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Continuing Professional Development (CPD)

The objective of the Legal Profession Uniform Continuing Professional Development (Solicitors) Rules 2015 is to provide the minimum requirements for continuing professional development for solicitors and have been in operation since 1 July 2015. For a complete understanding of the Rules click here to read them in full.

When researching which seminars to attend to comply with the Rules practitioners should consider the specific skills and knowledge they need to improve to grow and enhance their practices. As a guide on how you may reflect on your professional development needs consider the following UK Solicitors Regulation Authority’s guide.

LPLC is primarily focussed on providing risk management seminars, however our seminars can cover any of the four fields set out in Rule 6. CPD obligations. To read about the LPLC events available and the fields covered refer to the LPLC training calendar.


CPD FAQs

The CPD year runs from 1 April to 31 March.

Category: CPD FAQs

There are four CPD fields under the rules.  Here is a list with their abbreviations:

  • Ethics and professional responsibility (EPR).
  • Practice management and business skills (PM).
  • Professional skills (PS).
  • Substantive law (SL).
Category: CPD FAQs

Yes – there are compulsory units you need to attain every year, as stated in Rule 6. CPD obligations – as follows:

6.1 Unless exempted in whole or in part by the designated local regulatory authority under rule 16 (Exemptions), or unless a pro rata calculation applies under rule 10 (Pro rata calculations), a solicitor must complete 10 CPD units in each CPD year including at least one CPD unit in each of the following fields:

6.1.1 ethics and professional responsibility;

6.1.2 practice management and business skills;

6.1.3 professional skills;

6.1.4 substantive law.

6.2 Where a part exemption under Rule 16 (Exemptions) or a pro rata calculation under Rule 10 (Pro rata calculations) applies the compulsory fields must be completed as part of the remaining CPD units.

 

Category: CPD FAQs

LPLC is primarily focussed on providing risk management seminars, however our seminars can cover any of the four fields set out in Rule 6. CPD obligations.  The fields are:

  • ethics and professional responsibility
  • practice management and business skills
  • professional skills
  • substantive law.

To read about the LPLC events available and the fields covered refer to the LPLC training calendar.

Category: CPD FAQs

Yes – you are required to maintain your own record of your CPD activities and also evidence in support of the CPD activities undertaken as stated in Rule 12. Record keeping – which reads as follows:

12.1 A solicitor must maintain for each CPD year:

12.1.1 a record of his or her engagement in CPD activities; and

12.1.2 evidence in support of the CPD activities undertaken.

12.2 A solicitor must retain the information referred to in Rule 12.1.1 and the evidence in support referred to in Rule 12.1.2 for at least three years after the end of the CPD year to which the CPD record and evidence in support relate.

Category: CPD FAQs

LPLC does have a record of who registered for an event and issues a tax invoice/receipt upon purchase. Registrants are also sent a confirmation email as well as a reminder email but LPLC cannot confirm whether you attended the whole of the session.

You are required to maintain your own record of your CPD activities and also evidence in support of the CPD activities undertaken as stated in Rule 12. Record keeping – which reads as follows:

12.1 A solicitor must maintain for each CPD year:

12.1.1 a record of his or her engagement in CPD activities; and

12.1.2 evidence in support of the CPD activities undertaken.

12.2 A solicitor must retain the information referred to in rule 12.1.1 and the evidence in support referred to in rule 12.1.2 for at least three years after the end of the CPD year to which the CPD record and evidence in support relate.

Category: CPD FAQs

No. LPLC does have a record of who registered for an event and issues a tax invoice/receipt upon purchase. Registrants are also sent a confirmation email as well as a reminder email but LPLC cannot confirm whether you attended the whole of the session.

You are required to maintain your own record of your CPD activities and also evidence in support of the CPD activities undertaken as stated in Rule 12. Record keeping which reads as follows:

12.1 A solicitor must maintain for each CPD year:

12.1.1 a record of his or her engagement in CPD activities; and

12.1.2 evidence in support of the CPD activities undertaken.

12.2 A solicitor must retain the information referred to in Rule 12.1.1 and the evidence in support referred to in Rule 12.1.2 for at least three years after the end of the CPD year to which the CPD record and evidence in support relate.

Category: CPD FAQs

Rule 14. Verification of CPD activities explains the proof you need to comply with the Rules. It reads:

14.1 The designated local regulatory authority may at any time require a solicitor to verify within 21 days whether he or she has complied with these Rules by:

14.1.1 producing to the designated local regulatory authority:

14.1.1.1 any records required to be kept by the solicitor under these Rules; and

14.1.1.2 any other evidence in the solicitor’s possession or control that are relevant to the solicitor’s compliance with these Rules; and

14.1.2 giving the designated local regulatory authority:

14.1.2.1 a statement of the solicitor’s reasons for claiming that any activities undertaken by the solicitor satisfy any requirement for CPD activities under these Rules; and

14.1.2.2 particulars of any exemption granted by the designated local regulatory authority under these Rules.

