President: E. Espinosa
Senior Vice President: R. Harvey
Junior Vice President: J. Warner
Treasurer: J. van der Plaat
Immediate Past President: The Hon D. Humphreys OAM
Councillors
C. Banks, A. Boog, D. Bricknell, D. Browne, A. Care, A. Cerny, R. Flitcroft, C. James, Z. Kekeff, H. Macken, R. MacSweeney,
B. McGrath, A. Sanderson, T. Stern, D. Turner, M. Warton, J. Wong
Professional Conduct Committee (as at 30 June 2019)J. van der Plaat (Councillor and Chairperson)
A. Cerny (Councillor and Deputy Chairperson)
A. Bilias, G. Briot, J. Brooke-Cowden, J. Camden, J. Dawson, M. Devitt, R. Everingham, F. Fisher, D. Garnsey, J. Glowrey, K.
Hong, J. Howard, A. Iuliano, C. James, K. Jones, J. King, J. Lowbeer, R. MacSweeney, B. McGrath, D. Miller, K. Osborne, J.
Pope, J. Prowse, T. Russell, A. Sarmed, B. Saunders, P. Taylor, R. Thomson, P. Warn, M. Warton
Ethics Committee (as at 30 June 2019)
H. Macken (Councillor and Chairperson)
S. Alden, R. Anderson, G. Bates, A. Best, G. Burton, S. Cohen, S. Crellin, M. Curran, R. Fletcher, B. Haines, R. Hoyles, D.
Miller, J. Moller, S. O’Regan, S. Pallavicini, K. Rosati, T. Spohr
Costs Committee (as at 30 June 2019)
H. Macken (Councillor and Chairperson)
S. Akerman, C. Antwan, B. Bellach, A. Clark, L. Hamilton, R. Hughes, V. Higinbotham, D. Nicholas, K. Rosati, P. Rosier, T.
Russell, A. Sanderson, N. Smith, T. Stern, P. Sutherland, R. Walker
Disclosure Committee (as at 30 June 2019)
Z. Kekeff (Councillor and Chairperson)
R. Hughes, N. Kroesche, P. Lewis, K. Osborne, A. Sarmed, J. Sutton, R. Thomson, D. Turner, P. Warn
Chief Executive Officer
M. Tidball
Professional Standards Department
Director (as at 30 June 2019): A. Foord
Director (current): A. Lean
Annual Report Production:
Professional Standards Department© 2019 The Law Society of New South Wales, ACN 000 000 699,
ABN 98 696 304 966. Except as permitted under the Copyright Act 1968 (Cth),no part of this publication may be reproduced without the specific written
permission of The Law Society of New South Wales.
2|

TABLE OF CONTENTSINTRODUCTION .................................................................................................................................................................................................. 4
PRESIDENT’S MESSAGE ........................................................................................................................................................................................ 5
THE PROFESSIONAL STANDARDS DEPARTMENT ......................................................................................................................................................... 6
Key Activities ................................................................................................................................................................................................. 6
Management ............................................................................................................................................................................................. 6
Investigations ............................................................................................................................................................................................ 6
Litigation ................................................................................................................................................................................................. 6
Costs ....................................................................................................................................................................................................... 7
Ethics...................................................................................................................................................................................................... 7
Regulatory Compliance ................................................................................................................................................................................ 7
Administration .......................................................................................................................................................................................... 7
Disclosure ................................................................................................................................................................................................ 7
COMPLAINTS ..................................................................................................................................................................................................... 8
Categories of Complaints .................................................................................................................................................................................. 10
Conduct most complained about ................................................................................................................................................................... 10
Areas of law with the most complaints ............................................................................................................................................................. 11
Complaints by solicitor type.............................................................................................................................................................................. 11
Categories of Complainants ......................................................................................................................................................................... 12
Investigation and finalisation of Matters ................................................................................................................................................................ 13
Decisions of the Professional Conduct Committee ....................................................................................................................................................... 14
Complaints Management ................................................................................................................................................................................. 15
Reviews by the New South Wales Legal Services Commissioner .................................................................................................................................. 15
LITIGATION AND INTERVENTION ......................................................................................................................................................................... 16
New South Wales Civil and Administrative Tribunal Matters ..................................................................................................................................... 16
Supreme Court Matters ...................................................................................................................................................................................20
Federal Court Matters ....................................................................................................................................................................................20
High Court Matters ........................................................................................................................................................................................20
Unqualified Practice.......................................................................................................................................................................................20
Disqualification of Individuals ..........................................................................................................................................................................20
External Intervention ..................................................................................................................................................................................... 21
Managers ............................................................................................................................................................................................... 21
Supervisors ............................................................................................................................................................................................. 21
Receivers ............................................................................................................................................................................................... 21
Investigators ........................................................................................................................................................................................... 21
COMPLIANCE AND DISCLOSURE ........................................................................................................................................................................... 22
Disclosure Committee ................................................................................................................................................................................ 23
PROFESSIONAL SUPPORT ETHICS UNIT .................................................................................................................................................................. 24
PROFESSIONAL SUPPORT LEGAL COSTS UNIT ........................................................................................................................................................... 26
PROFESSIONAL SUPPORT REGULATORY COMPLIANCE ............................................................................................................................................... 28
TABLE 1 - NUMBER OF COMPLAINTS OPENED, BY TYPE OF COMPLAINT ...........................................................................................................................30
TABLE 2 - NUMBER OF COMPLAINTS OPENED, BY TYPE OF COMPLAINT .......................................................................................................................... 32
TABLE 3 - COMPLAINTS OPENED, BY SOLICITOR TYPE................................................................................................................................................. 32
TABLE 4 - COMPLAINTS OPENED, BY PRACTICE REGION ........................................................................................................................................................................................................... 33
TABLE 5 - NUMBER OF MATTERS CLOSED, BY RESULT ...............................................................................................................................................................................................................34
TABLE 6 - COMPLAINTS OPENED AND CLOSED WITHIN SAME PERIOD .................................................................................................................................................................................. 35
TABLE 7 - NUMBER AND TYPE OF PROCEEDINGS INSTITUTED AT NCAT ................................................................................................................................................................................ 37
TABLE 8 - ACTIVE SOLICITOR STATISTICS AT 30 JUNE 2019 ..........................................................................................................................................40
TABLE 9 - AMOUNTS EXPENDED BY THE PUBLIC PURPOSE FUND AND FIDELITY FUND ON REGULATIONS, 2018/2019 .................................................................40a

PROFESSIONAL STANDARDS DEPARTMENT ANNUAL REPORT 2018/2019 | 3

INTRODUCTION
The Annual Report of the Professional Standards
Department (Professional Standards) of the Law
Society of New South Wales (Society) encapsulates
the work of the Society in performing its statutoryfunctions, including the education and improvementof the standards of the legal profession in New South
Wales. Through its co-regulatory role with the New
South Wales Legal Services Commissioner(Commissioner), the Society not only endeavours to
uphold high professional standards but is also
committed to protecting members of the public.
Utilising its powers under the legal profession
legislation, Professional Standards investigatescomplaints against solicitors and associates of law
practices. Professional Standards also investigatesallegations about persons who engage in legal practicewhen they are not entitled to do so.
Many of the complaints dealt with by Professional
Standards involve serious and complex conduct issues
which are investigated thoroughly and, uponcompletion, reported to and considered by theSociety’s Professional Conduct Committee (PCC). In
undertaking its statutory functions, Professional
Standards acts fairly and impartially and aims toensure that all complaints are dealt with as efficiently
and expeditiously as possible.
Professional Standards also conducts litigation on
behalf of the Council of the Society (Council)
including disciplinary proceedings in the New South
Wales Civil and Administrative Tribunal (NCAT).
The work of Professional Standards encompasses
more than investigation and litigation of complaints.
It also provides guidance, assistance and education to
the legal profession through its Professional Support
Unit.
Professional Standards also deals with show-cause
events, external intervention and the recovery of
regulatory costs, and has a role in monitoring
compliance. Under the co- regulatory regime,
Professional Standards works closely with theCommissioner and his Office (OLSC) in relation to
the complaints process and policy development.

4|

OUR MISSION
The mission of Professional Standards is to:• Promote and improve Professional Standards• Regulate solicitors• Implement the law relating to professional
standards and educate legal
practitioners• Protect members of the public• Provide timely and practical guidance to theprofession• Conduct timely and impartial investigations

OUR VALUES
The values embodied in the work Professional
Standards do:• Integrity• Personal and professional effectiveness• Teamwork• Motivation to achieve

This Annual Report is an overview of the work
undertaken by Professional Standards from 1 July 2018
to 30 June 2019 (2018/2019). Where relevant,comparative data for the period from 1 July 2017 to 30
June 2018 (the previous reporting period) is
provided. The statistical information set out in thisreport, in conjunction with the Society’s Annual Report,
complies with the reporting requirements of the legal
profession legislation.

PRESIDENT’S MESSAGE
The Law Society and Professional Standards
The 2019 Professional Standards Annual Report ispresented for your reading to demonstrate the Law
Society of New South Wales’ ongoing commitment toensure public confidence in the integrity of the legal
profession. The Law Society seeks to enhance andmaintain professional standards in an independentand transparent manner.
The annual report is a snapshot of the varied andimportant work that is undertaken by Professional
Standards and describes how the organisation is anactive participant within the legal profession.
This important and varied work undertaken is done soin conjunction with the New South Wales Legal
Services Commissioner to provide comprehensive
regulation and guidance for the legal profession in
New South Wales.

Dealing with complaints

Our future role

Pursuant to the Legal Profession Uniform Law, theCommissioner receives complaints about the conductof solicitors in New South Wales.

The Society has a unique and ongoing relationship withthe legal profession by combining leadership, regulation,
guidance and assistance.

The Council of the Law Society of New South Wales
has been delegated functions by the Commissioner toenable it to assess, investigate and determine thecomplaints referred to it by the Commissioner.

