Bill 46 — Second Session, 22Nd Legislature, 39 Elizabeth Ii the Legislative Assembly of Alberta Bill 46 Legal Profession Act (Legislature 22, Session 2)

L22 S2 2721

Alberta — Bills

1990 BILL 46 Second Session, 22nd Legislature, 39 Elizabeth II THE LEGISLATIVE ASSEMBLY OF ALBERTA BILL 46 LEGAL PROFESSION ACT MR. EVANS First Reading Second Reading • Committee of die Whole ip^i^^ ^•^,-• t^ Third Readmg Royal Assent • • • • •

Bill 46 Mr. Evans BILL 46 1990 LEGAL PROFESSION ACT

Definitions (Assented to Table of Contents

Part 1 The Law Society of Alberta Constitution Powers of Society Legal aid plan Benchers Powers of Benchers Rules of Society Honorary Benchers Nimiber of Benchers Lay Benchers Election of Benchers Eligibility for election Rules re elections Extension of time The Society The Benchers Notice of elected Benchers Appeal re elections Vacancy Appointment to fill vacancy Meetings Voting at meetings Committee quorum Committee acting when loss of member , 1990) 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22

Officers of die Society Officers of die Society ^3 Appointment of officers f4 Auditor ^^ Meetings of die Society Meetings of Society 26 Special meetings 27 Effect of resolutions 28

Part 2 Membership and Qualification to Practice Membership Roll of members 29 Students-at-law 30 Resignation of member 31 Judicial appointment 32 Loss of status 33 Inactive members 34 Enrolment

Definitions 35 Role of Co-ordinating Council 36 Students-at-law 37 Education Committee 38 Enrolment of holders of Alberta degrees or equivalait 39 Enrolment of Canadian lawyers of 3 years* standing 40 Enrolment of Canadian lawyers with less than 3 years' standing 41 Enrolment of lawyers of 3 years' standing in U.K., Eire, N.Z. or Australia 42 Review of Secretary's decision 43 Admission to bar and enrolment as member 44 Faculty member or Society employee 45 Authorizations Authorizations to outside counsel 46

Part 3 Conduct of Members

Definitions 47 Commencement of order 48 Establishment of Committees 49 Rules of Benchers 50

Division 1 Proceedings Respecting Conduct Deserving of Sanction Review by Secretary 51 Appeal to Appeal Committee 52 Investigation 53 Review by Conduct Committee 54 Conduct Review Committee 55 Hearing Committee 56 Admission of guilt 57 Resignation in Ueu 58 Discontinuance of proceedings 59 Suspension during proceedings 60 Representation by counsel 61 Amendment of notice 62 Membership in Committee continues 63 Burden of proof 64 Evidence 65 Witoess 66 Attendance of witnesses 67 Finding by Hearing Committee 68 Order of die Hearing Committee 69 Orders respecting incompetence 70 Written report by Hearing Committee 71 Appeal to Benchers 72 Hearing by Benchers 73 Order by Benchers 74 PubUc or private proceedings 75 Suspension for non-payment 76 Appeal to Court of Appeal 77 Procedure on appeal 78 Powers of Court of Appeal 79 Division 2 General Indictable offence Extra-provincial disciplinary acts Notice of suspension or termination Reinstatement

Part 4 Protection of Persons Dealing Widi Members Division 1 The Assurance Fimd Finance Committee Proceedings Assurance Fimd Report re Assurance Fund Subrogation of rights 80 81 82 83 84 85 86 87 88

Division 2 Seizure and Custody of Property in Member's Possession

Definitions ^ Accounting for property ^ Seizure of property ^1 Custodian ^2 Examination and disposal of property 93 General Extension of time, etc. 94

Part 5 Professional Liability Claims

Definitions Payment of claims Funds for indemnity program Rules re assessment

Part 6 General Designation as barristers and solicitors Exemption from municipal business licence Recovery of fees Smdent-at-law as counsel Practice of law Misrepresentation as to professional status Employment of suspended member Penalties Proof of offence Injunction Solicitor and cliait privilege Secretary's certificate as evidence Service of documents Protection from liability Fees, etc., belong to Society Unattributed trust money

Part 7 Alberta Law Foundation Alberta Law Foundation Objects Board of directors By-laws Application of funds Annual report Borrowing Trust accounts 95 96 97 98 99 100 101 102 103 104 105 106 107 108 109 110 111 112 113 114 115 116 117 118 119 120 121 122

Dissolution of Foundation Protection from liability

Part 8 Professional Corporations

Definitions Rules by Benchers Permit Termination of permit LiabiUty of shareholders and employees Voting agreements widi non-members prohibited Application of Act and rules Preservation of solicitor-client relationships Use of tide Effect of discipline Assurance Fund and custodian provisions Exemption from municipal business licence Right to sue Evidence

Interpretation

Part 9 Transitional, Consequential and Coming into Force Transitional Consequential Repeal Coming into force 123 124 125 126 127 128 129 130 131 132 133 134 135 136 137 138 139 140 141 142 143 HER MAJESTY, by and with die advice and consent of the Legislative Assembly of Alberta, enacts as follows:

Definitions -j In this Act, (a) "active member" means a member other than an inactive member or a member whose membership is under suspension; (b) "Bencher" means a person who holds office as a Bencher of the Society, but does not include an honorary Bencher, (c) "disbar" means terminate the membership of a person in die Society by (

i) an order made under

Part 3 or an order under any predecessor of this Act of die Benchers tiien holding office, or

(ii) die resignation of diat person under

section 58; (d) "Hearing Committee" means a Hearing Committee appointed under

Part 3; (e) "inactive member" means a member of die Society who, in accordance with die rules, has elected to be an inactive member of the Society; (f) "lay Bencher" means a person who holds office as a Bencher by reason of an appointment under

section 10; (g) "member" means a member of the Society but does not include an honorary member; (h) "professional corporation" means a corporation that is the holder of a permit issued under

Part 8; (i) "records" includes (

i) ledgers, books, accounts, files, papers OT other documents, whether in writing or in electronic form or represented or reproduced by any other means, and (ii) the results of the recording of details of electronic data processing systems and programs to illustrate what die systems and programs do and how they operate; (j) "roll" means die Roll of The Law Society of Alberta; (k) "rules" means the rules of the Society made by die Benchers under diis Act; (1) "Society" means The Law Society of Alberta; (m) "student-at-law" means a person admitted to die Society as a student-at-law.

Constitution Powers of Society PARTI THE LAW SOCIETY OF ALBERTA The Society 2 The Law Society of Alberta as heretofore constimted continues by diat name as a corporation consisting of its members. 3 The Society, in addition to die powers vested in it by diis or any odier Act, has die power to borrow money for die purposes of

die Society and to mortgage or charge property of the Society or its sources of funds as security for money borrowed. Legal aid plan 4(1) Subject to die approval of die Lieutenant Govemor in Council, die Attomey General and the Society may enter into an agreement respecting the operation by the Society of a plan to provide legal aid to persons in need of it in civil matters or criminal matters or both.

(2) An agreement under this

section may provide for the following: (

a) the rules respecting the operation of the plan to be made by the Benchers pursuant to

section 7(2)(i); (

b) the establishment of a board, committee or other body to administer the plan consisting of persons nominated by the Attomey General and by the Benchers; (

c) the payment by the Govemment to die Society of money for the purpose of die plan, to be paid from funds voted by the Legislature for that purpose; (

d) die appointment by the Benchers of a director or chief executive officer for the plan; (

e) any other matters pertaining to the estabUshment or operation of the plan.

(3) No action Ues against (

a) a board, committee or other body referred to in subsection (2)(b), or (

b) any person who is or was a member or officer of a board or committee referred to in subsection (2)(b), in respect of anydiing done by any of them in good faith in the operation of a legal aid plan established under this section. The Benchers Benchers 5(1) jh&TG shall be a govcmiug body of die Society called the Benchers.

