Compliance and Enforcement - Victorian Legal Services Board + Commissioner

Compliance and Enforcement

The Board’s statutory objectives include ensuring the effective regulation of the legal profession in Victoria.  A broad range of compliance and enforcement powers under the Legal Profession Uniform Law support these regulatory objectives, including:

  • investigation
  • practising certificate restriction
  • external intervention (such as receivership or management)
  • criminal prosecution, and
  • application to the Supreme Court for removal from the roll.

The Board has issued a regulatory statement setting out its strategic approach to regulation which is available on the About the Board page.

Enforcement Response

The Board has developed a policy to guide it and its delegates in the exercise of its compliance and enforcement powers.  The policy includes a table which sets out the general criteria for exercising each level of response. Download the Compliance and Enforcement Policy  (348KB PDF).

Prosecution

The Board and its delegates have the power to prosecute criminal and contempt offences under the Act.

The Compliance and Enforcement Policy (348KB PDF) guides the exercise of the Board’s prosecution powers. Breaches of any sections of the Act are also capable of constituting unsatisfactory professional conduct or professional misconduct (also known as disciplinary offences).  For information about disciplinary previous prosecutions, see the Complaints and disciplinary outcomes section, and the Register of Disciplinary Action.

A list of offences under the Legal Profession Uniform Law Application Act 2014 (Vic) is available for download (280KB PDF).

Removal from the Roll

The Board has a number of functions under the Act that involve considering whether to apply to the Supreme Court to remove a local lawyer from the local roll. The Board may also consider applying for removal under the inherent jurisdiction of the Supreme Court.

The Compliance and Enforcement Policy (348KB PDF) guides the Board in how it considers applications for removal.

 

Last modified August 10, 2016.