The Professional Support Unit in Professional Standards
continues to utilise the skill and experience provided byour specialist professionals to lead, mentor, guide andteach the legal profession about key areas of everyday
practice including costs, ethics and regulatorycompliance.

The annual report provides information as to how thedisciplinary process has been undertaken and theoutcome of the complaints received and dealt with.
These outcomes, including disciplinary actions taken
against solicitors, illustrate the diligent andprofessional approach taken by the Law Society.

Constant improvement to the delivery of these services
has resulted in a comprehensive suite of resources thatare available for the legal profession. New digitaltechnologies together with traditional methods ofsupport have been utilised to effectively deliver our
online guides, advisory services and Continuing
Professional Development programmes.
As President of the Law Society, it is with great pride that
I present the 2019 Professional Standards Annual
Report.

E. Espinosa
President

PROFESSIONAL STANDARDS DEPARTMENT ANNUAL REPORT 2018/2019 | 5

THE PROFESSIONAL STANDARDS DEPARTMENT
The Society has a statutory obligation to uphold andimprove the professional standards of the legal
profession in New South Wales. Professional Standards
fulfils this obligation through a number of key activities
detailed below.

Key Activities
Management
•
•
•
•
•
•
•

Discharge responsibilities and accountabilities
in accordance with statutory requirements.
Develop and meet budget targets.
Consult with relevant stakeholders in relation
to legal profession legislation, includingchanges and national uniformity.
Supervise staff to ensure timely and quality
outcomes.
Take appropriate action in relation to aged files.
Consistently review and update processes andpolicies to improve the function and operationof Professional Standards.
Manage complainant and solicitor expectations
through education and communication.

Investigations••••

Conduct timely and impartial investigations inrelation to solicitors, unqualified practitioners
and associates of legal practices.
Prepare reports and make recommendations on
conduct to the PCC and/or the Council
Attempt to resolve matters.
Conduct timely and efficient investigations of
disclosure matters including the making ofrecommendations.

Litigation
•
•
•

6|

Institute and conduct, on behalf of the Council,
proceedings before NCAT and the Courts.
Respond, on behalf of the Council, to various
applications made before NCAT and the Courts.
Provide regular and informative reports to the
PCC and the Council concerning litigation
matters.

CostsAdministration

•

•

•
•
•

•
•
•

Provide assistance and guidance to solicitors in
relation to costs issues and ensure solicitors
understand their obligations and rights pursuant to
the legal profession legislation.
Provide assistance in settlement of costs disputes.
Prepare matters for the Society’s Costs Committee(Costs Committee).
Address policy issues associated with the legal
profession legislation, including the effectiveness of
the Costs Assessment Scheme and issues associatedwith legal costs.
Consult in relation to cost provisions of the legal
profession legislation.
Educate the legal profession.
Recover costs from any successful disciplinary action
taken against solicitors.

Ethics
•
•
•
•
•

•

•

Maintain accurate and timely information stored on theSociety’s databases.
Provide administrative management and support to ensure
the efficient running of Professional Standards, including
paralegal support, agenda preparation for the PCC andSociety’s Disclosure Committee (Disclosure
Committee), high level document and file management
and financial records administration.
Provide administrative support to the Director ofProfessional Standards, as well as the solicitors within
Professional Standards.

Disclosure•••

Investigate show cause events and other disclosures.
Prepare matters for the Disclosure Committee.
Refer appropriate matters to the Council.

Provide prompt guidance to solicitors consistent withestablished ethical and legal principles.
Research and keep abreast of relevant ethical andlegal developments.
Submit timely and informative reports to theSociety’s Ethics Committee (Ethics Committee).
Maintain accurate records of enquiries.
Provide legal ethics education through various
means, including the publication of articles in the
Law Society Journal and addresses to the profession
and interested groups.

Regulatory Compliance••••

Assist solicitors in dealing with issues of a regulatory
nature required for compliance with the legal
profession legislation.
Educate solicitors in relation to changes introducedby new regulatory initiatives, including preparation of
online material, factsheets and toolkits.
Undertake research into appropriate compliancestandards.
Review and advise on practice structures permitted
under the legal profession legislation.

PROFESSIONAL STANDARDS DEPARTMENT ANNUAL REPORT 2018/2019 | 7

COMPLAINTS
The complaints process

Referrals from the Legal Services Commissioner

A complaint may be made by any person or body,
including by either the Commissioner or by theSociety itself (Complaints made by the Society).
Further details about Complaints made by the Society
are set out below.

In 2018/2019:

All complaints must be made to or by theCommissioner who may, among other things, refer thecomplaint to the Council of the Society.
Professional Standards currently deals withcomplaints made both before and after thecommencement of the Legal Profession Uniform Law(NSW) (Uniform Law) on 1 July 2015. Complaints
made on or after 1 July 2015 are dealt with inaccordance with Chapter 5 of the Uniform Law.
Complaints made prior to 1 July 2015 continue to be
dealt with in accordance with Chapter 3 of the Legal
Profession Act 2004 (NSW) (now repealed).
Professional Standards has certain statutory
obligations in relation to its handling of complaints,
including ensuring that procedural fairness is afforded
and that complaints are dealt with as efficiently and
expeditiously as possible. Professional Standards also
aims to ensure that all complaints are dealt with in an
impartial and fair manner.
Professional Standards deals predominantly withthose complaints which are provisionally identified,
upon referral by the Commissioner, as ‘disciplinary
matters’. A disciplinary matter relates to conduct of asolicitor or law practice that would, if the conduct
concerned was established, amount to professional
misconduct or unsatisfactory professional conduct.
In dealing with disciplinary matters, Professional
Standards will undertake a preliminary assessment of
the complaint. Following that preliminary assessment,
a determination may be made to close part or all of thecomplaint or to proceed to an investigation of it
pursuant to the Uniform Law.
Professional Standards has prepared a brochure titled“Complaints Process Information” which outlines thecomplaints process, including the Society’s role indealing with complaints. A copy of this brochure isroutinely sent to complainants and solicitors for theirassistance and information and is also readily
available on the Society’s website.

8|

•
•

the Commissioner received a total of 2,876 written
complaints about solicitors, an increase of 8.73% from theprevious reporting period.
Professional Standards was referred a total of 498
complaints, 104 of which were complaints made by theSociety.

Complaints made by the Society
As noted above, the Society may, pursuant to section 266
of the Uniform Law, make its own complaints to theCommissioner about the conduct of solicitors.
Generally speaking, Complaints made by the Society arise
from the following matters:
•

•
•
•

Matters referred to Professional Standards by the Society’s
Trust Account Department, usually involving a solicitor’s
mishandling of trust money or involving a solicitor’s failure
to comply with trust accounting requirements.
Matters referred to Professional Standards by the Society’s
Registry, usually involving practising certificate issues.
Matters referred to Professional Standards by theDisclosure Committee, usually involving misconduct arisingoutside the practise of law.
Matters referred to Professional Standards by judicial
officers or court registrars usually involving conduct of asolicitor arising in the course of proceedings before a Court
or Tribunal.

COMPLAINTS INVESTIGATION PROCESS
PCC
PM
UPC
NCAT
LSC

COMPLAINT(referred by the OLSC/made by Council of the Law Society)

Professional Conduct Committee
Professional Misconduct
Unsatisfactory Professional Conduct
NSW Civil and Administrative Tribunal
Legal Services Commissioner

SECTION 276 PRELIMINARY ASSESSMENTSECTION 272 OUT OF TIME
Request for Submissions

SECTION 277
Department recommendation that no further
consideration of merits required

PCC

PCC

REFUSETO WAIVEWAIVE

SECTION 276 REQUEST FOR INFORMATIONINFORMATION NOTPROVIDED

INFORMATIONPROVIDEDSECTION 277 CLOSURE

SECTION 277(1)(b)
CLOSURECOMPLAINTINVESTIGATIONCOMPLAINT INVESTIGATIONPCC

PCC OPINION: PM or UPC (Tribunal) Tribunal
letter to solicitor

PCC OPINION: UPC Submissions letter to solicitor& complainant

SECTION 300 NCATREFERRALSECTION 300 PM OR UPC(follow“PCC Opinion: PMorUPC(Tribunal)”process)

NCAT PROCEEDINGSSECTION 299 DETERMINATIONSECTION 299 UPC(follow“PCC Opinion: UPC” process)

SOLICITOR MAY APPEAL TO NCAT
(SECTION 314)

NO PM OR UPC CLOSURE

NO PM OR UPC CLOSURE

SECTION 277 CLOSURE

SECTION 277 CLOSURE

PCC OPINION:
No PM or UPC

SECTION 277
CLOSURE

CLOSURE

LSC MAY CONDUCT INTERNAL REVIEW (SECTION 313)

PROFESSIONAL STANDARDS DEPARTMENT ANNUAL REPORT 2018/2019 | 9

COMPLAINTSa

CATEGORIES OF COMPLAINTS

The following section provides
a snapshot summary of thetype and nature of complaints
opened by Professional
Standards in 2018/2019.
Conduct most complained about
In 2018/2019:
•

•

•

•

•

10 |

“Personal Conduct” (including, for example,
unethical conduct, misleading behaviour,borrowing from client and negligence)
continued to be the major issue complained
about, making up 260 of the total complaints.
“Communication/Services” issues (including,for example, acting contrary to instructions,failing to carry out instructions and nocommunication) accounted for 50 of the total
complaints.
“Costs/Payment Issues” (including, forexample, a failure to pay a third party,
overcharging, a failure to provide a detailed
account or costs disclosure) accounted for 48 of
the total complaints.
“Non-compliance” issues (including, forexample, the failure to comply with anundertaking and failing to comply with the legal
profession legislation) accounted for 33 of thetotal complaints.
“Trust Account Matters” (including, forexample, a breach of the legal profession
legislation in relation to trust money, failure toaccount and misappropriation) accounted for 15of the total complaints.