(2) The Benchers shall manage and conduct die business and affairs of the Society and exercise the powers of the Society in the name of or on behalf of the Society.

(3) The Benchers shall submit an annual report to die Attorney General on tiiose matters of die business and affairs of die Society diat die Attorney General may require in a form satisfactory to him.

(4) The Attomey General shall, on receipt of die annual report of die Society, lay it before die Legislative Assembly if it is dien sitting, and if it is not dien sitting, widiin 15 days after die commencement of the next ensuing sitting. Powers of 5 The Benchers may by resolution Beacbets (

a) audiorize die Society to enter into any contract diat die Society may enter into; (

b) appoint any person as an honorary member of the Society or an honorary Bencher; (

c) establish committees and their powers and duties and provide for appointments to them; (

d) confer any powers or impose any duties on a committee established by this Act or the rales in addition to the powers conferred and the duties imposed on that committee by diis Act or the rales; (

e) designate a chairman and one or more vice-chairmen for a committee established by or pursuant to this Act; (

f) appoint delegates and representatives to appear on behalf of and represent the Society; (

g) provide for the reporting of legal decisions; (

h) establish and maintain libraries fOT the use of the members of the Society; (

i) make arrangements with the Attomey General respecting die contribution of the Society to the cost of the acquisition of books and periodicals for libraries maintained by die Govemment; (

j) maintain a special fund for the relief of aged, infirm or disabled members or former members of the Society or dieir dependants and the dependants of deceased members, either by setting aside a portion of the money of die Society or by paying into diat fund a portion of die revenues of the Society, and may discontinue the fund in whole or in part; (

k) authorize the Society to enter into group insurance contracts insuring die lives or incomes of members or any class of

members or insuring against any risks incurred by members or any class of members diat are related to practising as a barrister or solicitor; (1) audiorize or establish a code of ethical standards for members and students-at-law and provide for its publication; (

m) establish and prescribe a course called the "bar admission course" for persons required to pass a bar admission examination; (

n) take any action and incur any expenses die Benchers consider necessary for the promotion, protection, interest or welfare of the Society. Rules of 7(1) The Benchers may make rales for the govemment of the Society Society, for die management and conduct of its business and affairs and for the exercise or carrying out of the powers and duties conferred or imposed on die Society or the Benchers under this or any other Act

(2) Widiout restricting the generality of subsection (1), the Benchers may make rales (

a) prescribing the manner of proof as to matters required to be proven by applicants for admission as students-at-law or for enrolment as members; (

b) fixing the fees payable to the Society for die admission of students-at-law or the enrolment of members, the fees payable annually by members and any other fees incidental to the conduct of the business and affairs of the Society; (

c) respecting the imposition of a pecuniary penalty on a member or student-at-law or the suspension of the membership of a member or the registiration of a student-at-law, widiout notice or hearing, if the member or student-at-law does not pay a fee or assessment, file a document or do any other act by the time specified by or determined in accordance with the rales; (

d) providing for the stiiking off die roll of die name of a member whose membership has been suspended for a period of at least 2 years pursuant to the rales made under clause (c); (

e) respecting the reinstatement of (

i) a former member as a member, (ii) an inactive member as an active member, or (iii) a former smdent-at-law as a student-at-law, 9

and respecting die terms and conditions on which reinstatement may be granted; (

f) respecting die termination of a suspension of die membership of a member or of die registi-ation of a student-at- law, and respecting the conditions on which a termination may be granted; (

g) goveming matters related to the operation of bar admission courses and prescribing fees for enrolment in those courses; (

h) respecting the powers and duties of the Secretary under

section 37(4); (

i) respecting the estabUshment and operation of a plan or plans to provide legal aid to persons in need in civil or criminal matters; (

j) respecting the duties of members, professional corporations or law firms in relation to property, other than money, entrasted to or received by them in their capacity as barristers and solicitors; (

k) respecting the exemption of any class of active members from the operation of

section 122(1); (1) respecting the maintenance and regulation of records of members, professional corporations or law firms in respect of money entrasted to them or received, held or paid by them for or on account of thek clients or others, in their capacity as barristers and solicitors; (

m) respecting the examination, review or audit of records referred to in clause (1) by officers, employees, auditors or agents of die Society and the recovery by die Society of die costs of those examinations, reviews or audits from those who are required to keep and maintain the records if die rales under clause (1) have not been compUed with; (

n) respecting the rights and duties of law firms; (

o) defining "law firm" for any purpose under the rales or for the purpose of

section 122; (

p) providing for die administi-ation of die special relief fund referred to in

section 6(j); (

q) goveming the use of libraries maintained wholly or pardy by funds of die Society and providing for die levying of assessments against die membership of die Society or die 10

members in any area for the purpose of recovering the cost of lost books; (

r) respecting the information required to be furnished to the Society by members or students-at-law or by persons acting for them; (

s) respecting the keeping and maintaining of the records referred to in

section 29 and the confidentiaUty of any classes of information forming part of those records, and regulating the disclosure pursuant to

section 29(3) of information forming part of those records; (

t) respecting the certification of active members as specialists in particular fields of law and the rights and duties of members holding certificates as specialists; (

u) respecting the registration of persons admitted to the Society as students-at-law and the maintenance of the register of students-at-law referred to in

section 29(1); (

v) prescribing die mediods by which a notice or odier document may be served, given or fumished under this Act or the rules on or to a member, student-at-law or professional corporation otherwise than by personal service; (

w) respecting the establishment, composition and manner of appointment of committees for any purpose under die rales and the powers and duties of a committee so estabUshed, and respecting additional powers and duties of a committee estabUshed by this Act; (

x) subject to

section 75, respecting the persons authorized or permitted to attend or participate in a hearing or meeting of the Benchers or of a committee established by or under diis Act, other than Benchers or the members of die committee, as the case may be; (

y) respecting the quoram required for a committee estabUshed by dlis Act and the circumstances under which and the conditions on which such a committee may sit in panels; (

z) respecting the conduct of general and special meetings of the Society and the notice to be given of those meetings; (aa) respecting the rights and duties of students-at-law and the circumstances in which they may act as counsel in proceedings before the courts and judges referred to in

section 102. 11

Hraiorary Benchers Number of Benchers Lay Benchers 8(1) The honorary Benchers of die Society are (

a) the Attomey General of Alberta, (

b) past Presidents of die Society who do not hold office as Benchers, and (

c) persons appointed as honorary Benchers under

section 6(b).

(2) An honorary Bencher may participate in any meeting or proceeding of the Benchers, other than a meeting or proceeding under

Part 3, but is not entitied to be notified of, to move OT second any motion at OT to vote at any meeting OT other proceeding. 9(1) Subject to subsection (2), the number of Benchers shall be 17.

(2) For each 500 active members by which die membership of the Society is increased over 1000, an additional Bencher shaU be elected but die number of Benchers shall in no case exceed 20.

(3) For the purposes of this section, the membership of the Society shaU be determined as of July 1 preceding each regular election. 10(1) In addition to the number of Benchers specified in

section 9, die Benchers shall include 3 members of die public, who shall be appointed as lay Benchers for a term of not more than 2 years by the Attomey General after consultation widi the Benchers.

(2) A lay Bencher continues to hold office after die expiry of his term of office until he is reappointed or his successor is appointed.

(3) Notwidistanding subsections (1) and (2), a person ceases to hold office as a lay Bencher after holding die office for a period or periods totalUng 6 consecutive years.

(4) The Attomey General may, after consultation widi die Benchers, revoke the appointment of a lay Bencher.

