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Lawyers and Conveyancers Act 2006

Transitional provisions relating to Disciplinary Tribunal

Schedule 2: Provisions applying in relation to investigations under section 109

You could also call this:

"Rules for investigating lawyers and conveyancers"

Illustration for Lawyers and Conveyancers Act 2006

You can be appointed to investigate lawyers or conveyancers under section 109. If you are appointed, you can look at their accounts. You can also ask for records and documents, and make copies of them. You must keep secret any information you get during the investigation. But you can share it with certain people, like the New Zealand Law Society or the New Zealand Society of Conveyancers. They can also share the information with others, like the lawyer or conveyancer being investigated, or the police. The New Zealand Law Society or the New Zealand Society of Conveyancers must consider reports from investigators in private. They can only share the information in certain situations, like during a disciplinary hearing. You can also give information to a client if it's about their own affairs. There are rules about who can share information and when. For example, the Council of the New Zealand Institute of Chartered Accountants can only share information in disciplinary proceedings. These rules help keep investigations fair and private.

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View the original legislation for this page at https://legislation.govt.nz/act/public/1986/0120/latest/link.aspx?id=DLM368142.

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2Provisions applying in relation to investigations under section 109 Empowered by s 109(5)

1Power to examine accounts

  1. Any person for the time being holding an appointment under section 109 may, at any time and without further authority than this clause, examine,—

  2. if he or she was appointed under section 109(1), the accounts of any lawyer or firm of lawyers or incorporated law firm; or
    1. if he or she was appointed under section 109(2), the accounts of any conveyancing practitioner or firm of conveyancing practitioners or incorporated conveyancing firm.

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      2Powers of societies to direct examination of accounts

      1. Without limiting the generality of clause 1, if the New Zealand Law Society has reasonable cause to believe—

      2. that any money entrusted to a lawyer or an incorporated law firm has been stolen by that lawyer or by an employee or agent of that lawyer or firm; or
        1. that any trust account of a lawyer or firm of lawyers or incorporated law firm is not being kept or operated in accordance with any rules or regulations made under this Act and for the time being in force in relation to trust accounts and the audit of trust accounts; or
          1. that any lawyer is, owing to physical or mental disability, unable to administer properly his or her trust account,—
              1. any person for the time being holding an appointment under section 109(1) may, at any time, acting under the general or special directions of the society, examine the accounts of that lawyer or firm or incorporated law firm.

            1. Without limiting the generality of clause 1, if the New Zealand Society of Conveyancers has reasonable cause to believe—

            2. that any money entrusted to a conveyancing practitioner or an incorporated conveyancing firm has been stolen by that conveyancing practitioner or by an employee or agent of that conveyancing practitioner or firm; or
              1. that any trust account of a conveyancing practitioner or firm of conveyancing practitioners or incorporated conveyancing firm is not being kept or operated in accordance with any rules or regulations made under this Act and for the time being in force in relation to trust accounts and the audit of trust accounts; or
                1. that any conveyancing practitioner is, owing to physical or mental disability, unable to administer properly his or her trust account,—
                    1. any person for the time being holding an appointment under section 109(2) may, at any time, acting under the general or special directions of the society, examine the accounts of that conveyancing practitioner or firm or incorporated conveyancing firm.

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                  3Power to obtain records, documents, and information

                  1. On production by any person appointed under section 109(1) of the instrument of his or her appointment, that person may, at any time,—

                  2. require any lawyer or firm of lawyers or incorporated law firm, or any employee, agent, or banker of any lawyer or firm of lawyers or incorporated law firm, to produce to that person all records or documents relating to the business or accounts of any lawyer or firm of lawyers or incorporated law firm, and to give, in relation to those records or documents, all information that may be reasonably required by that person; and
                    1. inspect all records and documents relating to any money received by any lawyer or firm of lawyers or incorporated law firm, or any employee, agent, or banker of any lawyer or firm of lawyers or incorporated law firm, whether the money has been paid into a private account or a trust account at a bank or has not been paid to any such account, and make copies of them or of any entries in them.

                      1. On production by any person appointed under section 109(2) of the instrument of his or her appointment, that person may, at any time,—

                      2. require any conveyancing practitioner or firm of conveyancing practitioners or incorporated conveyancing firm, or any employee, agent, or banker of any conveyancing practitioner or firm of conveyancing practitioners or incorporated conveyancing firm, to produce to that person all records or documents relating to the business or accounts of any conveyancing practitioner or firm of conveyancing practitioners or incorporated conveyancing firm, and to give, in relation to those records or documents, all information that may be reasonably required by that person; and
                        1. inspect all records and documents relating to any money received by any conveyancing practitioner or firm of conveyancing practitioners or incorporated conveyancing firm, or any employee, agent, or banker of any conveyancing practitioner or firm of conveyancing practitioners or incorporated conveyancing firm, whether the money has been paid into a private account or a trust account at a bank or has not been paid to any such account, and make copies of them or of any entries in them.

