Auditing approach

Compliance audits conducted by the Legal Services Commission may cover a range of activities ranging from supporting and educating ILPs to comply with the Legal Profession Act 2007, to conducting practice audits using the extensive coercive powers of the Commissioner.

The approach to compliance audits conducted by the Legal Services Commission is governed by six fundamental criteria. These are that compliance audits should:

  1. Be credible and robust.
  2. Be appropriate.
  3. "Add value" and engage with legal practitioner directors to problem solve how they might best develop and continually improve their management systems, processes and workplace cultures to establish an "ethical infrastructure".
  4. Be consistent with the Legal Services Commission's 'education toward compliance' approach to regulation aimed at promoting the highest professional standards.
  5. Not add any regulatory burden to incorporated legal practices unless there is some demonstrable risk-related reason to justify a more intrusive approach.
  6. where necessary, allow for the limited resources of the Legal Services Commission.