(5) The Attomey General may pay to a lay Bencher travelUng and living expenses incurred by diat lay Bencher for his attendance at any meeting of die Benchers while away from his usual place of residence and fees in an amount prescribed by die Attomey General. 12

Election of Benchers Eligibility for election

(6) The powers, duties and proceedings under this Act and the rales of the Benchers or a committee established under diis Act are not affected by (

a) the fact that lay Benchers are not appointed under subsection (1), (

b) die revocation of die appointment of a lay Bencher under subsection (4), (

c) die resignation of a person as a lay Bencher, or (

d) the fact that one or more lay Benchers are not present. 11

(1) An election of Benchers shall be held on the 2nd Monday of November in every odd-numbered year.

(2) The elected Benchers take office at the first meeting of the Benchers in the year following the year in which the election is held, and die elected Benchers in office immediately prior to the election continue in office until diat time. (3) Subsection (2) does not preclude the conducting of a vote under

section 19(5) in the year foUowing the election by Benchers holding office immediately before die election, if the vote is concluded before die first meeting of die Benchers in that year. 12(1) Only an active member resident in Alberta is eligible for nomination and election as a Bencher.

(2) A member is eUgible for nomination, election and re-election as a Bencher in accordance widi the rales.

(3) A member is ineUgible for nomination or election as a Bencher if at any time before the date of the election the member was disbarred.

(4) A member is ineUgible for nomination or election as a Bencher if, within the 5-year period immediately before the date of die election, (

a) die member was found guilty of conduct deserving of sanction without an order being made for his disbarment as a result of die finding, unless the Hearing Committee, the Benchers or die Court of Appeal, as die case may be, made an order directing that the member is not ineligible by reason of die finding, 13

Rules re elections (

b) an order of die Benchers was made under

section 80(4) fw the suspension of die membership of die member for a fixed period, or (

c) an order of the Benchers was made under

section 81(3) for die suspension of die membership of die member for a fixed period, unless die Benchers made an order directing diat die member is not ineUgible by reason of die suspension order.

(5) A member is not ineligible because of subsection (3) or (4)(

a) if die disbarment order or finding of guilt was successfuUy appealed. 13(1) The Benchers may make rules goveming elections of Benchers, and diose rales may (

a) provide the procedure for the nomination of candidates fOT election as Benchers; (

b) prescribe terms and conditions respecting eUgibiUty for nomination, election and re-election of Benchers; (

c) prescribe the circumstances under which an active member is not entitied to vote; (

d) provide for the division of Alberta into districts and prescribe die number of Benchers to be elected from each district; (

e) provide for the appointment or designation of presiding officers for the election; (

f) prescribe the forms to be used; (

g) prescribe the procedure to be used for the holding of die elections and for determining the Benchers elected.

(2) An election of Benchers shall be conducted with die use of secret baUots.

(3) Only active members are entitied to vote in an election of Benchers. Extension of time 14(1) In connection with an election of Benchers, if anydiing to be done within a number of days or at or before a time fixed by or under diis Act or the rales cannot be or is not so done, die President may from time to time by order appoint a furdier or other time for doing it, whedier die time at or before or within which it ought to have been done has or has not arrived or expired, as die case may be. 14

(2) Anydiing done at, before or within die time specified in an order under subsection (1) is as valid as if it had been done at, before or within the time fixed by or under this Act or die rales. Notice of 15 When die election is completed, die Secretary shall fordiwidi Bmdirs ^^"^ ^ notice containing the names of the Benchers elected to the Queen's Printer for pubUcation in The Alberta Gazette. Appeal re 16(1) A member may dispute die vaUdity of an election of eiecnons Beuchers or the vaUdity of die election of one or more of tiiem by petition to the Court of Queen's Bench filed not later than 10 days after the publication in The Alberta Gazette of the notice referred to in

section 15.

(2) The petition shall be heard by a judge of the Court in chambers in a

summary way.

(3) If it appears to the Court diat the election was conducted substantiaUy in accordance with die requirements of diis Act and the rales and that any non-compUance, violation, mistake or irregularity did not materiaUy affect the result of the election, die Comt may declare the election valid.

(4) If the Court decides that die election is invalid, it shall (

a) give directions as to die holding of anodier election, and (

b) direct that the elected Benchers who held office immediately prior to the invaUd election resume office as Benchers until the first meeting of the Benchers foUowing die election held pursuant to die Court's directions.

(5) If die Court decides diat die election of one or more but not aU of die Benchers is invalid, it shall either (

a) direct the remaining Benchers to appoint anodier or odiers in his or diek stead to fiU the vacancies in accordance widi

section 18, or (

b) give directions as to the holding of anodier election to fill die vacancies and as to die terms for which die Benchers elected under diis clause are to hold office.

(6) The decision of the Court is final. Vacancy 17(1) ^ persou ccascs to hold office as a Bencher if (

a) that person ceases to be a member of the Society whedier by disbarment or odierwise. 15

(

b) that person becomes an inactive member, (

c) diat person's membership in die Society is suspended under

section 69(l)(b), 74, 79, 80(4) or 81(3), (

d) an order of reprimand is made against that person under Parts, OT (

e) the Court of Appeal makes an order against that person under subsection (6).

(2) Subject to subsection (3), a person who ceases to hold office as a Bencher by reason of die operation of subsection (1) does not resume office as a Bencher by reason of (

a) diat person's reinstatement as a member of the Society, (

b) diat person's change of status from an inactive member to an active member, or (

c) the expiration or termination of a suspension referred to in subsection (l)(c).

(3) A person resumes office as a Bencher if (

a) die person ceased to hold office as a Bencher by reason of an OTder under

Part 3, (

b) the finding of guilt on which the order was based was revoked by the Benchers or die Court of Appeal under

Part 3, (

c) die person's term of office as a Bencher has not yet expu-ed, and (

d) die person is not then odierwise disqualified from holding office as a Bencher.

(4) If a member ceases to hold office as a Bencher by reason of a reprimand order made by a Hearing Committee or a panel of Benchers under

Part 3, die Benchers may, on application, order that die member resume office as a Bencher.

(5) If a member ceases to hold office as a Bencher by reason of a replacement reprimand order made by the Court of Appeal under

section 79, die Court, on application or on its own motion, may order diat die member resume office as a Bencher.

(6) If die Benchers make an order under subsection (4) in favour of a member who appeals die reprimand order to die Court of Appeal under

section 77, die Court may, on die appeal, revoke die order of die Benchers. 16

Appointinent to fiU vacancy Meetings Voting at meetings

(7) If the membership of a member who is also a Bencher is suspended by an order under

section 60, 80(2) or 81(2) or under the rales, the member's office as a Bencher is suspended for the period for which his membership is suspended. 18 If the required number of Benchers is not elected or a vacancy occurs in the number of Benchers on account of die deadi or resignation of a Bencher or odierwise, the remaining or continuing Benchers may, in accordance widi the rales, appoint any active member to fiU die vacancy until die first meeting of die Benchers in die year following die year in which die next regular election of Benchers is held. 19(1) Meetings of die Benchers shall be held at die places and times the Benchers determine.

(2) The President or any 3 Benchers may call a special meeting of the Benchers.

(3) A majority of the Benchers holding office is a quoram at any meeting of the Benchers.

(4) Three days' notice in writing shaU be given of any meeting of the Benchers.

(5) Where die President is of die opinion that it is desirable to take a vote of die Benchers on a resolution and diat it is impracticable in the circumstances to vote by holding a meeting of tiie Benchers for diat purpose, (

a) die President may direct that the vote be taken by the poUing of the Benchers by mail, telegram, telephone or other mode of communication or by any combination of those modes, and (

b) if the resolution is agreed to in accordance with clause (

a) by at least 2/3 of the Benchers so voting and the Benchers so voting constitute a majority of the Benchers then holding office, the resolution is as valid as if die vote were taken at a properly constimted meeting of the Benchers. 20(1) At a meeting of the Benchers, matters shall be determined by a majority of votes of the Benchers present at the meeting, but if there is an equaUty of votes, (

a) die motion on the matter shall be declared defeated if (

i) die matter arises under

Part 3, or 17

Committee quorum (ii) the motion is for die reinstatement as a member of a disbarred person, and (

b) in any odier case, die chairman has a 2nd or casting vote.