14.2 A requirement of the designated local regulatory authority under this rule may be given to a solicitor only in relation to the current CPD year or any of the three previous CPD years.

Category: CPD FAQs

No – to clarify the CPD content, format and units to attain the required 10 CPD units refer to following rules:

  1. CPD content
  2. CPD format
  3. CPD units.

Click here to read the rules in full.

Category: CPD FAQs

As stated in Rules 8.2 and 9.2.4, watching a pre-recorded seminar can be counted towards CPD units, however a maximum of five units may be claimed this way in any one CPD year.

Click here to read the rules in full.

Category: CPD FAQs

No – we have limited the number of attendees at our events to facilitate discussion and ensure participates gain maximum benefit from the information provided.

Category: CPD FAQs

LPLC currently delivers its training events and seminars via face to face presentations. Videos of some of these are available from the LPLC website for purchase. While others are available free of charge. Click here for risk management videos and click here for PPS videos.

As stated in Rules 8.2 and 9.2.4, watching a pre-recorded seminar can be counted towards CPD units, however a maximum of five units may be claimed this way in any one CPD year.

Click here to read the rules in full.

Category: CPD FAQs

You need a minimum of 10 CPD units in each CPD year.

Category: CPD FAQs

 

 

 

1 September 2017

Video conferencing risks

There are risk management issues to consider when using video conferencing. Video conferencing is a prime example of changing technology affecting the way lawyers do business. Years ago it was only available for large companies and now everyone carries the capability in their pocket. The risks for lawyers of using video conferencing relates to identity […]

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1 August 2017

PPSA claims and changes

What are you doing to avoid a Personal Property Securities Act claim? One of the first LPLC blogs was about the Personal Property Securities Act 2009 (Cth) (PPS Act) (November 2013) and the three little pigs. The message was that the three little pigs had three goes to get it right but practitioners had only […]

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1 July 2017

Risk and GST

Have you correctly dealt with GST issues? LPLC regularly receives notifications where failing to correctly deal with GST issues gives rise to a claim. Most GST claims occur in relation to the sale of commercial or new residential land or the sale of businesses, but claims have also arisen involving the preparation of leases as […]

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28 June 2017

In Check Issue 75 | June 2017

CGT withholding regime important changes from 1 July From 1 July 2017 some CGT withholding regime requirements will change.  They are: lowering the price threshold for real property to $750,000 (currently $2M) increasing the withholding amount to 12.5 per cent (currently 10 per cent). These changes were brought in by the Treasury Laws Amendment (Foreign […]

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1 June 2017

Stay on the estate

Practitioners handling estate matters should not get involved in family disputes. As disputes between family members arise frequently in estate matters, practitioners need to be alert to their duties to executors and beneficiaries as well as potential conflicts of interest. LPLC has received claims where practitioners handling an estate were not proactive in distancing themselves […]

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29 June 2017

Cyber security breach – claims caused by fake client email

It is no longer safe practice to transfer money to a client’s account based only on email instructions from your client. Always verify email instructions from a client, especially if it involves handling money, by confirming the details orally with the client. LPLC has received four notifications in the last two years, one only last […]

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6 November 2016

CGT withholding payments – practical examples

Updated July 2017 Introduction This bulletin contains practical examples of how the withholding requirements, which commenced 1 July 2016 and were amended with effect from 1 July 2017, work. For more general information about the new regime please refer to the following two LPLC bulletins: 1 July 2017 amended CGT withholding payments for real property […]

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19 October 2016

Cyber security cautionary tale

Introduction Cyber security needs to be at the forefront of everyone’s mind, whether you are in a small firm or a large firm. The recent experience of a Victorian law firm is a good example of how easy it is to be caught out. The realistic email A principal of one of our insured firms […]

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6 July 2016

Amended CGT withholding payments for options, company title interests and indirect Australian real property transactions

Updated July 2017 Introduction This bulletin contains information on the withholding requirements which commenced on 1 July 2016 as amended in June 2017 by the Treasury Laws Amendment (Foreign Resident Capital Gains Withholding Payments) Act 2017 (Cwlth). This bulletin focuses on: options and rights to acquire company title interests indirect Australian real property interests. You […]

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2 June 2016

1 July 2017 amended CGT withholding payments for real property sales

Updated July 2017 Key points Amended withholding requirements for contracts of sale of real estate worth $750,000 or more from 1 July 2017. All purchasers of such real estate must register to withhold 12.5 per cent for acquisitions from 1 July 2017 (previously 10 per cent) unless they are given a clearance certificate by the […]

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15 September 2017

Do I have a conflict?

LPLC regularly receives calls from practitioners seeking guidance about a potential conflict when acting for both the vendor and purchaser of real estate. LPLC also receives claims every year where a practitioner acted for more than one party. In a recent claim a practitioner was instructed to just prepare a section 32 statement as the […]

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8 September 2017

Caveat practitioner

Every year LPLC receives claims involving caveats arising from matters in many different areas. The main message from caveat claims is that practitioners need to recognise when their clients have a caveatable interest and when a caveat should be lodged. Caveat claims in conveyancing matters sometimes arise where a caveat is lodged just prior to […]

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1 September 2017

Are you in the good culture club?

