Compliance-Based Entity Regulation

Consultation on Compliance-Based Entity Regulation

Promoting better legal practices through proactive regulation

The Law Society’s Task Force on Compliance-Based Entity Regulation was formed in June 2015 to consider this form of proactive regulation.

Compliance-based regulation emphasizes a proactive approach in which the regulator identifies practice management principles and establishes goals and expectations. Lawyers and paralegals report on their compliance with these expectations, and have autonomy in deciding how to meet them.

Entity regulation refers to the regulation of the business entity through which lawyers and paralegals provide services. Entity regulation recognizes that many professional decisions that were once made by an individual lawyer or paralegal are increasingly determined by firm policies and procedures.

Proactive regulation may serve the public interest by helping lawyers and paralegals improve their practice standards and client service.

In January 2016, the Task Force released a Consultation Paper and launched a call for input to seek the professions’ views. The deadline for input was March 31.

The Task Force is now considering feedback received with a view to reporting to Convocation in the Spring of 2016.

Additional information

Informational webcast

View an archived version of the informational webcast offered by the Law Society on Feb. 8 to provide lawyers and paralegals with an opportunity to learn more about compliance-based entity regulation.

Download the webcast slides.

Read responses to questions not reached during the webcast

Law Society Reports

Initiatives at other Law Societies

Nova Scotia Barristers’ Society

Law Society of British Columbia

Law Societies of Alberta, Saskatchewan and Manitoba