Compliance-Based Entity Regulation

Consultation on Compliance-Based Entity Regulation

Promoting better legal practices through 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 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.

Task Force on Compliance-Based Entity Regulation

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

In May 2016, Convocation approved the Task Force’s report, which recommended the development of detailed options for a compliance-based regulatory framework. The options will be the subject of focused consultation with lawyers and paralegals.

Convocation also approved the Task Force’s recommendation to seek authority to regulate entities through amendments to the Law Society Act.

The recommendations are based on the Task Force’s study of the experience in other jurisdictions, its review of related research and comments received from individuals and legal organizations in response to a call for input.

The Task Force plans to provide a final report for the Convocation’s consideration in 2017. 

Law Society Reports

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View an archived version of the informational webcast offered by the Law Society on Feb. 8 to provide lawyers and paralegals with an opportunity to learn more about compliance-based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

Initiatives at other Law Societies

Nova Scotia Barristers’ Society

Law Society of British Columbia

Law Societies of Alberta, Saskatchewan and Manitoba