Effective risk management largely depends on having a good risk management culture. Policies and procedures are useless if they are avoided by principals or staff who are not committed to risk management. In LPLC’s experience, firms with good risk management generally have a culture where: there is a strong, positive ‘tone from the top’ people […]

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25 August 2017

Stay within your limits when using counsel

It is high risk for practitioners to act outside their area of expertise, even when assisted by counsel who is an expert in the relevant area. In one claim, a practitioner acted for a client in a property dispute with the client’s ex-girlfriend despite the practitioner’s lack of expertise in family law matters. The client […]

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18 August 2017

Confirm agent’s instructions with your client

Recently LPLC has received numerous claims where there was ineffective communication between the practitioner and their client after the practitioner had dealt primarily with the client’s agent on the matter. In one claim, the practitioner acted for a lender on instructions from a broker regarding a loan. The practitioner was instructed to register an interest […]

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16 August 2017

Key Risk Checklist – Conveyancing resources

    LPLC Resources Comments Checklists: Sale of land – questions for the vendor Purchase of land – questions for the purchaser Property websites and comments Tax issues GST LPLC Face to face verification of identity checklist LPLC has posted numerous blogs about property law issues. You can find our blogs here. You can search […]

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8 August 2017

Key Risk Checklist: Sale of land – questions for the vendor

Sale of land – questions for the vendor   Instructions ☐  Please circle yes or no as applicable. ☐  Please provide the additional information as indicated e.g. a copy of your title(s). ☐  If you do not know the answer or are unable to provide the additional information please insert the words ‘Not Known’. ☐ […]

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15 June 2017

Key Risk Checklist: File transfer to another practitioner within the firm

    File transferred to another practitioner within the firm Yes No Comment or detail Has the client requested the change of practitioner? □ □ Has the practitioner receiving the file confirmed they have the knowledge and capacity to do the work? □ □ Has the transferring practitioner completed a detailed memorandum that: details the […]

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15 June 2017

Key Risk Checklist: File closing

  Work completed Yes No Comment or detail Have we written to the client confirming: all required work has been completed? □ □ any outstanding issues that are the client’s responsibility? □ □ any critical dates and consequences? □ □ future actions (such as exercise of an option) that is the client’s responsibility? □ □ […]

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15 June 2017

Key Risk Checklist: File transfer to another firm

  File transferred to another firm at request of client Yes No Comment or detail Before we transfer the file have we: spoken with the client about their concerns? □ □ accounted for all work and disbursements? □ □ Have we written to the client confirming: the status of their matter including work completed and […]

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15 August 2017

Focusing on family law

Introduction As family law clients are often preoccupied and in emotional distress, they require particular care. It is an area where simple risk management steps can make a difference. The scope of the retainer needs to be carefully defined and documented. Documenting advice and instructions, and keeping the client informed about the progress of the […]

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11 May 2017

Know your limits

Introduction With the proliferation of time limits in legislation today missing limitation dates is a mistake that occurs in many areas of the law. The reasons for missing time limits are varied as are the potential repercussions. Sometimes it is a lack of knowledge by the lawyer that the time limit exists, or failing to […]

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17 October 2016

Managing mortgage risk

Additional mortgage downloads Solicitor’s Certificate – Direct Borrower Solicitor’s Certificate – Third Party, Guarantor etc Translator’s Certificate Client acknowledgement Introduction Over the five years from 2010/11 to 2014/15 LPLC mortgage claims have cost LPLC in excess of $20M and smaller practices appear to be more vulnerable to these types of claims. Number and cost of […]

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13 September 2016

Saving superannuation claims

Introduction LPLC has seen numerous claims against practitioners involving superannuation funds. Claims sometimes arise because the practitioner does not have sufficient knowledge or experience with superannuation matters. Practitioners who regularly act in this area will agree that extensive expertise and understanding is required to properly advise clients and to have the best chance of avoiding […]

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6 September 2016

Pitfalls in personal injury litigation

Personal injury litigation Clients seek out litigation lawyers only when something has gone wrong. In the personal injury arena, they have the added difficulty of dealing with a physical or mental impairment and its consequences. This means the relationship is going to be challenging from the start. It can be made even more difficult if […]

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22 August 2017

Snapshot – Wills and estates

Snapshots provide data and main causes of claims in areas of practice as well as risk management strategies at a glance. Click the image to enlarge or download above.                            

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14 August 2017

Snapshot – Personal injury litigation

Snapshots provide data and main causes of claims in areas of practice as well as risk management strategies at a glance. Click the image to enlarge or download above.                            

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20 July 2017

Working together – roles and obligations

What we will do when we act for you Be courteous and polite at all times. Act in your best interests only. Keep your information confidential unless you give us permission to disclose it or we are required by law to disclose it. To enables us to handle your matter as quickly and economically as […]

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