdrawal or transfer of funds from a trust account after that person has been served
with a notice of the appointment of a receiver (until the appointment is terminated)
5.5.3(3)
60 penalty units
98
A person failing to deliver regulated property to the receiver if that person has notice that a receiver has
been appointed and is to deliver regulated property
5.5.7(2)
60 penalty units
99
Failing to provide documents or information to a receiver if required under s.5.5.9(1)
5.5.9(2)
60 penalty units
100
Destroying, concealing, removing or delivering regulated property (with the intention of defeating the
operation of Part 5.5) of a law practice for which a receiver has been or is likely to be appointed
5.5.15
Level 6 imprisonment
(5 years maximum)
General
101
An ADI failing to disclose (without charge) to, and on the request of, an external intervener, whether a law
practice or an associate of the practice maintains or has maintained an account at the ADI and details
identifying such accounts
5.6.6(1)
60 penalty units
102
An ADI failing to provide (without charge) any records relating to accounts or money deposited in
accounts maintained (or which have been maintained) at the ADI to an external intervener and to provide
the intervener with full details of transactions relating to such accounts or money
5.6.6(2)
60 penalty units
Offences under the Legal Profession Act 2004
1
Section
Penalty
6.2.15(1)
5 penalty units
6.2.24
10 penalty units
6.4.5(2)
120 penalty units
Legal Services Board
103
A Board member failing to declare (as soon as practicable after becoming aware of the relevant facts) the
nature of an apparent conflict of interest
Register of practitioners
104
A law practice, local legal practitioner or locally registered foreign lawyer failing to notify the Board of a
change to register information within time
General Provisions for the LSB and LSC
105
Board members, staff or delegates recording, disclosing or communicating information acquired in
performing functions under the Act except in accordance with s.6.4.5(2)
Legal Practitioners’ Liability Committee
106
An LPLC member failing to declare (as soon as practicable after becoming aware of the relevant facts)
the nature of an apparent conflict of interest
6.6.11(1)
10 penalty units
107
An LPLC member (or former member) recording, disclosing or communicating information acquired in
performing functions or duties or exercising powers under the Act except in accordance with s.6.6.13
6.6.13(1)
60 penalty units
6.7.35(2)
120 penalty units
Funding
108
An employer failing to reimburse (within time) a fidelity fund contribution or levy paid by an employee
Offences under the Legal Profession Act 2004
1
Section
Penalty
General provisions
109
Failing to produce any records and give any other information reasonably required by an investigator in
accordance with s.7.2.7
7.2.7(1)
60 penalty units
110
A financial institution failing to produce any records and give any other information reasonably required
by an investigator in accordance with s.7.2.7
7.2.7(5)
60 penalty units
111
An investigator disclosing information acquired in the course of an investigation except in accordance
with s.7.2.9
7.2.9(1)
60 penalty units
112
A Board member (or former member), staff or delegates disclosing personal information acquired by
reason of their role except in accordance with s.7.2.15
7.2.15(1)
60 penalty units