COMPLAINTS
Areas of Law with the most complaints
In 2018/2019:•••

Complaints about conduct issues arising in thearea of “Wills and Estates” have significantly
increased from the previous reporting period.
Complaints about conduct issues arising in theareas of “Family Law”, “Commercial Law” and“Criminal Law” continued to increase from theprevious reporting period.
A number of complaints were made about
conduct issues arising in the areas of“Employment Law” and “Worker’s
Compensation”.

Complaints by solicitor type
In 2018/2019:
•
•
•

•

312 complaints were made against principals ofa law practice (comprising 62.65% of thecomplaints made).
91 complaints were made against employees ofa law practice (comprising 18.27% of thecomplaints made).
From a geographical perspective, 28.11% ofcomplaints made related to solicitors practisingin suburban Sydney. These solicitors constitute33.72% of the legal profession in New South
Wales. Solicitors practising in Sydney’s CBD,
who comprise 48.15% of the legal profession in
New South Wales attracted 25.1% of thecomplaints made. Solicitors practising in rural
areas, who comprise 12.3% of the legal
profession in New South Wales, generated
10.84% of the complaints made.
The legal profession in New South Wales
comprised of 52.06% female solicitors and47.94% male solicitors. 73.5% of complaints
were made against male solicitors. By
comparison, 26.5% of complaints were madeagainst female solicitors.

Note: Percentages quoted are based on all complaints
received but one solicitor may generate several
complaints, either separately or in the same matter.

PROFESSIONAL STANDARDS DEPARTMENT ANNUAL REPORT 2018/2019 | 11

COMPLAINTS

Categories of Complainants
In 2018/2019:
•
•
•
•

12 |

The highest group of complainants were the client(s) orformer client(s) of a solicitor or law practice andaccounted for 23.09% of the total complaints.
Complaints made by the opposing side of the client(s) orformer client(s) of a solicitor or law practice accounted
for 19.68% of the total complaints.
Complaints made by the Society complaints accounted
for 20.88% of the total complaints.
Complaints made by barristers accounted for 1.81% of
the total complaints. These complaints were often
related to the non-payment of their outstanding fees.

COMPLAINTS
Investigation andfinalisation of Matters
In 2018/2019:
•
•

•
•
•
•

Professional Standards closed
600 matters.
61.17% of matters werecomplaints closed following adecision or determination of
the PCC.
18.67% of complaints wereclosed as “resolved” or“withdrawn”.
3.33% of complaints werereferred to NCAT.
14.17% of matters not involving
complaints were closed.
2.67% of matters were closed
for other reasons.

PROFESSIONAL STANDARDS DEPARTMENT ANNUAL REPORT 2018/2019 | 13

COMPLAINTS
Decisions of the Professional Conduct Committee
The Council delegates certain functions under Chapter
5 of the Uniform Law to the PCC.
The PCC is one of the Society’s larger committees andplays an essential role in relation to the regulatory
functions of the Society. In 2018/2019, there were 32
members of the PCC, comprising 6 Councillors of theSociety, 26 solicitors and 6 lay members.
Members of the PCC contribute many hours on a
voluntary basis. The PCC is reflective of a broad rangeof legal expertise, insights and experience. The PCC
generally meets fortnightly to consider the reports andrecommendations of Professional Standards in relation
to complaints.
Following its consideration of a complaint, the PCC
may:
•
•

•

Close the complaint.
Find that the solicitor has engaged in unsatisfactory
professional conduct and order that the solicitor:• be cautioned;• be reprimanded;• apologise to the complainant;• re-do the work the subject of the complaint at no
cost or waive or reduce the fees for the work;• undertake education, training, counselling or besupervised;• pay a fine of a specified amount not exceeding• $25,000 to the Public Purpose Fund; or• recommend a specified condition be imposed on thesolicitor’s practising certificate.
Initiate proceedings in NCAT against the solicitor.

In 2018/2019:
•
•

14 |

Of the 600 matters finalised by Professional Standards,
387 comprised of complaints which had been referredto the PCC.
Of the complaints considered by the PCC:
• 96 were closed on the basis that the alleged conduct
did not amount to professional misconduct or
unsatisfactory professional conduct.
• 252 were closed for one or more of the grounds
provided under section 277 of the Uniform Law
including that the complaint was misconceived or
lacking in substance (277(1)(a)); the complainant
had not responded, or responded inadequately to arequest for further information (277(1)(c)); thesubject matter of the complaint had already been
investigated (277(1)(d)); or that it was otherwise in
the public interest to close the complaint (forexample, in circumstances where the solicitor’sname may already have been removed from theroll) (277(1)(j)).

••

15 determinations of unsatisfactory professional
misconduct were made by the PCC, and 4 cautions
and 11 reprimands were consequently ordered by
the PCC.
20 matters were referred to NCAT for thecommencement of disciplinary proceedings.

COMPLAINTS
Complaints Management
The staff practices and procedures of Professional
Standards are regularly reviewed and updated to ensurecomplaints are handled as efficiently and expeditiously as
possible.
Professional Standards also liaises with the Commissioner
concerning the status and progress of all complaints
referred to the Society.
A factor which may often impact the progress of acomplaint investigation is where the subject matter of thecomplaint is also the subject of a court proceeding, anapplication (such as, costs assessment) or investigation byanother body. In those circumstances, the Society will
generally defer its consideration of the complaint until the
court proceeding, application or investigation is finalised.

Reviews by the New South Wales
Legal Services Commissioner
The decisions and determinations of the PCC are subject toreview. The avenue of review that may be available under
the legal profession legislation will depend upon the type ofdecision or determination made. For example, in relation to
a complaint which has been closed by the PCC under
section 277 of the Uniform Law, an application for review
must be made to the Commissioner within 30 days of thedate of notice of the decision.
The Commissioner has the absolute discretion to conduct
an internal review of that decision if he considers it
appropriate to do so.
Reviews conducted by the Commissioner are one of thecriteria used by Professional Standards to measure its key
complaint handling objectives.
In 2018/2019, the Commissioner received 17 requests forreviews and completed 11 reviews. The Commissioner
referred 2 complaints back to the Society for further
investigation and upheld 9 of the original decisions of the
PCC.

PROFESSIONAL STANDARDS DEPARTMENT ANNUAL REPORT 2018/2019 | 15

LITIGATION AND INTERVENTIONNew South Wales Civil and Administrative
Tribunal
If the PCC is of the opinion that the alleged conduct of asolicitor may amount to professional misconduct, it will
decide to initiate and prosecute proceedings in NCAT in
relation to that conduct. It may also decide to initiate
and proceedings where it is of the opinion that thealleged conduct may amount to unsatisfactory
professional conduct which would be better dealt withby the NCAT.
Proceedings are commenced in NCAT on behalf of theCouncil by the filing of an Application for Disciplinary
Findings and Orders. Applications must be made within
6 months of the date of the PCC’s decision.
Many of the matters referred to NCAT are complex andquite often involve multiple issues of conduct. The tableon the next page sets out the types of conductconsidered by NCAT and orders it made in relation tothat conduct.
In 2018/2019:• 20 matters resulted in solicitors being referred to
NCAT.
• 26 Applications for Disciplinary Findings and Orders
were filed in NCAT.
• NCAT handed down decisions in respect of 36
disciplinary matters commenced by the Council (seeNCAT Matters and Orders table).

16 |LITIGATION AND INTERVENTIONNCAT Matters and Orders
Name of
Solicitor

Conduct

Orders Made

Date of Orders

ADAMSON, Luke Jerome· Deficiencies in trust account and othermatters· Finding of professional misconduct· Removal of Solicitor’s name from theRoll· Fine· Costs

2 January 2019

AUTORE, Anthony· Failure to comply with s371 notice· Finding of professional misconduct· Reprimand· Restrictions on practising certificate· Costs

14 May 2019

BOUZANIS, Peter· Various breaches of the Legal
Profession Act 2004

· Finding of professional misconduct· Reprimand· Fine· Costs

10 July 2018

CLARKE, Daniel
Christopher· Breach of undertaking· Making statements/representations
which were misleading· False and misleading conduct· Finding of professional misconduct· Reprimand· Fine· Costs

14 August 2018

COREN, Nicholas
Mitchell· Various breaches of the Legal
Profession Act 2004
· Misappropriation of trust funds· Failure to communicate· Finding of professional misconduct
and unsatisfactory professional conduct· Removal of Solicitor’s name from theRoll· Costs

26 April 2019

CUMMINS, Paul Bernard· Breach of condition of a practisingcertificate· Attempt to intimidate Counsel· Finding of professional misconduct· Reprimand· Fine· Costs

14 November 2018

DIB, Ghassan· Failure to comply with s371 Notice· Failure to assist investigator· Finding of unsatisfactory professional
conduct· Reprimand· Fine· Costs

18 January 2019

DO, Tien Ngoc
(also known as Ngoc Tien
Do)

· Misappropriation of trust funds· Various breaches of the Legal
Profession Act 2004 and Legal
Profession Regulation 2005
· Failure to carry out instructions· Finding of professional misconduct· Removal of Solicitor’s name from theRoll· Costs

5 September 2018

DXW

· Trust account breaches· Finding that Tribunal had no
jurisdiction

25 June 2019

FEENEY, Judy Anne

· Various breaches of the Legal
Profession Act 2004 and the Legal
Profession Regulation 2005
· Misappropriation of trust funds· Finding of professional misconduct· Removal of Solicitor’s name from theRoll· Costs

19 October 2018

GURUSAMY, Baskaran· Various breaches of the Legal
Profession Act 2004 and the Uniform
Law· Failure to disclose payment offinancial benefit to third party· Finding of professional misconduct· Reprimand· Fine· Costs

12 June 2019

HEDGES, Brent Arthur· Various breaches of the Legal
Profession Act 2004
· Delay in payment of third party fees
· Failure to communicate· Finding of professional misconduct· Fine· Costs

3 September 2018

HEDGES, Stephen Lewis· Various breaches of the Legal
Profession Act 2004
· Delay in payment of third party fees