(2) Notwithstanding subsection (1), if a vote is taken at a meeting of die Benchers on a resolution under

section 60, 80(2) or 81(2), the resolution shaU be declared carried only if 2/3 of the Benchers voting on the resolution vote in favour of it and the Benchers casting votes on the resolution constitute a majority of die Benchers then holding office. 21 Except as odierwise provided in this Act, with respect to die determination of any matter dealt widi by a committee estabUshed by or under diis Act, (

a) a majority of die members of the committee constitutes a quorum at the meeting, and (

b) an act or diing done by a majority of the members of die committee present at a meeting is deemed to have been done by the committee. Committee 22 When One or more of the members of a committee estabUshed ioss*of^Sber ^^ °^ ""^^^ *^^ ^^^ cauuot act for any reason, the remaining members of the committee may act and determine any matter. OfHcers of the Society Officers of the Society 23(1) The officers of the Society are the President, the President- Elect, the Secretary, the Deputy Secretaries, the Treasurer and die holders of any adcUtional offices established by the rales or by die Benchers by resolution.

(2) The President and President-Elect shaU be chosen by die Benchers from their own number.

(3) If die President is absent or unable to act, die President-Elect is the Acting President.

(4) If bodi die President and die President-Elect are absent or unable to act, a majority of the Benchers may appoint one of dieir number as Acting President.

(5) The Acting President has die powers and shaU perform die duties of the President. 18

Ai^intinent of officers Auditor Meetings of Society Special meetings 24(1) The Secretary, die Deputy Secretaries and the Treasurer shaU be appointed by die Benchers.

(2) Unless odierwise expressly provided in the rales or by a resolution of the Benchers, a Deputy Secretary may exercise and perform any powers, functions and duties of the Secretary.

(3) The President may appoint any person as Acting Secretary if the Secretary is absent or unable to act, and that person, while Acting Secretary, has the powers and shaU perform the duties of the Secretary.

(4) The Benchers may, by resolution or by die rales, delegate any powers or duties of the Secretary under this Act to the Treasurer, the holder of an office established under

section 23(1) or an employee of the Society and prescribe the circumstances in which or the conditions on which the delegation is to apply.

(5) A delegation made under subsection (4) does not affect the abUity of the Secretary to exercise or perform the power or duty so delegated. 25(1) The Benchers at their first meeting in each year shall appoint an auditor for the Society.

(2) If the auditor for any reason cannot act, the President may appoint any person as acting auditor and diat person, while acting auditor, has die powers and shaU perform the duties of die auditor. Meetings of tiie Society 26(1) There shall be a general meeting of the Society in each year to be held at die place and time die Benchers decide.

(2) At each annual general meeting the President shaU present a report of the proceedings of the Benchers since the last annual general meeting.

(3) Twenty active members constitutes a quoram at an annual general or special meeting of the Society.

(4) At least 10 days before an annual general meeting the Secretary shaU have a notice of the meeting and a statement of the financial position of die Society during die previous fiscal year mailed to each active member of the Society. 27(1) The Secretary shaU call a special meeting of die Society (

a) when die Benchers by resolution so direct, or 19

Effect of resolutions (

b) widiin 30 days of die receipt by him of a written petition of 50 active members setting out die business to be discussed at the meeting.

(2) At least 10 days before a special meeting die Secretary shall have a notice of die meeting mailed to each active member of die Society.

(3) If die Secretary fails to caU a meeting under subsection (1), the Benchers or petitioners, as the case may be, may call the meeting. 28(1) A resolution passed at an annual general meeting or special meeting of the Society shaU be considered by the Benchers at dieir next meeting but is not binding on the Benchers.

(2) If a resolution passed at an annual general meeting or special meeting of the Society is not implemented by the Benchers at their next meeting, then, on die filing with the Secretary of a petition signed by at least 50 active members requesting die Benchers to do so, the Benchers shall have a mail vote of all active members taken on the resolution, and if at least 2/3 of those voting vote in favour of the resolution, die Benchers shall implement the resolution to the extent that they are by law able to do so.

PART 2 l\/IEiVIBERSHiP AND QUALiFiCATiON TO PRACTiCE RoUof members l\/lembersiiip 29(1) The Secretary shall, in accordance with the rales, keep and maintain (

a) the records constituting die RoU of The Law Society of Alberta and other records of die Society pertaining to members and former members, and (

b) the records constituting the register of persons admitted to die Society as students-at-law and other records of die Society pertaining to smdents-at-law and former students-at-law.

(2) The records referred to in subsection (1) may be kept and maintained in any form that aUows information contained in die records to be reproduced in written form.

(3) Information entered in die roU or in die register of students-at- law shall be made available for inspection by any person during normal business hours of the Society subject to any restrictions 20

relating to the confidentiality of that information prescribed by the rules. Students-at-law 30(1) The termination under diis Act of die regisO:ation of a student-at-law operates to terminate the articles of that person.

(2) The suspension under this Act of the registration of a student- at-law operates to suspend die articles of die smdent-at-law during the same period. Resignation of 31(1) NQ member may resign from the Society unless his member resignation is submitted to and approved by die Benchers.

(2) If the resignation is approved, the member's name shall be strack off the roll. Judicial appointment 32 A person ceases to be a member of the Society on becoming (

a) a judge of die Court of Appeal, die Court of Queen's Bench or the Provincial Court of Alberta, (

b) a judge of die Supreme Court of Canada, die Federal Court of Canada or die Tax Court of Canada, (

c) a Master in Chambers of the Court of Queen's Bench, (

d) a judge of a superior, district or county court in any other province of Canada, (

e) a judge of the provincial court of any other province of Canada, or Loss of status (

f) a judge of the territorial court of a territory of Canada. 33 If it is proved to the satisfaction of the Benchers that a member is neither a Canadian citizen nor a person lawfully admitted into Canada for permanent residence, die Benchers shall order that die member's name be strack off the roU. Inactive members 34 Subject to tiie rales, (

a) an active member may elect to become an inactive member, and (

b) an inactive member may be reinstated as an active member. 21

Enrolment

Definitions 35 In sections 36 to 45, Role of Co ordinating Council (a) "bar admission course" means a bar admission course estabUshed and operated by the Society; (b) "bar admission examination" means an examination in general subjects related to practise as a barrister or solicitor, including practice, procedure and ethics and statates of Alberta or Canada or both; (c) "Co-ordinating Council" means die Universities Co ordinating Council under the Universities Act; (d) "special examinations" means examinations at university standards in subjects pertaining to substantive law in force in Alberta; (e) "university in Alberta" means a university under the Universities Act. 36(1) The evaluation of die academic qualifications of, and die examination of, applicants for enrolment as members of the Society or for admission to the Society as smdents-at-law is under the control of the Co-ordinating Council.

(2) The Co-ordinating Council (

a) shall evaluate the educational attainments of an appUcant for enrolment as a member or for admission as a student-at-law whose degree in law was not granted by a university in Alberta, (

b) shall, in the case of an applicant whose degree in law was not granted by a university in Alberta, prescribe the content of any examinations at university standards in subjects pertaining to substantive law in force in Alberta that are required by die Council to be taken by the appUcant, having regard to his educational attainments, and (

c) subject to subsection (4), shall prescribe the contents of bar admission examinations.

(3) The conducting of examinations shall be under the control of the Co-ordinating Council and in accordance with any arrange ments diat may be made widi die Society for that purpose.

(4) The Co-ordinating Council may enter into arrangements with die Society under which die Benchers may prescribe die contents of bar admission examinations and may conduct diose 22

examinations under the general supervision of die Co-ordinating Council.

