Back to Navigation

BY-LAW 8

Made:  May 1, 2007
Amended:  June 28, 2007
April 24, 2008
June 26, 2008
October 30, 2008
April 30, 2009
May 21, 2009 (editorial changes)
September 29, 2010
October 25, 2012
April 28, 2016
November 27, 2020 (effective January 1, 2021) 

REPORTING AND FILING REQUIREMENTS

PART I

REPORTING REQUIREMENTS

BANKRUPTCY OR INSOLVENCY OF LICENSEE

Notice of bankruptcy or insolvency

1.  A licensee shall immediately notify the Society whenever any of the following events occurs:
 
  1.  The licensee receives notice of or is served with a petition for a receiving order against him or her filed in court under subsection 43 (1) of the Bankruptcy and Insolvency Act (Canada).
  2.  The licensee makes an assignment of all his or her property for the general benefit of his or her creditors under section 49 of the Bankruptcy and Insolvency Act (Canada).

OFFENCES

Requirement to report offences: licensees

2.  (1)  Every licensee shall inform the Society in writing of,
 
  (a)  a charge that the licensee committed,
 
  (i)  an indictable offence under the Criminal Code (Canada),
  (ii)  an offence under the Controlled Drugs and Substances Act (Canada),
  (iii)  an offence under the Income Tax Act (Canada) or under an Act of the legislature of a province or territory of Canada in respect of the income tax law of the province or territory, where the charge alleges, explicitly or implicitly, dishonesty on the part of the licensee or relates in any way to the professional business of the licensee,
  (iv)  an offence under an Act of the legislature of a province or territory of Canada in respect of the securities law of the province or territory, where the charge alleges, explicitly or implicitly, dishonesty on the part of the licensee or relates in any way to the professional business of the licensee, or
  (v)  an offence under another Act of Parliament, or under another Act of the legislature of a province or territory of Canada, where the charge alleges, explicitly or implicitly, dishonesty on the part of the licensee or relates in any way to the professional business of the licensee; and
 
  (b)  the disposition of a charge mentioned in clause (a).

Requirement to report: private prosecution

  (2)  Despite subsection (1), a licensee is only required to inform the Society of a charge contained in an information laid under section 504 of the Criminal Code (Canada), other than an information referred to in subsection 507 (1) of the Criminal Code (Canada), and of the disposition of the charge, if the charge results in a finding of guilt or a conviction.

Time of report

  (3)  A licensee shall report a charge as soon as reasonably practicable after he or she receives notice of the charge and shall report the disposition of a charge as soon as reasonably practicable after he or she receives notice of the disposition.

Same

  (4)  In the circumstances mentioned in subsection (2), a licensee shall report a charge and the disposition of the charge as soon as reasonably practicable after he or she receives notice of the disposition.

Interpretation: “indictable offence”

  (5)  In this section, “indictable offence” excludes an offence for which an offender is punishable only by summary conviction but includes,
 
  (a)  an offence for which an offender may be prosecuted only by indictment; and
  (b)  an offence for which an offender may be prosecuted by indictment or is punishable by summary conviction, at the instance of the prosecution.

INFORMATION: GENERAL

Requirement to provide various information

3.  (1)  The Society may require a licensee to provide to the Society the following information:
 
  1.  Personal identification information, including the licensee’s legal and assumed names.
  2.  Personal contact information.
  3.  Business contact information.
  4.  Information with respect to the licensee’s professional business, including,
 
  i.  information about whether the licensee is practising law in Ontario as a barrister and solicitor or providing legal services in Ontario,
  ii.  information with respect to where and in what capacity the licensee is practising law or providing legal services,
  iii.  information with respect to the licensee’s handling of money and other property,
  iv.  information with respect to the licensee’s storage of client files,
  v.  information with respect to the licensee’s storage of wills and powers of attorney, and 
  vi.  information with respect to the licensee’s storage of corporate records, including minute books and seals.

Interpretation: personal and business contact information

  (2)  For the purposes of subsection (1),

  (a)  personal contact information includes,
 
  (i)  home address,
  (ii)  home telephone number,
  (iii)  home facsimile number, and
  (iv)  home e-mail address; and
 
  (b)  business contact information includes,
 
  (i)  business address,
  (ii)  business telephone number,
  (iii)  business facsimile number, and
  (iv)  business e-mail address.

Notice of requirement

  (3)  The Society shall notify a licensee in writing of the requirement to provide information under subsection (1) and shall send to the licensee a detailed list of the information to be provided by him or her.

Time for providing information

  (4)  Subject to subsection (5), the licensee shall provide to the Society the specific information required of him or her not later than ten days after the date specified on the notice of the requirement to provide information.

Extension of time for providing information

  (5)  On the request of the licensee, the Society may extend the time within which the licensee is required to provide to the Society the specific information required of him or her.

Request for extension of time

  (6)  A request to the Society to extend time under subsection (5) shall be made by the licensee in writing and by not later than the day by which the licensee is required under subsection (4) to provide information to the Society.