· Finding of professional misconduct· Fine· Costs

3 September 2018

HELBY, Christopher
Vincent· Failure to disclose costs· Various breaches of the Legal
Profession Regulation 1994
· Failure to provide trust accountstatements· Finding of unsatisfactory professional
conduct· Reprimand· Fine8 November 2018

PROFESSIONAL STANDARDS DEPARTMENT ANNUAL REPORT 2018/2019 | 17

LITIGATION AND INTERVENTION
KING, Denise Elizabeth· Acting against client’s interests· Engaging in threatening behaviour
when seeking payment of costs· Failure to make timely costs disclosure· Finding of professional misconduct
and unsatisfactory professional conduct· Removal of Solicitor’s name from theRoll· Costs

19 September 2018

HO, Darren· Drafted and submitted false
correspondence and false Statutory
Declaration to the Society· Finding of professional misconduct· Reprimand· Restrictions on right to practice· Costs

3 June 2019

LEWIS, Paul Edward· Failure to comply with undertaking· Practising in breach of a condition on
practising certificate· Finding of professional misconduct· Reprimand· Fine· Costs

24 June 2019

MARANDO, Mark Paul· Breach of Tribunal order· Breach of undertaking to the Society· Finding of professional misconduct· Reprimand· Fine· Costs

7 December 2018

MESSIHA, Nadia· Misappropriation of trust funds· Various breaches of the Legal
Profession Act 2004 and Legal
Profession Regulation 2005

· Finding of professional misconduct· Reprimand· Course· Fine· Costs

22 February 2019

MOORE, Simeon Peter· Application to file Disciplinary
Application out of time

· Application dismissed

24 August 2018

MULOCK, Mark Joseph· Practising without a practisingcertificate· Failure to obtain professional
indemnity insurance· Finding of professional misconduct· Reprimand· Costs

28 August 2018

PETROVICH, Vic· Failure to comply with undertakings· Finding of professional misconduct· Reprimand· Costs

28 March 2019

POWELL, Helen Jean

· Failure to comply with undertaking· Practising in breach of a condition on
practising certificate· Finding of professional misconduct· Reprimand· Fine· Costs

15 February 2019

RENFREW, Louise
Trudence· Preparing and witnessing affidavit
knowing or ought to have known to befalse· Knowing or recklessly misleading theSupreme Court in probate proceedings· Attempting to mislead anothersolicitor· Finding of professional misconduct· Reprimand· Course· Restrictions on practising certificate· Costs

30 April 2019

ROGERS, Michael
Edward· Failure to pay superannuation
entitlements and to provide PAYG
summary· Application dismissed (Jurisdictional
issue)

5 June 2019

SEARLE, Deborah Jean

· Use of without prejudicecommunications in breach of Family
Law Act and Rules· Threatening to use material that may
lead to criminal proceedings insettlement negotiations· Finding of professional misconduct
and unsatisfactory professional conduct· Reprimand· Course· Fine· Costs

8 May 2019

SOSZYN, Belinda Joanne· Failure to properly comply with
subpoena· Finding of unsatisfactory professional
conduct· Reprimand· Costs

17 May 2019

TEREPO, Sesilia Fehoko· Misappropriation of trust funds· Various breaches of the Legal
Profession Act 2004 and Legal
Profession Regulation 2005
· Failure to comply with s371 notice· Failure to assist investigator· Finding of professional misconduct
and unsatisfactory professional conduct· Recommendation of removal of
Solicitor’s name from the Roll
· Costs

26 April 2019

TEYS, Michael John

· Failure to remit monies to Australian
Taxation Office· Failure to pay superannuation
entitlements· Various breaches of the Legal
Profession Act 2004

· Finding of professional misconduct· Removal of Solicitor’s name from Roll
· Costs

27 September 201818 |

LITIGATION AND INTERVENTIONTITMARSH, Shaun
Michael· Failure to follow instructions· Finding of unsatisfactory professional
conduct· Reprimand· Course· Fine· Costs

31 January 2019

THADSANAMORTHY,
Viji· Trust account breaches· Breach Professional Conduct andPractice Rules 2013
· Charging Goods and Services Tax
when not entitled· Misappropriation of trust funds· Finding of professional misconduct
and unsatisfactory professional conduct· Reprimand· Course· Fine· Costs

28 June 2019

WALSH, Peter Francis· Purporting to witness signature on
document· Purporting to take Declaration· Finding of professional misconduct· Reprimand· Fine· Costs

17 December 2018

WINTER, Ronald
William· Purporting to act for company when it
had ceased to exist· Misleading· Finding of unsatisfactory professional
conduct and professional misconduct· Reprimand· Course· Fine· Costs

18 April 2019

YOON, Seog Won· Various breaches of the Legal
Profession Act 2004
· Misappropriation of trust funds· Failing to comply with s370 Notice· Finding of professional misconduct· Recommendation of removal of
Solicitor’s name from the Roll
· Costs

20 February 2019

YOUSSEF, Mouna· Failure to comply with s370 Notice· Finding of unsatisfactory professional
conduct Reprimand· Course· Costs

23 November 2018

ZAKI, Nader Youssef· Failure to comply with s371 Notice· Finding of professional misconduct

19 March 2019

PROFESSIONAL STANDARDS DEPARTMENT ANNUAL REPORT 2018/2019 | 19

LITIGATION AND INTERVENTION
Court Matters

Federal Court Matters

Supreme Court Matters

Rubis v Garrett as Trustee of the Andrew
Garrett Family Trust Trading as Dynamic
Commercial Workforce Solutions (No 2) –Security interest claim.

The following matters were heard in the 2018/2019 yearby the Supreme Court of New South Wales (including the
Court of Appeal and Court of Criminal Appeal):1.

AB v Law Society of New South Wales [2018]
NSWSC 1975 – Judicial review proceedings –Upheld.
2. Berger v Council of the Law Society of New
South Wales [2019] NSWCA 119 – Appeal
against NCAT order – Dismissed.
3. Burrows v Law Society of New South Wales[2019] NSWCA 8 – Leave to appeal costs order –Dismissed.
4. Council of the Law Society of New South
Wales v Hedges – Supreme Court of NSW
proceedings no. 2018/00281137 – Appeal
against NCAT order – Upheld.
5. Council of the Law Society of New South
Wales v Hedges – Supreme Court of NSW
proceedings no. 2018/00281138 – Appeal
against NCAT order – Upheld.
6. Council of the Law Society of New South
Wales v Parente [2019] NSWCA 33 – Removalof solicitor as not a fit and proper person – Upheld.
7. Council of the Law Society of New South
Wales v Levitt [2018] NSWCA 247 – Judicial
review proceedings – Upheld.
8. JB v Regina [2019] NSWCCA 48 – Variation of
suppression and non-publication orders.
9. Mendonca v Legal Services Commissioner[2019] NSWSC 409 – Appeal against refusal toconduct internal review.
10. MN Legal and Management Consultants Pty
Ltd v The Council of the Law Society of New
South Wales; Michail v The Council of the
Law Society of New South Wales [2018]
NSWSC 1410 – Appeal against decision to suspend
practising certificate – Dismissed.
11. Tangsilsat v Council of the Law Society of
New South Wales [2019] NSWCA 144 – Appeal
against NCAT order – Dismissed.
12. Council of the Law Society of NSW v O’Brien[2019] NSWSC 383 – Application for freezingorder – Upheld.
13. Council of the Law Society of New South
Wales v Cassidy (being the former principalof ECK Lawyers Pty Ltd – an incorporated
legal practice trading as ECK Lawyers)[2018] NSWSC 2008 – Application forappointment of receiver – Upheld.
14. Council of the Law Society of New South
Wales v XX [2019] NSWSC 874 – Application
for injunction order – Upheld.

High Court Matters
Council of the Law Society of New South Walesv Levitt [2019] HCATrans 78 – 12 April 2019 –Special leave application – Dismissed.

Unqualified PracticeThe Society’s role, in addition to protecting the publicagainst the inappropriate conduct of solicitors, includes
investigating queries about entities that may have breachedsections 10(1) and/or 11 of the Uniform Law.
Section 10(1) of the Uniform Law prohibits entities fromengaging in legal practice in New South Wales when they
are not qualified to do so. Section 11(1) of the Uniform Law
prohibits entities from holding themselves out as entitledto engage in legal practice.
In dealing with queries about potential breaches of sections
10(1) and 11 of the Uniform Law, Professional Standards
will usually, in the first instance, attempt to resolve matterswithout commencing legal proceedings by liaising with theentity the subject of the query.
In 2018/2019:••

Disqualification of Individuals
The Society may apply to the NCAT for an order, under
section 119 of the Uniform Law, disqualifying an individual(other than a legal practitioner) for the purposes of the
Uniform Law.
Grounds for disqualification include:
•
•
•

•

20 |

40 enquiries about unqualified practice were dealt with, adecrease from the 51 enquiries in the previous reporting
period.
No court proceedings were instituted.

the individual has been convicted of a serious offence;
the individual is not a fit and proper person to be employedor paid in connection with the practice of law, or to be
involved in the management of a law practice;the individual was formerly an Australian legal practitioner
and has been guilty of conduct that constituted
unsatisfactory professional conduct or professional
misconduct; orthe individual has been guilty of conduct that, if the person
were an Australian legal practitioner, would haveconstituted unsatisfactory professional conduct orprofessional misconduct.

LITIGATION AND INTERVENTION
External Intervention

Supervisors

In certain circumstances, the Council may determine
to initiate external intervention in relation to a law
practice. The circumstances, where externalintervention may be warranted are outlined in section
326 of the Uniform Law and include:

The Council may resolve to appoint a supervisor to a law
practice pursuant to section 329 of the Uniform Law. A
supervisor of trust money of a law practice has the powers
and duties of a law practice in relation to all trust money,
that is, to receive trust money into a law practice, to open
and close trust accounts and to make payments to thoseparties entitled.