(5) Subject to subsection (6), a person who is required to pass a bar admission examination shall also take a bar admission course in preparation for that examination.

(6) Notwithstanding anydiing in this Part, the Secretary, if he considers that special circumstances so warrant with respect to any person, may exempt that person from taking all or part of a bar admission course or of a bar admission examination or of both. smdoits-at-iaw 37(1) An applicant for admission as a student-at-law under

section 39 or 41 shaU obtain from the secretary of the Co-ordinating Council a certificate as to his compliance with

section 39(l)(

b) and (

c) or

section 41(l)(

b) and (c), as die case may be.

(2) Subject to subsections (3) and (4), a smdent-at-law shaU serve under articles in Alberta with an active member resident in Alberta.

(3) The Education Committee may permit a person admitted as a student-at-law under

section 39(1) to serve part of die period under articles with (

a) die Chief Justice of Alberta or any other judge of the Court of Appeal, (

b) the Chief Justice of die Court of Queen's Bench or any other judge of that Court, (

c) the chief judge of the Provincial Court, (

d) die Chief Justice of Canada or any other judge of the Supreme Court of Canada, (

e) die Chief Justice of die Federal Court of Canada or any other judge of that Court, or (

f) die Chief Judge of the Tax Court of Canada or any odier judge of diat Court, but in that event die Education Committee may direct diat die total period to be served under articles by diat person shall be a period exceeding one year that the Committee prescribes.

(4) Where die Secretary approves die admission of a person as a student-at-law, die Secretary, subject to die rales and widi or widiout conditions, may determine diat all or part of any period under articles served or to be served by that person in another province shaU be considered as satisfying all or part of the 23

requirement for diat person's service under articles in Alberta prescribed by or under this Part. Education 38(1) The Educatiou Committee is estabUshed. Committee

(2) The Benchers may appoint die members of die Education Committee, and the Committee may consist of (

a) Benchers only, or (

b) a majority of Benchers, widi a minority consisting of (

i) members of die Society who are not Benchers, or (ii) deans of die faculties of law of the University of Alberta and die University of Calgary. Enroimrait of 39(1) The Secretary shaU approve the admission of a person as a hoidCTs of student-at-law if he proves to the Secretary's satisfaction and in Ameita degrees , . . t i i or equivalent accordauce With die rulcs diat (

a) he is of good character and reputation, (

b) he has (

i) received or is entitied to receive a degree from a university in Alberta or fi-om a university recognized by a university in Alberta that, in the opinion of the Co ordinating Council, would entitie him to pursue a course leading to the degree of Bachelor of Laws at a university in Alberta, (ii) successfuUy completed 2 years, or the equivalent of 2 years, of a full program of studies leading to a degree at a university in Alberta, or (iU) successfully completed, at a coUege or university recognized by a university in Alberta, smdies that are, in die opinion of the Co-ordinating Council, the equivalent of 2 years of a full program of smdies leading to a degree at a university in Alberta, and (

c) he has received or is entitied to receive a degree in law from a university in Alberta or has received or is entitied to receive a degree in law from a university outside Alberta diat, in the opinion of the Co-ordinating Council, is equivalent to die degree of Bachelor of Laws granted by a university in Alberta. 24

(2) The Secretary shaU approve die enrohnent of a person admitted as a smdent-at-law under subsection (1) if he proves to the Secretary's satisfaction and in accordance widi the rales that he (

a) is a Canadian citizen or is lawfully admitted into Canada for permanent residence. (

b) is 18 years of age or older, (

c) has served under articles for a continuous period of at least one year or, with the approval of the Education Committee, for periods totalling at least one year, (

d) has passed a bar admission examination, and (

e) if his degree in law was not granted by a university in Alberta, has passed any special examinations that the Co ordinating Council may require him to take. Enrolment of 40 The Secretary shall approve the enrolment of a person as a j^^^"^j3 member of the Society if he proves to the Secretary's satisfaction years' standing and in accordaucc with the rales that he (

a) is a Canadian citizen or is lawfully admitted into Canada for permanent residence, (

b) is of good character and reputation, (

c) is enrolled as a barrister or soUcitor in any province or territory of Canada other than Alberta, (

d) has been actively engaged in the practice of law in a province or territory of Canada other than Alberta for a period or periods totaUing at least 3 years in die 5-year period immediately preceding his appUcation for enrolment, (

e) has passed a bar admission examination, and (

f) has passed any special examinations tiiat die Co-ordinating Council may require him to take, if he is not tiie holder of a degree in law or if his degree in law was not granted by a university in Alberta. Enrolment of Canadian lawyers witii less than 3 years' standing 41

(1) The Secretary shaU approve the admission of a person as a student-at-law and shaU prescribe die period of articles, not exceeding one year, to be served by that person if die person proves to die Secretary's satisfaction and in accordance widi die rales that (

a) he is of good character and reputation. 25

(

b) he has (

i) received or is entitied to receive a degree from a university in Alberta or from a university recognized by a university in Alberta diat, in die opinion of the Co ordinating Council, would entitie him to pursue a course leading to the degree of Bachelor of Laws at a university in Alberta, (ii) successfuUy completed 2 years, or the equivalent of 2 years, of a full program of studies leading to a degree at a university in Alberta, or (iu) successfully completed, at a coUege or university recognized by a university in Alberta, smdies that are, in the opinion of the Co-ordinating Council the equivalent of 2 years of a full program of smdies leading to a degree at a university in Alberta, (

c) he has received or is entitied to receive a degree in law from a university in Alberta or has received or is entitied to receive a degree in law from a university outside Alberta that, in the opinion of the Co-ordinating Council, is equivalent to the degree of Bachelor of Laws granted by a university in Alberta, (

d) he is enrolled as a barrister or soUcitor in any province or territory of Canada other than Alberta, and (

e) he has not been actively engaged in the practice of law in a province or territory of Canada odier than Alberta for a period or periods totaUing at least 3 years in die 5-year period immediately preceding his appUcation for enrolment.

(2) The Secretary shall approve the enrolment of a person admitted as a smdent-at-law under subsection (1) if he proves to the Secretary's satisfaction and in accordance with die rales diat he (

a) is a Canadian citizen or is lawfully admitted into Canada for permanent residence, (

b) has served under articles for the period prescribed by die Secretary, (

c) has passed a bar admission examination, and (

d) if his degree in law was not granted by a university in Alberta, has passed any special examinations that die Co ordinating Council may require him to take. 26

Enrolment of lawyers of 3 years' standing in UJC., Eire, N.Z.or Australia 42(1) The Secretary shaU approve the admission of a person as a student-at-law and shaU prescribe die period of articles to be served by that person if the person proves to the Secretary's satisfaction and in accordance with the rales that he (

a) is of good character and reputation, (

b) has been called to die bar of England, Scotiand, Nordiem Ireland, Eire, New Zealand or Australia, or is a solicitor of the Supreme Court of Judicature in England or Nordiem Ireland, a writer to the signet in Scotiand or a solicitor of any Supreme or High Court in New Zealand, Australia or Eire, and (

c) has been actively engaged in the practice of law in any of the jurisdictions mentioned in clause (

b) for a period or periods totalling at least 3 years in the 5-year period immediately preceding his application for emolment.

(2) The Secretary may waive the requirements of subsection (l)(

c) in the case of an application by a solicitor of the Supreme Court of Judicature in England if the appUcant p-ovides satisfactory evidence that he has been performing in Alberta services of a legal nature for the Department of the Attomey General of the Govemment of Alberta for a period or periods totaUing at least 3 years in die 5-year period immediately preceding his application for admission.