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                          4Restrictions on communication of certain matters

                          1. A person appointed under section 109 must not communicate any matter that may come to that person's knowledge in the exercise of any of that person's powers under this schedule, except—

                          2. for the purposes of that person's investigation; or
                            1. in the course of any report to the New Zealand Law Society or the New Zealand Society of Conveyancers; or
                              1. to a Standards Committee; or
                                1. to an investigator appointed under section 144; or
                                  1. in evidence in proceedings before a Standards Committee or the Disciplinary Tribunal; or
                                    1. to the Legal Complaints Review Officer; or
                                      1. to a constable or member of the Serious Fraud Office acting in the performance of his or her duty; or
                                        1. to the Registrar-General of Land for the purpose of enabling the Registrar-General of Land to discharge his or her duties under the Land Transfer Act 2017 or any other enactment; or
                                          1. in evidence in any court.

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                                            Notes
                                            • Schedule 2 clause 4(g): amended, on , pursuant to section 116(a)(iii) of the Policing Act 2008 (2008 No 72).
                                            • Schedule 2 clause 4(h): amended, on , by section 250 of the Land Transfer Act 2017 (2017 No 30).

                                            5Restrictions on publication by New Zealand Law Society and New Zealand Society of Conveyancers

                                            1. Where the New Zealand Law Society or the New Zealand Society of Conveyancers receives a report from a person appointed under section 109, the society must consider that report in private and not otherwise.

                                            2. It is not lawful for any member of the Council of the New Zealand Law Society or of the Council of the New Zealand Society of Conveyancers or for any officer of either society to publish to any person any information disclosed in a report made to the society by a person appointed under section 109 except pursuant to clause 4 or clause 6 or in the performance of the duty of that member or officer.

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                                            6Power of society to communicate contents of report

                                            1. Where the New Zealand Law Society or the New Zealand Society of Conveyancers receives a report from a person appointed under section 109, the society may, in its discretion, communicate the contents of the report, or any part of the contents of the report,—

                                            2. to any lawyer or conveyancing practitioner to whom the report relates, or any lawyer representing that lawyer or conveyancing practitioner, or, if that lawyer or conveyancing practitioner is a partner in a firm of lawyers or conveyancing practitioners, to any partner in the firm:
                                              1. to any incorporated law firm or incorporated conveyancing firm to which the report relates, or to any lawyer representing that firm or practice:
                                                1. to any auditor of the trust account of the lawyer or conveyancing practitioner or firm or practice:
                                                  1. to the Council of the New Zealand Institute of Chartered Accountants or to the governing body of any other accredited body (which in this schedule has the same meaning as in section 6(1) of the Auditor Regulation Act 2011):
                                                    1. to a constable or member of the Serious Fraud Office acting in the performance of his or her duty:
                                                      1. to the Registrar-General of Land if the society considers that the communication of the contents of the report, or of part of the contents of the report, to the Registrar-General of Land is relevant to the discharge by the Registrar-General of Land of his or her duties under the Land Transfer Act 2017 or any other enactment.

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                                                        Notes
                                                        • Schedule 2 clause 6(d): amended, on , by section 17 of the Financial Reporting Amendment Act 2014 (2014 No 64).
                                                        • Schedule 2 clause 6(d): amended, on , by section 10 of the New Zealand Institute of Chartered Accountants Amendment Act 2010 (2010 No 74).
                                                        • Schedule 2 clause 6(e): amended, on , pursuant to section 116(a)(iii) of the Policing Act 2008 (2008 No 72).
                                                        • Schedule 2 clause 6(f): amended, on , by section 250 of the Land Transfer Act 2017 (2017 No 30).

                                                        7Power to give information to client

                                                        1. Nothing in this schedule prevents the New Zealand Law Society or the New Zealand Society of Conveyancers, in its discretion, from giving to any client of a lawyer or firm of lawyers or of an incorporated law firm or of a conveyancing practitioner or firm of conveyancing practitioners or of an incorporated conveyancing firm any information disclosed in a report made to the society by a person appointed under section 109 so far as that report relates to the client's affairs and is required by that client.

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                                                        8Restrictions on publication by Council of New Zealand Institute of Chartered Accountants or other accredited body

                                                        1. If any disclosure is made under clause 6(d), the Council or governing body referred to in that paragraph must consider the information given in private and not otherwise.

                                                        2. It is not lawful for any member of the Council or governing body or for any officer of the New Zealand Institute of Chartered Accountants or the accredited body to publish to any person any information so disclosed except in evidence in disciplinary proceedings under the New Zealand Institute of Chartered Accountants Act 1996 or under the rules of the accredited body.

                                                        Notes
                                                        • Schedule 2 clause 8: replaced, on , by section 17 of the Financial Reporting Amendment Act 2014 (2014 No 64).