•
•
•

•
•
•

when a solicitor ceases to hold a practising certificate;
where a law practice or an unincorporated legal
practice has been wound up or dissolved;
where the Society believes on reasonable grounds thata law practice is not dealing with trust money
adequately or where there has been a serious
irregularity in relation to trust money;
where a solicitor is in prison;
where a solicitor has failed to comply with any
requirement of an investigator or external examiner
appointed under the legal profession legislation; orwhere a solicitor ceases to be engaged in legal practicewithout making provision for properly dealing withtrust money or for properly winding up the affairs of
the law practice.

The particular facts and circumstances of each matter
will determine the form of any external intervention.
In addition, the facts and circumstances may warrant
the appointment, by the Council, of an external
investigator.

Managers
The Council may resolve to appoint a manager to a law
practice under section 334 of the Uniform Law.
Managers are generally appointed to ensure theorderly conduct of the matters of a law practice, forexample, upon the death or ill health of a solepractitioner or where a receiver’s powers of collecting
or tracing trust property are not required. A manager
must hold Principal of a Law Practice practisingcertificate and will take over all of the duties andresponsibilities of a solicitor’s law practice and disposeof the law practice.

In 2018/2019, the Council appointed a total of 4
supervisors.

Receivers
The Council may resolve to apply to the Supreme Court of
New South Wales for the appointment of a receiver to alaw practice pursuant to the grounds set out in the
Uniform Law, including where a solicitor has ceased tohold a practising certificate, is mentally or physicallyinfirm, has abandoned his or her practice, or has died, orwhen a client cannot obtain trust property. A receiver’s
powers, as outlined in the Uniform Law, are extensive andinclude taking possession of all trust property of the law
practice.
In 2018/2019, the Council appointed a total of 2 receivers.

Investigators
The Council may also resolve to appoint an external
investigator if there is a suspicion of improper conduct orirregularity in relation to a solicitor’s law practice orgeneral affairs. The external investigator may be either asolicitor or an accountant and is tasked to examine theaffairs of the solicitor or law practice generally or in
relation to a specific matter.
In 2018/2019, the Council appointed a total of 5 external
investigators.

In 2018/2019, the Council appointed a total of 28
managers.

PROFESSIONAL STANDARDS DEPARTMENT ANNUAL REPORT 2018/2019 | 21

COMPLIANCE AND DISCLOSURE
The legal profession legislation requires applicants for,and holders of, practising certificates to disclose certain
matters to the Society.
Relevantly, these are:1.

“Automatic show cause events” - Part 3.5 of the
Uniform Law sets out certain “automatic showcause events” that solicitors must disclose to theSociety. Such “automatic show cause events” aredefined in section 86 of the Uniform Law andinclude a bankruptcy event, conviction for a serious
offence (indictable offences) or a tax offence.
2. Matters involving section 51 of the Uniform Law –such matters include a charge or conviction for aserious offence, a tax offence or an offence specified
in rule 15 of the Legal Profession Uniform General
Rules 2015 (NSW) (Rules), a bankruptcy related
event or disciplinary proceedings brought against asolicitor in a foreign country.
3. Matters referred to in rule 13 of the Rules - At thetime a solicitor renews or applies for a practisingcertificate, consideration must be given to thedisclosure of each of the matters referred to in rule13(1) of the Rules for the Society to determine
whether or not s/he is a fit and proper person to
hold a practising certificate.

22 |Applicants for a practising certificate are also required
to disclose certain preadmission events such asconvictions and other incidents affecting their fitness
to practise pursuant to section 93 of the Uniform Law.

•

The Society expects that all relevant persons engaging,or seeking to engage, in legal practice in New South
Wales are aware of and comply with the mandatory
disclosure obligations.

Disclosure Committee
The Disclosure Committee, under delegation of theCouncil, deals with the matters that solicitors are
required to disclose to the Society. The Disclosure
Committee does not have the power to make adetermination adversely affecting a solicitor’s right topractice. Any such determination is reserved for theCouncil.
In 2018/2019, the Disclosure Committee comprised 2
Councillors of the Society, 7 solicitors and 2 laymembers. It met 9 times to make determinations on
the reports tabled before it.

•
•
•
•

•

In 2018/2019:•••

A total of 280 disclosures were made to the Society, an
increase of 71 from the previous reporting period.
This included 145 pre-admission disclosures, which isan increase of 60 from the previous reporting period.
Of the 280 disclosures received:• 213 involved summary offences, consisting
predominantly of driving offences (such as drinkdriving, negligent driving, driving without alicence, traffic infringements and parking
infringements), possession of prohibited drugs,
academic misconduct, Centrelink overpayments,
disorderly behavior, failure to attend jury duty,
failure to vote, failure to leave licensed premises,
drinking in public, public nuisance, jaywalking,possessing a knife in public, failure to submit tobreath test, behaving in an offensive manner,
breaching biotechnology regulations, breachingcustoms regulations and using false identification.

•

41 involved serious offences including aggravatedbreak and enter, affray, larceny, destroying anddamaging property, indecent assault, common assault,
stalking and intimidating, assaulting police andresisting/ hindering arrest, breaching domestic
apprehended violence orders, recklessly dealing withthe proceeds of crime, accessory after the fact tomurder, child pornography offences, obtaining
financial advantage by deception, fraud, conspiracy todefraud, breaching security regulation andparticipating in criminal group.
5 were notifications of bankruptcy.
11 were notifications relating to mental health.
10 were notifications relating to disciplinary
proceedings other than brought by the Society.
No further action was taken in relation to 192
disclosures made to the Society on the basis that theoffence did not impact upon the solicitor’s fitness topractice. Of these 192 disclosures, 118 related to preadmission/Rule 13 disclosures, 20 were bankruptcy
disclosures, 12 related to serious offences and 32
concerned summary offences.
6 disclosures resulted in undertakings being given bysolicitors. The undertakings arose from the disclosureof bankruptcy, medical conditions, stalking andintimidating, drink driving and contravening
apprehended domestic violence orders. The
undertakings included the obligation to provide
regular medical and/or financial reports to theSociety.
8 disclosures were referred to Professional Standards 3 related serious offences, 3 related to bankruptcy and3 related to a medical condition.

PROFESSIONAL STANDARDS DEPARTMENT ANNUAL REPORT 2018/2019 | 23

PROFESSIONAL SUPPORT ETHICS UNIT
The Ethics Unit of the Professional Support Unit (Ethics
Unit) and the Society’s Ethics Committee provide
professional assistance and specialist services to the legal
profession and help on a wide range of topics.
These activities have resulted in the maintenance andenhancing of ethical and professional standards within
the legal profession.

Overview
An emphasis was made to provide timely and practicalguidance to all members of the legal profession andassistance to resolve ethical conflicts when and in theevent they arose. The services were provided by several
methods of communication including a telephoneenquiry line, an ethics e-mail in-box and personal
attendance by solicitors. More complex and technicalmatters were resolved using written guidance and review
by the Ethics Committee.
In addition to these services, the Society’s website also
contains detailed guidelines on frequently asked
questions concerning ethics in legal practice. Monday
Briefs an electronic newsletter and a regular ethics
column in the Law Society Journal also assist the
profession with ethical issues.
The Ethics Unit received and resolved 3230 enquiries,
which reflects the ongoing need for the services
provided. The number of enquiries remains steady fromthe previous reporting period. Of these 3230 enquiries:••••

706 (21.9%) related to conflict of interest issues
379 (11.7%) related to confidentiality/privilege issues
260 (8%) related to communication issues
209 (6.5%) related to liens/documents issues

The frequency and range of ethical issues raised by thelegal profession illustrate the value of the services
provided and reflects the important role of the Ethics
Unit and Ethics Committee.

24 |The Ethics Committee and its Functions

Highlights of 2018/2019

The Ethics Committee’s role and function are derived
from the directives given by the Council and thedelegation of powers from the Council to the Ethics
Committee. Each year, the Council reviews andscrutinizes a set of goals focusing on maintaining andpromoting the high ethical standards expected of thelegal profession.

•

The Ethics Committee has a diverse membership that
represents the depth of the legal profession and thepractical skills needed in daily practice. Members of
the Ethics Committee have many years of experiencein legal practice and are from a diverse group ofpractitioners including government departments,
private practice (large, medium and small) and inhouse departments.

•

•
•

•
•

The provision of professional assistance and specialist
services to the legal profession and for accredited
specialists.
Addressing the key needs of the various sectors(government, in-house, private firms and young solicitors)
within the legal profession.
Provision of ethics training for the Practice Management
Course provided by the Society.
Content and delivery of Ethics modules utilizing a suite of
new information technologies to promote access andavailability for the legal profession.
Developing greater links between the public and legal
profession to promote ethical issues.
Providing leadership within the legal profession andfostering links between state and national organizations topromote ethical standards for the profession.

In 2018/2019, the Ethics Committee comprised of 18
members of the legal profession, with the Chair of thecommittee also a Councillor of the Society. The Ethics
Committee met each month and reviewed a broad
range of ethical matters affecting the legal profession.
The specialist services provided by the Ethics
Committee include:
•
•
•
•

•

Providing the various sectors of the legal profession
with assistance and oversight.
Responding to enquiries made by solicitors byproviding guidance and information.
Running practical activities including developing andimplementing education programmes and publishingrelevant guidelines and articles on specific topics.
Reviewing developments and preparing submissions
in relation to law reform proposals, Legal Profession
Uniform Law Australian Solicitors’ Conduct Rules
2015 (NSW), case law and academic papers.
Promoting a culture of integrity and independence
within the legal profession and promoting publicconfidence in the legal profession.

Administrative and legal support is provided to the
Ethics Committee by the Ethics Unit.

