§ discipline

Firm governance, systems and compliance practice

The lawyer or firm must maintain effective governance, systems, controls and records that identify and manage risk and ensure legislative and regulatory compliance.

220 cases 65% strike-off avg suspension 19.5 mo avg fine 60,522 49 with dishonesty finding

How the codes express this duty

E&W Solicitors SRA Principles & Code CCF 2.1; CCF 2.2; CCF 2.5 strong 172 cases
2.1 You have effective governance structures, arrangements, systems and controls in place that ensure: (a) you comply with all the SRA's regulatory arrangements, as well as with other regulatory and legislative requirements, which apply to you; ... 2.2 You keep and maintain records to demonstrate compliance with your obligations under the SRA's regulatory arrangements. 2.5 You identify, monitor and manage all material risks to your business, including those which may arise from your connected practices.

SRA Code of Conduct for Firms · 2019 · archived copy · official source ↗

E&W Barristers BSB Handbook CD10; rC87; rC89; rC94 strong 11 cases
CD10 You must take reasonable steps to manage your practice, or carry out your role within your practice, competently and in such a way as to achieve compliance with your legal and regulatory obligations. rC87 You must take reasonable steps to ensure that: .1 your practice is efficiently and properly administered ...; and .2 proper records of your practice are kept.

BSB Handbook · current · archived copy · official source ↗

Cayman Islands Legal Services Code 2026 P.8; P.10; R.8.1; R.8.2 strong
Recognised law entities shall have effective governance structures, arrangements, systems and controls in place that ensure compliance with applicable legislative and regulatory requirements... implement and maintain effective systems and controls to comply with this Code and all other legal and regulatory requirements

Cayman Islands Legal Services Code of Professional Conduct · 2026 · archived copy

AU Solicitors Solicitors' Conduct Rules Rules 4.1.5; 37.1 partial 15 cases
4.1.5 comply with these Rules and the law. 37.1 A solicitor with designated responsibility for a matter must exercise reasonable supervision over solicitors and all other employees engaged in the provision of the legal services for that matter.

Australian Solicitors' Conduct Rules · 2015 (June 2026 compilation) · archived copy · official source ↗

AU Barristers Uniform Barristers Rules no clear equivalent
IE Solicitors Law Society Guide Ch9 — Accounts regulations: General; The security and confidentiality of office systems strong 1 case
To establish and maintain proper accounting systems and proper internal control systems to ensure compliance with the regulations... The principal or partners of a firm should use reasonable endeavours to prevent a breach of security and confidentiality... Solicitors should ensure a level of security appropriate to risks within their practice.

Solicitor's Guide to Professional Conduct (Law Society of Ireland) · 4th ed. (2022) · archived copy · official source ↗

IE Barristers Bar Code of Conduct Rule 2.13 partial 1 case
It is the duty of Barristers at all times to ensure that their practice is efficiently and properly administered and, in particular, they must take all reasonable and practicable steps to ensure that their Court engagements are properly fulfilled.

Code of Conduct for the Bar of Ireland · 2024 · archived copy · official source ↗

JM Attorneys Canons of Professional Ethics Canon VII partial 16 cases
AN ATTORNEY SHALL MAINTAIN PROPER ACCOUNTS AND OBSERVE PROPER ACCOUNTING PRINCIPLES IN THE CONDUCT OF HIS ACCOUNTS ESPECIALLY AS REGARDS ACCOUNTING FOR THE FUNDS OF HIS CLIENTS.

Legal Profession (Canons of Professional Ethics) Rules · 1978 (principal) · archived copy · official source ↗

JE Lawyers Law Society of Jersey Code P.8; R.7.1; R.7.2 strong
A member who is a principal must ensure that there is a clear and effective governance and management structure and proper reporting lines within the firm. Members must: a) identify, monitor and manage risks within the firm on an ongoing basis; b) implement and maintain effective systems and controls to comply with this Code of Conduct, the Accounts Rules, the Bye-Laws and all other legal and regulatory requirements.

Law Society of Jersey Code of Conduct · 1 January 2017 · archived copy · official source ↗

ON Lawyers LSO Rules of Prof. Conduct r 6.1-1(a); r 3.1-1(i) partial
6.1-1(a) [a lawyer shall] assume complete professional responsibility for their practice of law. [3.1-1(i): managing one's practice effectively. Detailed firm governance/systems obligations are largely in the by-laws.]

Law Society of Ontario — Rules of Professional Conduct · current · archived copy · official source ↗

BC Lawyers BC Code r 7.1-1(f) partial 1 case
A lawyer must ... (f) otherwise comply with the Law Society's regulation of the lawyer's practice.

Code of Professional Conduct for British Columbia (BC Code) · 2017 · archived copy · official source ↗

NZ Lawyers Conduct & Client Care Rules r 11 strong
A lawyer practising on their own account must ensure that— (a) their law practice is administered in a manner that ensures that each of the following duties is adhered to: (i) the overriding duty to the court ...; and (b) the reputation of the legal profession is preserved.

Lawyers and Conveyancers Act (Lawyers: Conduct and Client Care) Rules 2008 · SR 2008/214 · archived copy · official source ↗

SCO Solicitors LSS Standards of Conduct no clear equivalent
SG Lawyers Professional Conduct Rules 2015 r 35 (Responsibilities in relation to management and operation of law practice) strong 1 case
35 Responsibilities in relation to management and operation of law practice

Legal Profession (Professional Conduct) Rules 2015 · 2015 · archived copy · official source ↗

HK Solicitors Solicitors' Guide Principle 2.02 partial
Upon commencement of a practice the principal or principals must comply with rules 5(1) & (1A) of the Solicitors' Practice Rules (Cap. 159 sub. leg. H) and thereafter comply with rules 5(2) & (3).

Hong Kong Solicitors' Guide to Professional Conduct (Volume 1) · current · archived copy · official source ↗

HK Barristers Bar Code of Conduct para 7.1 partial
It is the duty of a practising barrister at all times to take all reasonable steps to ensure that his practice is efficiently and properly administered having regard to the nature of his practice, and that all records required by law or this Code to be kept are properly kept.

Code of Conduct of the Bar of the Hong Kong SAR · 2018 · archived copy · official source ↗

Cases dealing with this duty

Clear

220 decisions · link basis: found breached = a tribunal finding; rule cited = the mapped provision is cited in the decision; text match = high-precision text pattern

Duty classification does not yet cover every jurisdiction (Ontario, New Zealand and Singapore decisions are indexed but not yet duty-classified), so counts here understate those corpora.