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Who will be chosen to undergo a practice management review?

There are two ways to be chosen for a practice management review. In the first, the Executive Director of the Law Society directs that a practice management review take place where he or she is satisfied that there are reasonable grounds to believe that a member may be failing or may have failed to comply with the Law Society Act, 1999, the Law Society Rules or the Code of Professional Conduct.

In order to make that determination, the Executive Director reviews several factors (listed below). These factors are based on anonymized data collected by the Law Society relating to allegations, complaints and insurance claims made against members. Here are the factors the Executive Director will consider:

  • whether the member is a sole practitioner or practises with 4 or fewer other members in the same firm;
  • any allegations made to the society relating to the member;
  • any findings of the complaints authorization committee that there were reasonable grounds to believe that the member has engaged in conduct deserving of sanction;
  • any findings or orders of an adjudication tribunal made under the Act or a court of competent jurisdiction relating to the conduct of the member;
  • any issues identified through an investigation or audit under Part V of the Rules;
  • any failure of the member to meet mandatory professional development or continuing professional development requirements under Part VI of the Rules;
  • whether there are any outstanding judgments, orders for costs or matters in bankruptcy including assignments and petitions into bankruptcy as well as consumer proposals that relate to the member or the member has failed to comply with Canada Revenue Agency obligations (see rules 5.13, 9.29 and 9.31 for reporting requirements); and
  • any other information relating to the member or the member’s practice that comes to the attention of the Executive Director.

For more information, see rule 14.01A.

The second way is triggered when a member files a change in association of practice (form 2.20A) or an application to commence or resume practice (form 2.21A). Members who commence or resume practice as a sole practitioner or in a firm with 4 or fewer other members will undergo a practice management review – see rule 14.09A.