PROFESSIONAL STANDARDS DEPARTMENT ANNUAL REPORT 2017/2018 | 25

PROFESSIONAL SUPPORT LEGAL COSTS UNIT
The Legal Costs Unit of the Professional Support Unit
(Costs Unit) provides specialist costs advice andeducation to all solicitors in New South Wales,
regardless of their membership status, as a means of
ensuring their compliance with the legislation. It
promotes this service in the Law Society Journal andthe Law Society Members’ Services Guide. The Costs
Unit had a busy and productive year assisting andguiding the legal profession through all their costs
enquiries and individual costs needs.
The year was dominated by significant interest andrequests for seminar presentations on the costs
disclosure obligations under the legal profession
legislation. The Cost Unit in conjunction with the Costs
Committee also reviewed and promoted the Society’s
updated Costs Guidebooks.
The most common problems faced by solicitors
requiring assistance included:••••

Costs Agreements and Disclosure.
Withdrawal of costs and disbursements from money
held in trust.
Recovery of legal costs and assessment.
Recovery of party/party costs.

Education
Once again the Costs Unit had an increased number ofpractitioners attending seminars on legal costs thisyear. Practitioners continue to express concern about
the strict disclosure obligations contained in the
Uniform Law. There are a number of areas wherepractitioners could benefit from further guidance suchas scoping legal costs for the purposes of providing asingle figure estimate of total legal costs. The costs unit
is striving to develop practically oriented “workshop”
presentations addressing problem areas such ascommunication, file transfers, disclosure and billing.
A number of medium and large law practices in the
Sydney CBD and Parramatta requested speakers fortheir in-house Continuing Professional Development(CPD) sessions during the year.
Seminars organised by the Society at its office again
attracted large audiences. These were mainly fromsmall to medium law practices with a number of solepractitioners.
The Costs Committee is committed to providing CPD
sessions to suburban and regional areas.

26 |The suburban and regional areas attended by the
Costs Unit included:
•
•
•
•
•
•
•
•
•
•
•
•

Maitland.
Newcastle.
Wollongong.
Coffs Harbour.
Parramatta.
Gosford.
Manly.
St. George Sutherland.
Campbelltown & Macarthur.
Nowra.
Forster.
Grafton.

In addition the Costs Unit also provided speakers forgovernment, community and educationalorganisations such as the Crown Solicitors Office, theDepartment of Customer Service (NSW), Community
Legal Centers and District Court judges’ associates.
Significant preparation was undertaken to ensure thatthese seminars were tailored to those entities.

Other Work
The Costs Unit researched and provided seminars on:
•
•
•

•

Costs disclosure, costs agreements and billing under
the Uniform Law.
Costs Assessments, costs disputes, determinations by
the Commissioner and Compensation Orders under
the Uniform Law.
The various forms of security available to a practitioner
with respect to protection of their fees including
possessory liens, equitable liens, caveats andmortgages together with what constitutes reasonable
prospects of success.
Regulated costs and withdrawing money from trust to
pay professional fees.

The Costs Unit also researched and wrote articles
relating to costs for the Law Society Journal with new
costs issues highlighted by reference in Monday
Briefs.

The Costs Committee
The Costs Committee consists of practitioners from a
range of legal practice. The Costs Committee:•••

monitors the effect of the Civil Procedure Act 2005
(NSW) and the Rules with respect to costs.
monitors the efficacy of the Costs Assessment Scheme.
examines and comment on legislation and law
reform proposals relating to solicitors’ costs.

These activities aim to reduce the regulatory burden forsolicitors, simplify the provisions in the legislation andensure its effectiveness.
The Costs Committee also produces a range of information
resources such as the Costs Guidebook and handles directenquires from solicitors.
The Costs Unit continues to provide assistance to the Costs
Committee including providing a responsible legal officer
to assist the Committee. It is also committed to facilitating
communication between the legal profession and the Costs
Committee.

Costs Recovery
The Costs Unit assists with the recovery of legal costs
incurred by the Society during the course of its disciplinary
and investigative functions. The Society attempts torecover costs pursuant to costs orders, recovery of fines
imposed and costs incurred by the appointment ofsupervisors, managers, investigators and receivers.
Fines and lump sum costs payments ordered by NCAT are
enforced by applying to NCAT under section 78 of the Civil
and Administrative Tribunal Act 2013 (NSW) for acertificate, which can then be registered as a judgment.
The legal profession legislation allows Council to specify
the fees of supervisors, managers, investigators andreceivers, making those fees a debt payable by the law
practice the subject of the investigation.

PROFESSIONAL STANDARDS DEPARTMENT ANNUAL REPORT 2018/2019| 27

PROFESSIONAL SUPPORT REGULATORY COMPLIANCE
As an integral part of the Professional Support Unit ofProfessional Standards, the Regulatory Compliance
Support Unit (Regulatory Compliance Unit) provides
comprehensive guidance to the legal profession aroundissues of a regulatory nature.

Overview
In 2018/2019, the Regulatory Compliance Unit responded
to more than 3,800 issues raised by the legal profession.
Areas giving rise to the highest number of queries remain
practice management, practising certificates and businessdevelopment.
Employment related queries also remained high reflecting
the changing nature of employment relationships
including flexible and part-time work arrangements aswell as requirements for contracting legal services.
As has been the case in previous years, the incorporated
legal practice (ILP) remains a popular practice structure
amongst the profession. Queries on establishment of an
ILP remained in the top 5.
There was a notable reduction in queries arising from inhouse practice this year. Anecdotally, this may be a resultof the settling in of changes introduced by the Uniform
Law for corporate and government lawyers.

Highlights of 2018/2019
LSJ Articles
In addition to and complimenting professional skills andpractice management seminars, the Regulatory
Compliance Unit prepared practice management andcompliance risk articles for publication in the Law Society
Journal. Published articles include:
•
•
•
•
•

28 |

“Top 5 tips to boost your productivity at work”.
“Better business management for a sustainable practice”.
“Three compliance considerations for staff recruitment”.
“Contingency and succession planning”.
“Responsibilities of Principals”.

Collaboration on Licensing Issues•

The Regulatory Compliance Unit worked
collaboratively with other departments at the Society
and the Society Registry.

•

The Regulatory Compliance Unit assisted Registrystaff with regulatory issues including:
•
•
•
•
•

Practising certificate limitation.
Interstate practice.
Registration of foreign lawyers/practise of foreign
law/overseas practice.
Supervised legal practice.
Pro-bono practice.

Collaboration on Strategic Policy issues
•
•
•
•
•

Anti Money Laundering & Counter Terrorist Financing
Tranche 2.
Migration Amendment (Regulation of Migration
Agents) Bill 2017.
Incorporated Legal Practice Principals.
Management Investment Schemes.
Review of admission of foreign qualified lawyers in
New South Wales.

Practice Restructuring
The Regulatory Compliance Unit assisted a significant
number of law practices with restructuring during thereporting period. Popular areas of practice restructure
included sole practitioner to an ILP and law firm to an
ILP as well as law firm partnerships converting toUnincorporated Legal Practices (ULP) partnerships.
As a fundamental part of this type of restructuring,companies were often included as members of a newor restructured ULP partnership. The publishedTransfer of a Practice Checklist proved particularly
useful in this regard.

Practice Management Guidance
One of the key areas for the Regulatory Compliance
Unit was the provision of guidance on practicemanagement issues. Key areas of practicemanagement included:
•
•
•
•
•
•

Assisting law practices in developing appropriate
practice management systems.
Providing guidance on appropriate titles for staff.
Assisting with employment related queries.
Discussions surrounding regulatory requirements ofpro-bono practice.
Guidance for interstate practices/solicitors.
Assisting solicitors experiencing bullying in theworkplace – in particular employed solicitors - rule 42of the Legal Profession Uniform Law Australian
Solicitors’ Conduct Rules 2015 (NSW).

Providing guidance around succession planning for solepractitioners and sole principals of an incorporated legal
practice.
Rule 37 guidance for complying with ‘reasonablesupervision’ requirements.

Education
The Regulatory Compliance Unit noted an increase in thenumber of requests for seminars. In response to theserequests the number of seminars provided by theRegulatory Compliance Unit increased to 72.
Consistent with the trend of previous years, theRegulatory Compliance Unit responded to the demandfor on-site regional and suburban seminars. Seminars inmetropolitan and regional areas presented with theassistance of the respective metropolitan or regional law
society included Chatswood, Fairfield, Toongabbie,
BASIL, Clarence Chambers and the Women Lawyers
Association. Regional law society conferences attended
included Grafton, Maitland, Albury, Newcastle andWollongong where 1 hour CPD workshops and lectures
were presented. The Regulatory Compliance Unit also
provided an increased number of seminars on-site at law
practices, at the Society office and at government
conferences including ASIC, the Australian Taxation
Office (Sydney and Newcastle), the Department of
Customer Service (NSW), the University of New South
Wales and the Crown Solicitors Office.
Following the publication of the Regulatory Compliance
Unit’s article featuring “succession planning for law
practices” in the February 2019 edition of the Law
Society Journal, the Regulatory Compliance Unit
responded to specific requests from 4 regional law
societies and one metropolitan solicitors’ organisation forsuccession planning seminars.
1-hour CPD seminar topics included:
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•

Practice management systems.
Productivity skills for legal practitioners.
Induction seminar for in-house solicitors.
Risk management systems for legal practitioners.
Supervision of legal services.
Delegation skills.
Practice structures.
Marketing a law practice.
Succession planning.
Undertakings and client retainers.
Compliance driving profit.
Compliance pitfalls.
The cost of not communicating.
Managing a law practice trust account.
Written communication seminar.
Responsibility of principals – reasonable steps.
Legal professional privilege for in-house solicitors.
Undertakings for in-house solicitors.