Additional authority to provide information

  (7)  The Society’s authority to require a licensee to provide information contained in this section is in addition to, and does not limit, the Society’s authority to require a licensee to provide information contained elsewhere in this By-Law, in any other by-law or in the Act.

REPORTING CHANGES

Requirement to report changes

4.  (1)  A licensee shall notify the Society in writing immediately after any change in the following information, previously provided by the licensee to the Society either before or after the coming into force of this section:
 
  1.  The licensee’s legal and assumed names.
  2.  The licensee’s personal contact information.
  3.  The licensee’s business contact information.
  4.  Information with respect to whether the licensee is practising law in Ontario as a barrister and solicitor or providing legal services in Ontario.
  5.  Information with respect to the location and account number of any account at a chartered bank, provincial savings office, credit union or a league to which the Credit Unions and Caisses Populaires Act, 1994 applies into which the licensee pays or paid money received in trust for a client.

Interpretation: personal and business contact information

  (2)   For the purposes of subsection (1),

  (a)  personal contact information includes,  
 
  (i)  home address,
  (ii)  home telephone number,
  (iii)  home facsimile number, and
  (iv)  home e-mail address; and
 
  (b)  business contact information includes,
 
  (i)  business address,
  (ii)  business telephone number,
  (iii)  business facsimile number, and
  (iv)  business e-mail address.

Information required

  (3)  The notice required under subsection (1) shall include details of the change and the effective date of the change.

Documents, explanations

  (4)  The licensee shall provide to the Society such documents and explanations with respect to any change in the information mentioned in subsection (1) as the Society may require.
 

PART II

FILING REQUIREMENTS

ANNUAL REPORT

Requirement to file annual report

5.  (1)  Every licensee shall file a report with the Society, by March 31 of each year, in respect of,
 
  (a)  the licensee’s professional business during the preceding year; and
  (b)  the licensee’s other activities during the preceding year related to the licensee’s practice of law or provision of legal services.

Form, format and manner of filing

  (2)  The report required under subsection (1) shall be in a form provided, and in an electronic format specified, by the Society and shall be filed electronically as permitted by the Society.

Same

  (2.1)  Despite subsection (2), on application by a licensee, in any year, the Society may, for that year, permit the licensee to file the report required under subsection (1) in a format other than the specified electronic format and in a manner other than electronically as permitted and a licensee who files the report required under subsection (1) in the format and manner as permitted by the Society under this subsection shall be deemed to have complied with the format and manner of filing requirements set out in subsection (2).

Exemption from requirement to file annual report

  (3)  The following licensees may apply to the Society for an exemption from the requirement to file a report under subsection (1):
 
  1.  A licensee who holds a Class L1 licence who is over sixty-five years of age and who,
 
  i.  does not practise law in Ontario,
  ii.  is not an estate trustee,
  iii.  is not a trustee of an inter vivos trust, and
  iv.  does not act as an attorney under a power of attorney for property given by a client or former client.
 
  2.  A licensee who holds a Class P1 licence who is over sixty-five years of age and who does not provide legal services in Ontario.
  3.  A licensee who is incapacitated within the meaning of the Act.

Application by licensee’s representative

  (4)  The Society may permit any person on behalf of a licensee to make an application under subsection (3).

Application form

  (5)  An application under subsection (3) shall be in a form provided by the Society.

Documents and explanations

  (6)  For the purposes of assisting the Society to consider an application under subsection (3), the licensee or the person applying on behalf of the licensee shall provide to the Society such documents and explanations as may be required.

Consideration of application

  (7)  The Society shall consider every application made under subsection (3) and if satisfied that the licensee is eligible for an exemption under paragraph 1 or 2 of subsection (3), the Society shall approve the application.

Duration of exemption

  (8)  A licensee whose application is approved is exempt from the requirement to file a report under subsection (1) in respect of the year in which the application is approved and in respect of every year thereafter if the licensee remains eligible for the exemption throughout the entire year.

Suspension for failure to complete or file: period of default

6.  (1)  For the purposes of clause 47 (1) (a) of the Act, the period of default for failure to complete or file a report required under section 5 is 120 days after the day on which the report is required to be filed.

Same: 2013

  (2)  Despite subsection (1), beginning January 1, 2013, for the purposes of clause 47 (1) (a) of the Act, the period of default for failure to complete or file a report required under section 5 is 90 days after the day on which the report is required to be filed.

Same: 2014 and later

  (3)  Despite subsections (1) and (2), beginning January 1, 2014, for the purposes of clause 47 (1) (a) of the Act, the period of default for failure to complete or file a report required under section 5 is 60 days after the day on which the report is required to be filed.

Late filing fee: 2013

  (4)  Beginning January 1, 2013, a licensee who does not complete or file a report required under section 5 on or before the day that is 90 days after the day on which the report is required to be filed shall pay a late filing fee.

Late filing fee: 2014 and later

  (5)  Despite subsection (4), beginning January 1, 2014, a licensee who does not complete or file a report required under section 5 on or before the day that is 60 days after the day on which the report is required to be filed shall pay a late filing fee.