(3) The Secretary shall approve the enrolment of a person admitted as a smdent-at-law under subsection (1) if he proves to the Secretary's satisfaction and in accordance widi the rales that he (

a) is a Canadian citizen or is lawfully admitted into Canada for permanent residence, (

b) has passed a bar admission examination, (

c) if he is not the holder of a degree in law or if his degree in law was not granted by a university in Alberta, has passed any special examinations diat die Co-ordinating CouncU may reqmre him to take, and (

d) has served under articles for die term prescribed by die Secretary.

(4) The Secretary may waive die requirement for service under articles in any case under this

section and shall approve the enrolment of a person as a member of die Society if die person proves to die Secretary's satisfaction and in accordance with the rales diat he has complied widi all die requirements of subsections (1) and (3) other than the requirement to serve under articles. 27

Review of Secretary's decision Admission to bar and enrolment as memba Faculty member or Society employee 43(1) Before making a decision under

section 37(4), 39,40,41 or 42, die Secretary may refer the matter to die Education Committee, who, widi or widiout consulmtion witii die Benchers, shall dkect the Secretary as to die decision to be made.

(2) A person affected by a decision of die Secretary under

section 37(4), 39, 40, 41 or 42 may appeal to die Benchers, who may confirm the decision or direct die Secretary to vary or reverse it 44(1) When the Secretary has approved the enrolment of a person under

section 39,40,41 or 42 or the Benchers have approved the enrolment of a person under

section 45, and the prescribed enrolment fee has been paid, the Secretary shaU issue a certificate to that effect directed to a clerk of the Court of Queen's Bench.

(2) When the certificate of tiie Secretary has been delivered to die clerk, the appUcant for enrolment shall, within 2 years of the date of the certificate, take and subscribe before a judge or judges of the Court of Queen's Bench, in open court, (

a) an oadi of aUegiance in the form p-escribed by the Oaths of Office Act, (

b) die official oath prescribed by the Oaths of Office Act, and (

c) any otiier oatii prescribed by the rales.

(3) The Secretary may extend die 2-year period mentioned in subsection (2) whether the application for the extension was made before or after the expiration of that period.

(4) When the applicant for enrohnent has taken and subscribed the oadis referred to in subsection (2), the clerk or deputy clerk of die Court shall issue a certificate to that effect and send it fordiwidi to the Secretary.

(5) A person becomes a member when a certificate in respect of tiiat person is issued under subsection (4).

(6) On receiving a certificate issued in respect of a member under subsection (4), die Secretary shall enter the member's name in die roll in accordance widi the rales. 45(1) Subject to the rales, the Benchers may by resolution approve the enrolment of a person who proves to their satisfaction tiiat he (

a) is a Canadian citizen or is lawfully admitted into Canada for permanent residence, 28

(

b) is of good character and reputation, (

c) is a fuU-time (

i) member of the Faculty of Law of a university in Alberta and has been a fidl-time member of a Faculty of Law of a university in Alberta for a continuous period of at least 2 years immediately preceding the date of his application for enrolment, or (ii) employee of the Society and has been a full-time employee of the Society for a continuous period of at least 2 years immediately preceding die date of his application for enrolment, (

d) has received a degree in law from a university in Alberta or has received a degree in law that, in the opinion of the Co ordinating Council, is equivalent to the degree of Bachelor of Laws granted by a university in Alberta, and (

e) has passed any examinations and has fiilfiUed any other requirements prescribed by the Education Committee.

(2) A person emoUed as a member as a result of a Benchers' resolution made before the coming into force of this subsection ceases to be a member of the Society on ceasing to be a full-time member of the Faculty of Law at a university in Alberta or on ceasing to be a fuU-time employee of the Society unless before diat time (

a) the Education Committee has approved the continuation of tiiat person's membership under this section, or (

b) the member has applied to the Secretary for the approval of the Education Committee of the continuation of that person's membership under this section.

(3) If a person applies under subsection (2)(

b) for approval of the continuation of his membership under this section, the Education Committee may (

a) approve the continuation of the applicant's membership, or (

b) order diat die applicant's name be stinck off the roll if the Committee determines tiiat die appUcant has failed to fiilfU the requkements prescribed by the Committee as conditions to the applicant's continued membership.

(4) The Education Committee may prescribe the requkements to be fulfilled by an appUcant before its approval is given to the continuation of the appUcant's membership under subsection (2)(a) 29

or (3)(

a) and shall not give die approval unless it is satisfied diat the applicant has fulfilled die requkements. Authorizations Autho-izatiOTis 46(1) Subject to the rules, die Secretary may audiorize an ^^^ individual emoUed as a member of a law society in any province ""^^ or territory of Canada other dian Alberta (

a) to act as counsel in specified proceedings before (

i) die Court of Appeal, (ii) the Court of Queen's Bench, (iu) die Surrogate Court, (iv) the Provincial Court, or (

v) a judge or master of any of those Courts, or (

b) to act as a solicitor in any specified matter in Alberta if that individual would be in contravention of

section 103(1) if he did not hold an authorization under this section.

(2) The Benchers may make rules respecting (

a) the requkements to be met by an appUcant before an audiorization is granted under diis section; (

b) the fees payable to die Society in respect of the granting or renewal of authorizations; (

c) die granting of authorizations; (

d) die conditions to which an audiorization or any class of audiorization is subject, and die powers of die Secretary to impose conditions on authorizations in particular cases; (

e) die rights and duties of persons to whom authorizations are granted; (

f) appeals from a refusal to grant an authorization or from any decision made pursuant to the rales under tiiis section; (

g) die suspension, revocation or expkation of audiorizations; 30

(

h) die disciplining of the holder of an authorization for a contravention of the rales under this

section or of a condition to which tiie audiorization is subject; (

i) the ckcumstances in which or the conditions on which a person is, for the purposes of this Act, deemed to hold an audiorization under this section.

(3) Rules under subsection (2)(

h) may, widiout limitation, provide for (

a) proceedings relating to die investigation and adjudication of contraventions; (

b) the appUcation of any or aU of the provisions of sections 64 to 67 to proceedings referred to in clause (a); (

c) the imposition of punishment for contraventions in the form of suspension or revocation of the authorization, with or widiout the imposition of pecuniary penalties or costs or both; (

d) appeals from adjudications to the Court of Appeal.

(4) If (

a) an individual holds or is deemed to hold an authorization under this section, and (

b) that individual is a voting shareholder or employee of a law corporation or other corporation incorporated in the province or territory where that individual is enrolled and the corporation is comparable to a professional corporation under

Part 8, the audiorization extends to that corporation for die purposes of this

section and

section 103(1), but only in relation to services provided by that individual on behalf of the corporation.

PART 3 CONDUCT OF MEI\/IBERS

Definitions 47(1) For the purposes of this Act, any conduct of a member, arising from incompetence or otherwise, that (

a) is incompatible with the best interests of the public or of the members of the Society, or (

b) tends to harm the standing of the legal profession generaUy, 31

is conduct deserving of sanction, whedier or not diat conduct relates to die member's practice as a barrister and soUcitor and whether or not that conduct occurs in Alberta.

(2) In dlis Part, (a) "Board of Examiners" means a Board of Examiners appointed pursuant to

section 70; (b) "conduct" in respect of a member includes any matter regarding the acts of the member or the conduct of the member; (c) "costs of the proceedings" or "costs" means, widi reference to any matter that is the subject of proceedings under this Part, the costs determined in accordance with the rules as being attributable to those proceedings; (d) "hearing record" means (

i) a ti-anscript of the proceedings at a hearing before a Hearing Committee or a commissioner appointed by an order under

section 66(4), (ii) a tianscript of any recording entered as an exhibit at a hearing before a Hearing Committee or a commissioner, (iu) any exhibits entered in evidence before a Hearing Committee or a commissioner that the Hearing Committee considers essential for a proper understanding of the evidence adduced at the hearing, or copies of those exhibits, and (iv) a statement of admission of guilt, if any, referred to in

section 57, or a copy of that statement; (e) "hearing report" means the report of a Hearing Committee referred to in

section 71(1) and a dissenting report referred to in

section 71(2); (f) "investigation" means an investigation made on die dkection of the Secretary or the Conduct Committee diat relates to die conduct of a member that is the subject of proceedings under Division 1.