PROFESSIONAL STANDARDS DEPARTMENT ANNUAL REPORT 2017/2018 | 29

APPENDIX
Table 1 - Number of complaints opened, by type of complaint
INVESTIGATIONS

10

11

12

13

Personal Conduct

14

15

16

17

18

19

195

165

226

284

202

260

Unethical Conduct

165

128

150

118

71

77

113

122

91

155

Negligence

40

40

25

48

29

24

20

44

23

31

Misleading

46

24

22

29

32

23

58

45

35

24

Conflict of Interest

25

15

17

22

16

16

12

31

18

27

Failure to Transfer Documents

7

10

7

4

6

3

2

4

6

4

Communicating with a Client of Another Solicitor

5

9

3

4

10

8

9

7

7

2

Breach Confidentiality

8

4

6

7

4

2

5

6

5

2

False Swearing of Documents

6

4

1

7

11

3

2

13

3

3

Undue Pressure

2

3

2

1

3

0

0

1

3

2

Threatening Behaviour

1

3

4

7

9

7

4

8

10

10

Failure to Assist Law Society

0

1

0

0

0

2

0

1

0

0

Borrowing from Client

2

0

5

6

4

0

1

2

1

0

52

48

59

68

49

48

Cost / Payment Issues
Failure to Pay Third Party

40

37

31

42

35

29

43

34

33

24

Overcharging

14

14

11

9

8

5

8

17

11

1

No Costs Disclosure

10

9

13

6

6

12

6

8

3

19

Failure to Provide a Detailed Account

12

3

0

0

2

1

0

5

1

1

Transfer Costs Without Authority

0

2

3

5

1

1

2

4

1

3

65

67

68

75

65

50

Communication / Service
No Communication

16

17

24

8

9

10

11

14

13

12

Failure to Carry Out Instructions

39

12

13

10

14

18

11

15

13

6

No Client Advice

6

12

5

1

5

3

6

0

2

2

Discourtesy

4

11

7

1

10

13

6

8

13

9

Act Without/Contrary to Instructions

9

7

10

6

15

13

19

15

11

12

Delay

11

4

7

7

9

7

11

15

11

8

Lack of Supervision

8

4

2

7

2

3

3

7

0

0

No Advice on Progress

1

1

4

0

1

0

1

1

2

1

53

45

42

102

63

33

Non-Compliance
Not Complying with Undertaking

20

15

11

18

13

8

8

19

9

9

Practising without a Practising Certificate

12

12

1

8

11

11

7

36

15

1

Not Complying with a s.660 Notice

16

11

1

5

2

4

3

2

0

0

Not Comply with Legal Profession Act/Regulations

15

9

19

19

19

15

20

41

38

21

Not Complying with Fiscal Obligations

6

8

11

14

8

7

4

4

1

2

76

47

40

57

33

15

Trust Account matters
Breach of Sections of Act / Regs relating to Trust Moneys

31

22

19

41

40

23

17

19

2

0

Failure to Account

11

14

13

14

10

11

10

22

23

8

Misappropriation

17

7

8

5

26

13

13

16

8

7

0

6

13

14

69

92

0

1

2

0

0

0

Other
Review Re-Investigation

30
|

3

5

27

3

APPENDIX
Act on Subpoena

1

1

1

0

0

Liens

3

5

3

0

1

237 NON COMPLY SECTION 371 NOTICE

1

6

4

0

241 MANAGER APPOINTED - NO CONDUCT

4

4

1

0

223 FAILURE TO SUPERVISE

52235 BREACH SECTION 138 LPUL

1410238 OTHER TRUST BREACHES

80242 BREACH SECTION 137 LPUL

1

1

243 CAUSING A DEFICIENCY IN THE TRUST ACCOUNT

12245 INTERVENER

35

0

0

0

Rulings Enquiries

1

0

0

246 OLSC Enquiry

69

217 Practising Contrary to Practising Certificate

6

236 Breach Section 147 LUPL

1

TOTAL NUMBER OF INVESTIGATIONSCONSUMER DISPUTESTOTAL NUMBER OF COMPLAINTS OPENED 1

608

477

482

482

441

378

448

600

481

498

72

68

68

64

39

30

1

0

0

0

680

545

550

546

480

408

449

600

481

498

Notes:
1 Includes complaints made by the Law Society

PROFESSIONAL STANDARDS DEPARTMENT ANNUAL REPORT 2018/2019 | 31

APPENDIX
Table 2 - Number of complaints opened, by type of complainant
COMPLAINANT TYPE

10

11

12

13

14

15

16

17

18

19

Client/Former Client

222

159

174

124

141

116

115

179

134

115

Law Society

110

87

72

94

84

73

60

111

90

104

Solicitor

91

87

88

98

81

73

70

72

56

40

Third Party

82

85

78

104

84

69

70

69

80

103

Third Party (Other Side)

95

63

76

68

56

35

94

121

77

98

Barrister

43

37

40

32

11

22

20

22

16

9

Solicitor for Client

27

22

18

16

12

11

7

6

13

7

Legal Services Commissioner

4

3

2

7

5

4

7

11

3

2

Other 1

6

2

2

3

6

2

6

5

9

16

Trust Account Inspector

1

Executor

2

0

2

3

1

Attorney General

1

0

2

0

2

408

449

600

481

498

TOTAL NUMBER OF COMPLAINTS OPENED

680

545

550

546

480

Notes:
1 Other includes Legal Aid Commission, Government Department and Beneficiary

Table 3 - Complaints opened, by solicitor type
NUMBER OFCOMPLAINTSCOMPLAINTS AS %OF TOTAL ACTIVE
SOLS 1,2% OF TOTALCOMPLAINTS

Principal of Law Practice312

0.902%

62.65%

Employee of Law Practice91

0.263%

18.27%

Not Practising/Ceased Practising46

0.133%

9.24%

Complaints Against Firms

33

0.095%

6.63%

Corporate Legal Practitioner

100.029%

2.01%

Government Legal Practitioner

60.017%

1.20%

SOLICITOR TYPETOTAL NUMBER OF COMPLAINTS OPENED

498

Notes:
1 At 30 June 2019 total active solicitors 34,600 (Source: Law Society of NSW, Policy & Research)
2 Includes multiple complaints against individual solicitors

32|

APPENDIX
Table 4 - Complaints opened, by practice region 1
REGIONNUMBER OF COMPLAINTS

Sydney City

125

Suburban140

Bankstown & District

8

City of Sydney

8

Eastern Suburbs

9

Inner West

23

Liverpool & District

11

Macarthur

6

Nepean Hawkesbury

3

North Metropolitan

18

Northern Beaches

11

Parramatta District

30

St. George-Sutherland

13

Regional

29

Newcastle

12

Hunter/Central Coast

13

Wollongong

3

Blue Mountains/Nepean

1

Rural

54

Interstate

1

Other

149

TOTAL NUMBER OF COMPLAINTS OPENED

498

Notes:
1 Refers to individual solicitor complaints

PROFESSIONAL STANDARDS DEPARTMENT ANNUAL REPORT 2018/2019 | 33

APPENDIX
Table 5 - Number of complaints closed, by result
RESULT TYPE

2019

Reprimand (Tribunal)

1

Complaint Withdrawn

1

No Prof Misconduct

2

Receiver Appointed

1

Appointment Terminated5

S.511 Summary Dismiss

4

Application Dismissed

3

Struck Off

2Complaint Withdrawn - S273(1)70

Misconceived/Lacking in Substance - S277(1)(A)145

Time Limit Not Waived Under S272(1) - S277(1)(B)21

Failure/Inadequate Response to Request for Info - S277(1)(C)63

Complaint Already/Has been Investigated - S277(1)(D)

7Complaint Better Dealt with by Law Enforcement/Investigatory Body - S277(1)(E)

5DLRA Made Recommendation Under Section 82(4) - S277(1)(F)3

No Further Investigation Required Except Cm - S277(1)(H)6

No Power to Investigate Complaint - S277(1)(I)1

Public Interest Closure - S277(1)(J)1

Cm Caution - S290(2)(A)1

D Caution - S299(1)(A)

3

D Reprimand - S299(1)(B)

11

D Initiate Tribunal Proceedings - S300(1)20

Tribunal Decision Handed Down

1

Supreme Court Judgment Handed Down

1

Referred back to LSC

1Closed Awaiting Advice

1

Closed Enquiry

78

Closure - No UPC/PM

91

Dismissal/No PMC/UPC

3

Resolved

41

Closed Enquiry

7

TOTAL

34
|

600

APPENDIX
Table 6 - Complaints opened and closed within the 2018/2019 reporting period
COMPLAINT TYPENUMBEROPENEDNUMBER
CLOSED% OF OPENEDAct Without/Contrary to Instructions

12

1

8%

Borrowing from Client

0

0

0%

Breach of Confidentiality

2

1

50%

Communicating with a Client of Another Solicitor

2

2

100%

Conflict of Interest

27

10

37%

Consumer Dispute

0

0

0%

Delay

8

4

50%

Discourtesy

9

0

0%

Failure to Carry Out Instructions

6

1

17%

Failure to Pay Third Party

24

13

54%

Failure to Provide a Detailed Account

1

0

0%

Failure to Transfer Documents

4

1

25%

Failure to Account

8

0

0%

False Swearing of Documents

3

1

33%

Lack of Supervision

0

0

0%

Misappropriation

7

0

0%

Misleading

24

3

13%

Negligence

31

11

35%

No Advice on Progress

1

0

0%

No Client Advice

2

0

0%

No Communication

12

6

50%

Not Complying with Fiscal Obligations

2

0

0%

Not Complying with Undertaking

9

4

44%

No Costs Disclosure

19

1

5%

No Statement Available

0

0

0%

Not Complying with a s.660 Notice

0

0

0%

Not Complying with Legal Profession Act/Regulations

21

7

33%

Other Trust Breaches

0

0

0%

Overcharging

1

1

100%

Practising Without a Practising Certificate

1

0

0%

Review Re-Investigation

0

0

0%

Section 255 Breach Trust Money

0

0

0%

Section 264 Breach Trust Records

0

0

0%

Transfer Costs without Authority

3

0

0%

Threatening Behaviour

10

3

30%

Undue Pressure

2

0

0%

Unethical Conduct

155

70

45%

Act on Subpoena

0

0

0%

Liens

1

1

100%

PROFESSIONAL STANDARDS DEPARTMENT ANNUAL REPORT 2018/2019 | 35

APPENDIXNon Comply Section 371 Notice

0

0

0%

Manager Appointed - No Conduct

0

0

0%

Rulings Enquiries

0

0

0%

Failure to Assist Law Society

0

0

0%

Breach Section 138 LPUL

10

1

10%

Failure to Supervise

2

0

0%

OLSC Enquiry

69

11

16%

Practising Contrary to Practising Certificate

6

0

0%

Causing a Deficiency in the Trust Account

2

1

50%

Breach Section 147 LUPL

1

0

0%

Breach Section 137 LUPL

1

0

0%

498

154

31%

TOTAL

36
|

APPENDIX
Table 7 - Number and type of proceedings instituted at NCATNAME OFSOLICITORCONDUCT