Payment due

  (6)  The late filing fee is due on the day on which the report is required to be filed.

Period of default: 2013

  (7)  Beginning January 1, 2013, for the purposes of subsection 46 (1) of the Act, the period of default for failure to pay the late filing fee is 90 days after the day on which payment of the late filing fee is due.

Period of default: 2014 and later

  (8)  Despite subsection (7), beginning January 1, 2014, for the purposes of subsection 46 (1) of the Act, the period of default for failure to pay the late filing fee is 60 days after the day on which payment of the late filing fee is due.

Reinstatement of licence

  (9)  If a licensee’s licence has been suspended under subsection 46 (1) of the Act for failure to pay a late filing fee, for the purposes of subsection 46 (3) of the Act, the licensee shall pay an amount equal to the late filing fee that the licensee failed to pay.

Requirement to file public accountant’s report

7.  (1)  The Society may require any licensee who is required to file a report under subsection 5 (1) to file, in addition to the report required under that subsection, a report of a public accountant relating to the matters in respect of which the licensee is required to file a report with the Society under subsection 5 (1).

Contents of report and time for filing

  (2)  The Society shall specify the matters to be included in the report and the time within which it must be filed with the Society.

Licensee’s obligation to provide access to files, etc.

  (3)  For the purpose of permitting the public accountant to complete the report, the licensee shall,
 
  (a)  grant to the public accountant full access, without restriction, to all files maintained by the licensee;
  (b)  produce to the public accountant all financial records and other evidence and documents which the public accountant may require; and
  (c)  provide to the public accountant such explanations as the public accountant may require.

Authority to confirm independently particulars of transactions

  (4)  For the purpose of permitting the public accountant to complete the report, the public accountant may confirm independently the particulars of any transaction recorded in the files.

Cost

  (5)  The cost of preparing the report required under subsection (1), including the cost of retaining a public accountant, shall be paid for by the licensee.

Public accountant’s duty of confidentiality

  (6)  When retaining a public accountant to complete a report required under this section, a licensee shall ensure that the public accountant is bound not to disclose any information that comes to his or her knowledge as a result of activities undertaken to complete the report, but the public accountant shall not be prohibited from disclosing information to the Society as required under this Part.

Period of default

8.  (1)  For the purpose of clause 47 (1) (a) of the Act, the period of default for failure to file a report of a public accountant in accordance with section 7 is 60 days after the day the report is required to be filed.

Reinstatement of licensee

  (2)  If a licensee’s licence has been suspended under clause 47 (1) (a) of the Act for failure to file a report of a public accountant in accordance with section 7, for the purpose of subsection 47 (2) of the Act, the licensee shall file the report.

Failure to file public accountant’s report: investigation

9.  (1)  If a licensee fails to file the report of a public accountant in accordance with section 7, the Society may require an investigation of the licensee’s financial records to be made by a person designated by it, who need not be a public accountant, for the purpose of obtaining the information that would have been provided in the report.

Investigation: application of subss. 7 (3) and (4)

  (2)  Subsections 7 (3) and (4) apply with necessary modifications to the investigation under this section.

Confidentiality

  (3)  A person designated to investigate a licensee’s financial records under this section shall not disclose any information that comes to his or her knowledge as a result of the investigation except as required in connection with the administration of the Act or the by-laws.

Cost

  (4)  The cost of the investigation under this section shall be paid for by the licensee.
 

PART III

REGISTER

Contents of register

10.  (1) In addition to the information mentioned in subsection 27.1 (2) of the Act, the register that the Society is required to establish and maintain under section 27.1 of the Act shall contain the following information:
 
  1.  The assumed names, if any, of each licensee.
  2.  An indication of every time period that the licensee practises law in Ontario as a barrister and solicitor or provides legal services in Ontario.
  3.  For each time period that a licensee practises law in Ontario as a barrister and solicitor or provides legal services in Ontario,
 
  i.  where and in what capacity the licensee practises law or provides legal services, and
  ii.  the licensee’s business contact information, including address, telephone number, facsimile number and e-mail address.
 
  4.  For each time period that a licensee does not practise law in Ontario as a barrister and solicitor or provide legal services in Ontario,
 
  i.  if the licensee is otherwise working, the licensee’s business contact information, including address, telephone number, facsimile number and e-mail address, or
  ii.  if the licensee is not otherwise working, information as to how a licensee may be contacted by former clients.
 
  5.  For a licensee who is deceased, the name and contact information, if any, of the licensee’s estate trustee.
  6.  Where applicable, the agreed statement of facts referred to in subsection 23 (3) of By-Law 4.

Availability to public

  (2)  The Society shall make the register available for public inspection in one or more of the following ways:
 
  1.  By establishing and maintaining a directory of licensees containing some or all of the information contained in the register on the Society’s website.
  2.  By publishing a print directory of licensees containing some or all of the information contained in the register.
  3.  By establishing and maintaining a telephone line, open during the Society’s normal business hours, for answering inquiries about contents of the register with respect to any licensee.
Terms or Concepts Explained