(3) For the purposes of this Act, proceedings in respect of a member's conduct shaU be considered as commencing under Division 1 (

a) when a complaint respecting the conduct is received by die Secretary or when the conduct is fkst brought to die attention of the Secretary otherwise, or 32

(

b) when die Conduct Committee makes its initial decision under

section 55(7) in a case to which diat subsection appUes.

(4) Except as otherwise provided, diis Part and the rales under this Part apply to smdents-at-law.

(5) For die purposes of applying subsection (4) and widiout limiting the generality of diat subsection, (

a) references to a member include a student-at-law; (

b) references to die disbarment of a member shaU, in relation to a student-at-law, be read as references to die termination of die registi-ation of die smdent-at-law; (

c) references to the suspension of die membership of a member shaU, in relation to a student-at-law, be read as references to the suspension of the registi:ation of the student-at- law; (

d) references to the reinstatement of the membership of a former member shall, in relation to a former student-at-law, be read as references to die reinstatement of the registration of die former smdent-at-law.

(6) Proceedings may be taken under this Part against a member with respect to the member's conduct during any period when the member was a student-at-law.

(7) Proceedings may be commenced, maintained and concluded under Division 1 or

section 80 or 81 with respect to a member's conduct whether or not that conduct has been, is or subsequentiy becomes the subject of proceedings under any other provision of this Act or under any other law in force in Alberta or outside Alberta. Commencement of order 48(1) If an order of disbarment is made under this Part, the person against whom the order is made ceases to be a member when the order is made unless a future effective date is specified in the order.

(2) If an order is made under this Part for the suspension of the membership of a member, the suspension commences when the order is made unless a future effective date is specified in the order. Establishment of Committees 49(1) The foUowing committees are estabUshed: (

a) die Conduct Committee, the members of which appointed by the Benchers, and which shall consist of are 33

(

i) Benchers only, or (ii) a majority of Benchers and a minority of members of the Society who are not Benchers; (

b) die Conduct Review Committee, die members of which are appointed by the Benchers, and which shall consist of (

i) Benchers only, or (ii) a majority of Benchers and a minority of members of tiie Society who are not Benchers; (

c) die Appeal Committee, consisting of (

i) die lay Benchers, and (ii) at least 3 otiier Benchers appointed by die Benchers.

(2) Notwidistanding

section 19(3), a quoram of Benchers at any proceedings before the Benchers under this Part, other than proceedings under

section 60, shall consist of a panel of no fewer than 7 Benchers. Rules of 50(1) The Benchers may make rales Boichers (

a) respecting the powers and duties of persons conducting investigations; (

b) respecting the proceedings of the Conduct Committee, die Conduct Review Committee and the Appeal Committee and the powers and duties of those Committees and of thek chairmen and vice-chairmen; (

c) respecting the powers, duties and proceedings of a Hearing Committee; (

d) respecting die powers and duties of die Secretary and of members and other persons in relation to any proceedings under dlis Part; (

e) respecting the powers, duties and proceedings of die Benchers under this Part; (

f) respecting the powers, duties and proceedings of a Board of Examiners, and respecting any matter pertaining to courses of study that may be specified by die Conduct Review Committee for the purposes of

section 70; (

g) respecting die determination of costs diat may be attributed to proceedings under diis Part and the powers and duties of a 34

Hearing Committee or the Benchers, as tiie case may be, in making orders under diis Part against a member or former member for the payment of all or part of tiiose costs; (

h) respecting any other matter incidental to die administration of this Part

(2) Rules under subsection (l)(

g) may, widiout limitation, include in the classes of costs adributable to proceedings under this Part reasonable costs for the indemnification of the Society for the cost of services performed in connection with those proceedings by any of its salaried employees. Review by Secretary Appeal to Appeal Committee Division 1 Proceedings Respecting Conduct Deserving of Sanction 51

(1) Any conduct of a member that comes to the attention of the Society, whether by way of a complaint or otherwise, shall first be reviewed by the Secretary.

(2) The Secretary, in the course of a review under subsection (1), may do eidier or bodi of the foUowing: (

a) requke the complainant or the member concemed to answer any inquiries or to fumish any records that the Secretary considers relevant for the purpose of the review; (

b) dkect diat the conduct be investigated.

(3) On the completion of a review under subsection (1), the Secretary shall either (

a) dkect that the matter be dismissed, or (

b) refer the matter, together with his report respecting the review, to the Conduct Committee.

(4) If the conduct of a member comes to the attention of the Society by way of a complaint, the Secretary shall endeavour to resolve the complaint but shall perform his duties under subsections (1) to (3) whether the complaint is resolved or not. 52(1) If a dkection is made by the Secretary under

section 51(3)(

a) dismissing a complaint, the complainant may appeal the dkection to the Appeal Committee in accordance with the rales.

(2) On hearing die appeal, die Appeal Committee shaU eitiier 35

(

a) dkect tiiat die complaint be dismissed, or (

b) refer the matter to the Conduct Committee. Investigation 53(1) An investigation may be conducted by an officer or employee of die Society or by a person engaged by or on behalf of the Society for that purpose.

(2) An investigator may dkect the member concemed or any other member (

a) to answer any inquiries the investigator may have relating to die investigation, (

b) to produce to the investigator any records or other property in die member's possession or under die member's conttol that are or may be related in any way to the investigation, (

c) to give up possession of any record referred to in clause (

b) for the purpose of aUowing the investigator to take it away, make a copy of it and return it within a reasonable time after receiving it, or (

d) to attend before the investigator for the purpose of complying witii clause (a), (

b) or (c).

(3) The Society may apply to the Court of Queen's Bench for (

a) an order dkecting the member concemed or any other member to comply widi aU or part of subsection (2); (

b) an order dkecting any person (

i) to produce to the investigator any records or other property in die person's possession or under the person's control diat are or may be related in any way to die investigation, or (ii) to give up possession of any record referred to in subclause (

i) for the purpose of aUowing die investigator to take it away, make a co^py of U and retiim it widiin a reasonable time after receiving it; (

c) an order dkecting any person to attend before die investigator to answer any inquiries die investigator may have relating to the investigation.

(4) An appUcation for an order under subsection (3) may be made widiout notice to the otiier party if tiie Court is satisfied tiiat it is proper to make die order in die circumstances. 36

Review by Condua Committee Condua Review Committee

(5) A person may comply widi a dkection under subsection (2)(

b) or (3)(b)(

i) by providing to die investigator copies of die records tiiat are dkected to be produced.

(6) An investigator may investigate any other conduct of the member concemed that arises in die course of the investigation.

(7) An investigator shall make a report respecting the investigation to whoever dkected that die mvestigation be made. 54(1) The Conduct Committee shaU review any conduct of a member referred to it by die Secretary under

section 51 or by tiie Appeal Committee under

section 52.

(2) The Conduct Committee, in die course of its review under subsection (1), may do eidier or bodi of the foUowing: (

a) requke die complainant or the member concemed to answer any inquiries or to produce any records that tiie Committee considers relevant for the purpose of the review; (

b) dkect diat the conduct be investigated or further investigated.

(3) On completing its review under subsection (1), die Conduct Committee shall either (

a) dkect that the matter be dismissed, or (

b) dkect that the conduct be dealt with by a Hearing Committee. 55(1) The Conduct Committee, at any time during or after a review by it under

section 54 of a member's conduct, may dkect the Conduct Review Commktee to carry out a general review and assessment of the member's conduct in addition to the review under

section 54.

