14.01 For the purpose of this rule, “respondent” shall have the meaning ascribed thereto in section 41(f)of the Act.
(Adopted: Rule 14.01, Summer Term Convocation, June 10, 2005)
14.02 (1) Where the complaints authorization committee has exercised its power to conduct a practice review under subsection 45(1) of the Act, the complaints authorization committee may designate a person or persons (the “investigator”) to review some or all of the respondent’s practice.
(2) A review may take place at one or more of the respondent’s offices and may include on or more of the following:
(Amended: Rule 14.02, Winter Term Convocation, February 10, 2020)
14.03 One clear day’s notice of the review shall be provided by personal delivery, electronic communication or other appropriate means to the respondent’s partners, associates, voting shareholders, directors and employees who are members other than the respondent at the address of record. The notice shall indicate that the review has been directed under subsection 45(1) (c) of the Act and shall provide the name of the investigator.
(Amended: Rule 14.03, Summer Term Convocation, June 5, 2009)
14.04 The review may be conducted in the office of the respondent or the respondent may be requested to submit files to the society.
(Amended: Rule 14.04, Summer Term Convocation, June 5, 2009)
14.05 The respondent and the respondent’s partners, associates, voting shareholders, directors and employees who are members other than the respondent, support personnel and legal assistants as defined in rule 12.01, shall respond to any inquiries and produce for the investigator all records, files, documentation and information which the investigator requires for the purpose of the review. The investigator may view, copy, remove and return same within a reasonable time.
(Amended: Rule 14.06, Summer Term Convocation, June 5, 2009)
14.06 The investigator shall, as soon as reasonably practicable, report in writing the results of the review to the complaints authorization committee. If deemed necessary by the complaints authorization committee a preliminary written report shall be provided.
(Amended: Rule 14.06, Summer Term Convocation, June 5, 2009)
14.07 If any person required to cooperate with the review fails to comply with the investigator’s requirements for records, files, documentation and information, or has otherwise impeded the review, the investigator shall report the circumstances to the complaints authorization committee, and such failure to comply may constitute conduct deserving of sanction.
(Amended: Rule 14.07, Summer Term Convocation, June 5, 2009)
14.08 If the investigator has been unable, for whatever reason, to conduct or complete the review, he or she shall report, stating the reasons therefor, in writing to the complaints authorization committee.
(Amended: Rule 14.08, Summer Term Convocation, June 5, 2009)
14.09 The investigator’s report may be made the basis of a complaint against a respondent.
(Amended: Rule 14.09, Summer Term Convocation, June 5, 2009)
14.10 The expenses of a practice review may be recovered as costs in the same manner as provided for in rule 5.09(9).
(Amended: Rule 14.10, Summer Term Convocation, June 5, 2009)
14.11 For the purpose hereof, the Law Society Rules, Part IX shall apply with any necessary changes.
(Adopted: Part XIV, Special Term Convocation, December 3, 2001; Amended: Part XIV, Winter Term Convocation, June 10, 2005)