ORDERS MADEDATE OF ORDERSADAMSON, Luke Jerome· Deficiencies in trust account and othermatters· Finding of professional
misconduct· Removal of Solicitor’s name fromthe Roll· Fine· Costs

2 January 2019

AUTORE, Anthony· Failure to comply with s371 notice· Finding of professional
misconduct· Reprimand· Restrictions on practisingcertificate· Costs

14 May 2019

BOUZANIS, Peter· Various breaches of the Legal
Profession Act 2004

· Finding of professional
misconduct· Reprimand· Fine· Costs

10 July 2018

CLARKE, Daniel
Christopher· Breach of undertaking· Making statements/representations
which were misleading· False and misleading conduct· Finding of professional
misconduct· Reprimand· Fine· Costs

14 August 2018

COREN, Nicholas
Mitchell· Various breaches of the Legal
Profession Act 2004
· Misappropriation of trust funds· Failure to communicate· Finding of professional
misconduct and unsatisfactory
professional conduct· Removal of Solicitor’s name fromthe Roll· Costs

26 April 2019

CUMMINS, Paul Bernard· Breach of condition of a practisingcertificate· Attempt to intimidate Counsel· Finding of professional
misconduct· Reprimand· Fine· Costs

14 November 2018

DIB, Ghassan· Failure to comply with s371 Notice· Failure to assist investigator· Finding of unsatisfactory
professional conduct· Reprimand· Fine· Costs

18 January 2019

DO, Tien Ngoc
(also known as Ngoc Tien
Do)

· Misappropriation of trust funds· Various breaches of the Legal
Profession Act 2004 and Legal
Profession Regulation 2005
· Failure to carry out instructions· Finding of professional
misconduct· Removal of Solicitor’s name fromthe Roll· Costs

5 September 2018

DXW

· Trust account breaches· Finding that Tribunal had no
jurisdiction

25 June 2019

FEENEY, Judy Anne

· Various breaches of the Legal
Profession Act 2004 and the Legal
Profession Regulation 2005
· Misappropriation of trust funds· Finding of professional
misconduct· Removal of Solicitor’s name fromthe Roll· Costs

19 October 2018

GURUSAMY, Baskaran· Various breaches of the Legal
Profession Act 2004 and the Uniform
Law· Failure to disclose payment offinancial benefit to third party· Finding of professional
misconduct· Reprimand· Fine· Costs

12 June 2019

HEDGES, Brent Arthur· Various breaches of the Legal
Profession Act 2004
· Delay in payment of third party fees
· Failure to communicate· Finding of professional
misconduct· Fine· Costs

3 September 2018

HEDGES, Stephen Lewis· Various breaches of the Legal
Profession Act 2004
· Delay in payment of third party fees

· Finding of professional
misconduct
Fine· Costs

3 September 2018

PROFESSIONAL STANDARDS DEPARTMENT ANNUAL REPORT 2018/2019 | 37

APPENDIXHELBY, Christopher
Vincent· Failure to disclose costs· Various breaches of the Legal
Profession Regulation 1994
· Failure to provide trust accountstatements· Finding of unsatisfactory
professional conduct· Reprimand· Fine8 November 2018

KING, Denise Elizabeth· Acting against client’s interests· Engaging in threatening behaviour
when seeking payment of costs· Failure to make timely costs disclosure· Finding of professional
misconduct and unsatisfactory
professional conduct· Removal of Solicitor’s name fromthe Roll· Costs

19 September 2018

HO, Darren· Drafted and submitted false
correspondence and false Statutory
Declaration to the Society· Finding of professional
misconduct· Reprimand· Restrictions on right to practice· Costs

3 June 2019

LEWIS, Paul Edward· Failure to comply with undertaking· Practising in breach of a condition on
practising certificate· Finding of professional
misconduct· Reprimand· Fine· Costs

24 June 2019

MARANDO, Mark Paul· Breach of Tribunal order· Breach of undertaking to the Society· Finding of professional
misconduct· Reprimand· Fine· Costs

7 December 2018

MESSIHA, Nadia· Misappropriation of trust funds· Various breaches of the Legal
Profession Act 2004 and Legal
Profession Regulation 2005

· Finding of professional
misconduct· Reprimand· Course· Fine· Costs

22 February 2019

MOORE, Simeon Peter· Application to file Disciplinary
Application out of time

· Application dismissed

24 August 2018

MULOCK, Mark Joseph· Practising without a practisingcertificate· Failure to obtain professional
indemnity insurance· Finding of professional
misconduct· Reprimand· Costs

28 August 2018

PETROVICH, Vic· Failure to comply with undertakings· Finding of professional
misconduct· Reprimand· Costs

28 March 2019

POWELL, Helen Jean

· Failure to comply with undertaking· Practising in breach of a condition on
practising certificate· Finding of professional
misconduct· Reprimand· Fine· Costs

15 February 2019

RENFREW, Louise
Trudence· Preparing and witnessing affidavit
knowing or ought to have known to befalse· Knowing or recklessly misleading theSupreme Court in probate proceedings· Attempting to mislead anothersolicitor· Finding of professional
misconduct· Reprimand· Course· Restrictions on practisingcertificate· Costs

30 April 2019

ROGERS, Michael
Edward· Failure to pay superannuation
entitlements and to provide PAYG
summary· Application dismissed(Jurisdictional issue)

5 June 2019

SEARLE, Deborah Jean

· Use of without prejudicecommunications in breach of Family
Law Act and Rules· Threatening to use material that may
lead to criminal proceedings insettlement negotiations· Finding of professional
misconduct and unsatisfactory
professional conduct· Reprimand· Course· Fine· Costs

8 May 201938|

APPENDIXSOSZYN, Belinda Joanne· Failure to properly comply with
subpoena· Finding of unsatisfactory
professional conduct· Reprimand· Costs

17 May 2019

TEREPO, Sesilia Fehoko· Misappropriation of trust funds· Various breaches of the Legal
Profession Act 2004 and Legal
Profession Regulation 2005
· Failure to comply with s371 notice· Failure to assist investigator· Finding of professional
misconduct and unsatisfactory
professional conduct· Recommendation of removal of
Solicitor’s name from the Roll
· Costs

26 April 2019

TEYS, Michael John

· Failure to remit monies to Australian
Taxation Office· Failure to pay superannuation
entitlements· Various breaches of the Legal
Profession Act 2004

· Finding of professional
misconduct· Removal of Solicitor’s name fromRoll
· Costs

27 September 2018

TITMARSH, Shaun
Michael· Failure to follow instructions· Finding of unsatisfactory
professional conduct· Reprimand· Course· Fine· Costs

31 January 2019

THADSANAMORTHY,
Viji· Trust account breaches· Breach Professional Conduct andPractice Rules 2013
· Charging Goods and Services Tax
when not entitled· Misappropriation of trust funds· Finding of professional
misconduct and unsatisfactory
professional conduct· Reprimand· Course· Fine· Costs

28 June 2019

WALSH, Peter Francis· Purporting to witness signature on
document· Purporting to take Declaration· Finding of professional
misconduct· Reprimand· Fine· Costs

17 December 2018

WINTER, Ronald
William· Purporting to act for company when it
had ceased to exist· Misleading· Finding of unsatisfactory
professional conduct andprofessional misconduct· Reprimand· Course· Fine· Costs

18 April 2019

YOON, Seog Won· Various breaches of the Legal
Profession Act 2004
· Misappropriation of trust funds· Failing to comply with s370 Notice· Finding of professional
misconduct· Recommendation of removal of
Solicitor’s name from the Roll
· Costs

20 February 2019

YOUSSEF, Mouna· Failure to comply with s370 Notice· Finding of unsatisfactory
professional conduct Reprimand· Course· Costs

23 November 2018

ZAKI, Nader Youssef· Failure to comply with s371 Notice· Finding of professional
misconduct

19 March 2019

PROFESSIONAL STANDARDS DEPARTMENT ANNUAL REPORT 2018/2019 | 39

APPENDIX
Table 8 - Practising solicitor statistics at 30 June 2019
GENDER OF SOLICITORS
Female

18013

Male

16587

TOTAL

34600

CATEGORY OF SOLICITORS
Corporate

6588

Government

3676

Private24268

Volunteer

68

TOTAL

34600

LOCATION OF SOLICITORS
City

16659

Interstate

242

Overseas

1776

Rural

4255

Suburban

11668

TOTAL

34600

Table 9 - Amounts expended by the Public Purpose Fund and Fidelity Fund on Regulation,
2018/2019
EXPENSE DESCRIPTIONRECOVERABLE FROMTOTALProfessional Standards / General Regulatory Expenses

Public Purpose Fund

$4,522,441

External Interventions

Public Purpose Fund

$1,256,613

Trust Account Inspections / Investigations

Public Purpose Fund

$2,410,927

Fidelity Fund

$838,959

Fidelity Fund Administration
TOTAL REGULATORY COSTS$9,028,940

TOTAL PAID FROM PUBLIC PURPOSE FUND

$8,189,981

TOTAL PAID FROM FIDELITY FUND

$838,959

TOTAL$9,028,940

40 |APPENDIXPROFESSIONAL STANDARDS DEPARTMENT ANNUAL REPORT 2018/2019 | 41