What is a compliance audit

Compliance audits are one of several regulatory tools available to the Commissioner.

The Commissioner may use compliance audits for a number of reasons including preventing, detecting or deterring conduct which may amount to unsatisfactory professional conduct or professional misconduct.

The Legal Services Commissioner has, by agreement with the Queensland Law Society (QLS), accepted primary responsibility for 'auditing' incorporated legal practices, if it deems it necessary or if deemed necessary.

The responsibility to audit a law practice’s trust account continues to be the responsibility of the Queensland Law Society (QLS).

A compliance audit may be conducted about:

  • ‘the compliance of the practice, and of its officers and employees, with the requirements of [the Act] or a regulation, the legal profession rules or the administration rules so far as they apply to incorporated legal practices’; and
  • ‘the management of the provision of legal services by the incorporated legal practice, including the supervision of the officers and employees providing the services.' (Legal Profession Act 2007 s 130)