Promoting Better Legal Practices - The Law Society of Upper Canada

Compliance‐Based Entity Regulation: Promoting Better Legal Practices
Call for Input
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Janet E. Minor, Treasurer, Law Society of Upper Canada
Ross F. Earnshaw, Bencher, Task Force Chair
Raj Anand, Bencher, Task Force Member
Gavin MacKenzie, Former Treasurer, Task Force Member
Margaret Drent, Policy Counsel
lsuc.on.ca/better‐practices
lsuc.on.ca/meilleures‐pratiques
Compliance‐Based Entity Regulation: Promoting Better Legal Practices
Call for Input
Réglementation des entités fondée sur la conformité : favoriser de meilleures pratiques juridiques
Appel à commentaires
WHAT IS COMPLIANCE‐BASED REGULATION? • A proactive regulatory approach in which the regulator identifies practice management principles and establishes goals and expectations for legal practices.
• Lawyers and paralegals report on their compliance with these expectations, and have autonomy in deciding how to meet them. QU’EST‐CE QUE LA RÉGLEMENTATION FONDÉE SUR LA CONFORMITÉ? • une approche proactive dans laquelle l’organe de réglementation détermine les principes de gestion de la pratique et établit des objectifs et des attentes pour les pratiques juridiques.
• Les avocats et parajuristes présentent un rapport sur leur conformité à ces attentes et décident de façon autonome de la manière de s’y conformer.
WHAT IS ENTITY REGULATION? • The regulation of the business entity through which lawyers and paralegals provide services.
• A law firm, including sole practices, could be an entity. WHAT IS COMPLIANCE‐BASED ENTITY REGULATION? • Compliance‐based entity regulation refers to the proactive regulation of the practice entity through which professional legal services are delivered. WHAT ARE THE POTENTIAL BENEFITS? •
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Focus on improving the management and culture of the firm as a whole Recognition of the firm’s role in ensuring ethical conduct
Reduction in complaints
Flexibility and autonomy for practitioners to develop their own systems
Renewed focus on practice management to better protect the public and enhanced public confidence in the Law Society
More flexibility for the Law Society in responding to issues
PROPOSED PRACTICE MANAGEMENT PRINCIPLES
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Practice management
Client management
File management Financial management and sustainability
Professional management
Equity, diversity and inclusion
Access to justice
PRINCIPES PROPOSÉS DE GESTION DE LA PRATIQUE
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Gestion de la pratique
Gestion du service à la clientèle
Gestion des dossiers
Gestion et viabilité financière
Gestion professionnelle
Équité, diversité et inclusion
Accès à la justice
lsuc.on.ca/better‐practices
lsuc.on.ca/better‐practices
lsuc.on.ca/meilleures‐pratiques
CALL FOR INPUT
Responses requested by March 31, 2016
lsuc.on.ca/better‐practices
lsuc.on.ca/meilleures‐pratiques