Singapore legislation
Regulation 35
Regulation 35
Responsibilities in relation to management and operation of law practice
Subregulation 1
The following principles guide the interpretation of this rule.Principles(a)A legal practitioner in the management of a law practice must make a reasonable effort to provide a working environment which prioritises competence, professionalism and ethical consciousness on the part of every individual working in the law practice.(b)A legal practitioner in the management of a law practice is responsible for the implementation and maintenance of adequate systems in the law practice to ensure that every legal practitioner working in the law practice complies with the applicable written law, and any applicable practice directions, guidance notes and rulings issued under section 71(6) of the Act or by the Council or the Society, relating to client’s money, conflicts of interests and client confidentiality.(c)A legal practitioner in the management of a law practice must ensure that every system referred to in principle (b) is appropriate to the size and complexity of the law practice, the nature of the work undertaken by the law practice, and the number and qualifications of the employees of the law practice, and enables an assessment of all circumstances relevant to each client of the law practice and each situation.
Subregulation 2
The management of a law practice must notify the Society of the name and contact details of a member of the management within 14 days after the member is appointed.
Subregulation 3
Where the management of a law practice comprises 2 or more individuals, each member of the management is jointly and severally responsible for compliance with the responsibilities of the management under this Part.
Subregulation 4
The management of a law practice must take reasonable steps to ensure that the law practice has in place adequate systems, policies and controls for ensuring that the law practice, and the legal practitioners working in the law practice, comply with the applicable written law, and any applicable practice directions, guidance notes and rulings issued under section 71(6) of the Act or by the Council or the Society, relating to —
client’s money;
conflicts of interests; and
client confidentiality.
Subregulation 5
The management of a law practice must take reasonable steps to ensure that the systems, policies and controls referred to in paragraph (4) include, but are not limited to —
training all relevant employees of the law practice on the applicable written law, and any applicable practice directions, guidance notes and rulings issued under section 71(6) of the Act or by the Council or the Society, relating to —
client’s money;
conflicts of interests;
client confidentiality; and
the responsibilities of those employees in relation to the matters referred to in sub-paragraphs (i), (ii) and (iii);
implementing, as soon as possible, policies and procedures for any known breaches of the applicable written law, and any applicable practice directions, guidance notes and rulings issued under section 71(6) of the Act or by the Council or the Society; and
documenting the policies and procedures referred to in sub‑paragraph (b).
Subregulation 6
The management of a law practice must, where appropriate —
assess the systems, policies and controls referred to in paragraph (4) that are implemented by the law practice; and
make changes to ensure that those systems, policies and controls continue to ensure that the law practice, and the legal practitioners working in the law practice, comply with the applicable written law, and any applicable practice directions, guidance notes and rulings issued under section 71(6) of the Act or by the Council or the Society, relating to —
client’s money;
conflicts of interests; and
client confidentiality.
Subregulation 7
The management of a law practice must ensure that the law practice complies with the requirements of the Act (including these Rules).
Subregulation 8
In this rule, “management”, in relation to a law practice, means —
the sole proprietor of the law practice;
the partners or directors of the law practice who have been notified to the Society under paragraph (2); or
all the partners or directors of the law practice where no notification under paragraph (2) has been made.