(2) On being dkected to carry out a review and assessment under this section, the Conduct Review Committee may delegate the carrying out of any aspect of the review and assessment to a subcommittee consistmg of one or more persons, whether they are members of the Conduct Review Committee or of the Society or not, and in that case, die subcommittee shaU submit a written report containing its findings and recommendations to the Conduct Review Committee.

(3) The Conduct Review Committee, in die course of a review and assessment carried out under this section, may requke the member concemed to answer any inquiries or produce any records 37

or odier property diat the Committee considers relevant for the purposes of the review and assessment.

(4) After concluding its review and assessment, the Conduct Review Committee may (

a) make recommendations to the member concemed that it considers wiU, if foUowed, improve die conduct of the member in relation to the member's practice as a barrister and solicitor; (

b) obtain the member's undertaking respecting restiictions on tiie member's practice as a barrister and soUcitor or the conditions on which the member's practice as a barrister and solicitor wUl be carried on.

(5) The Conduct Review Committee shaU submk a report to the Conduct Committee containing the results of a review and assessment carried out under this

section and any recommendations made to the member under subsection (4).

(6) The Conduct Review Committee may from time to time inquke into the manner in which the member has followed or is following the recommendations made to him under subsection (4) and, on being satisfied that the member has not been or is not following the recommendations, the Conduct Review Committee may submit a further report on die subject to the Conduct Committee.

(7) On receiving a report of the Conduct Review Committee, die Conduct Committee may, with respect to any conduct of die member diat is mentioned in the report, (

a) dkect diat an investigation be made into die conduct and, on receiving die report of die investigator, dkect diat die conduct be dealt with by a Hearing Committee, or (

b) dkect that die conduct be dealt with by a Hearing Committee. c^Sttee ^®^^^ ^^ *® Conduct Committee dkects tiiat die conduct of a member is to be dealt witii by a Hearing Committee, (

a) die Secretary, on being informed of die dkection, shall give tiie member notice of the hearing and of die acts or matters regarding the member's conduct to be dealt widi, widi reasonable particulars of each act or matter, (

b) the chakman of die Conduct Committee shaU appoint a Hearing Committee consisting of 3 or more Benchers otiier dian die President or any Benchers disquaUfied from sitting on die Commktee, and 38

(

c) die Hearing Committee so appointed shall hold a hearing respecting die member's conduct.

(2) A Bencher who is a member of the Conduct Committee, the Conduct Review Committee or the Appeal Committee is not disqualified from being appointed to or sitting on a Hearing Committee unless that Bencher participated in proceedings of die Conduct Committee, Conduct Review Committee or Appeal Committee, as die case may be, relating to the same conduct tiiat is or is to be the subject of the hearing by the Hearing Committee.

Admission 57(1) Subject to the rales, a member may, at any time after the of guilt commencement of proceedings under this Division regarding the member's conduct and before a Hearing Committee makes its findings in respect of the member's conduct, submit to the Secretary a statement of admission of guilt of conduct deserving of sanction in respect of all or any of the acts or matters that are the subject of the proceedings.

(2) A statement of admission of guUt shall not be acted on until it is in a form acceptable to (

a) the Conduct Committee, if die statement is submitted before the day on which a Hearing Committee is appointed to conduct a hearing respecting die matter, or (

b) die Hearing Committee, if die statement is submitted on or after die day on which the Hearing Committee is appointed.

(3) If a statement of admission of guUt is accepted under subsection (2)(a), tiie chairman of the Conduct Committee shall appoint a Hearing Committee consisting of 3 or more Benchers other than the President or any Benchers disquaUfied from sitting on the Committee.

(4) If a statement of admission of guilt is accepted, each admission of guilt in the statement in respect of any act or matter regarding the member's conduct is deemed for aU purposes to be a finding of (

a) die Hearing Committee appointed under subsection (3), or (

b) die Hearing Committee tiiat accepted the statement, as die case may be, diat die conduct of die member is conduct deserving of sanction.

(5) The Hearing Committee appointed under subsection (3) or the Hearing Committee tiiat accepted die statement, as the case may be, shaU proceed widi a hearing for the purpose of making its 39

in lieu determination, if any, under

section 68(4), its order under

section 69 and its order, if any, under

section 70. 58(1) Subject to the rales, a member whose conduct is die subject of proceedings under diis Division may at any time during the proceedings apply to the Benchers for thek approval of his resignation as a member in lieu of having the proceedings continue.

(2) The Benchers may reject die appUcation or, if they accept k, (

a) may make thek acceptance of the application subject to any conditions the Benchers consider appropriate in the ckcumstances, and (

b) shall give dkections as to die information to be entered in die roU in relation to the member's resignation.

(3) If a person resigns as a member pursuant to this section, then, subject to any conditions prescribed by the Benchers pursuant to subsection (2)(b), proceedings under this Division shaU be discontinued in respect of the conduct that was the subject of the proceedings and to which the resignation relates.

Discontinuance 59(1) If at any time before a Hearing Committee has commenced of proceedmgs jj^ jiggnug jn respcct of the conduct of a member die Conduct Committee is satisfied diat the ckcumstances of the conduct do not justify the continuation of proceedings under diis Part respecting that conduct, die Conduct Committee may, by a resolution setting out the reasons for its decision, discontinue the proceedings under dlis

Part in respect of diat conduct.

(2) If a Hearing Committee has commenced its hearing in respect of the conduct of a member and is satisfied that the ckcumstances of the conduct do not justify die continuation of its proceedings respecting that conduct, die Hearing Committee may, by a resolution setting out the reasons for its decision, discontinue its proceedings in respect of diat conduct.

(3) If die proceedings discontinued under subsection (1) or (2) in respect of any conduct were commenced as a result of a complaint, the Secretary shall notify the complainant of die discontinuance and shall give the complainant a copy of the resolution of die Conduct Committee or die Hearing Committee, as die case may be.

(4) If proceedings are discontinued under subsection (1) or (2), no new or furdier proceedings shall be taken under this

Part in respect of the same conduct diat was die subject of the discontinued proceedings without widi the approval of the Benchers. 40

Suspension during proceedings 60(1) If the conduct of a member is the subject of proceedings under diis Division, the Benchers, without prior notice or hearing, may order the suspension of the membership of the member at any stage of those proceedings if the Benchers consider the suspension warranted in the ckcumstances having regard to die nature of the conduct

(2) An order of suspension under subsection (1) (

a) may be terminated by the Benchers at any time on application or on thek own motion; (

b) may be terminated by a Hearing Committee on application or on its own motion if it considers the continuation of the suspension unwarranted in the ckcumstances or when it makes a finding under

section 68(1) that die conduct of die member is not conduct deserving of sanction; (

c) terminates on the discontinuance of the proceedings against the member under

section 59(1) or (2) unless it has been sooner terminated under to clause (

a) or (

b) of this subsection.

(3) If a Hearing Committee is dkected to deal with a member's conduct and considers it warranted in the ckcumstances to do so having regard to the nature of the conduct, the Hearing Committee, at any time after the dkection is made and without prior notice or hearing, may order the suspension of die membership of the member pending the making of the Committee's decision under

section 68(1) and, if the Committee finds the member guilty of conduct deserving of sanction, pending the making of the Committee's order under

section 69. Representation by counsel

(4) An order of suspension under subsection (3) (

a) may be terminated by the Hearing Committee tiiat made it or by die Benchers, on application or on the Committee's or the Benchers' own motion; (

b) terminates on the discontinuance of die proceedings against the member pursuant to

section 59(1) or (2) unless k has been sooner terminated under clause (

a) of this subsection.

(5) A termination of a suspension by or under subsection (2) or (4) does not preclude die making of another order under tiiis

section for die suspension of die membership of the same member in respect of the same conduct. 61 The Society and die member whose conduct is die subject of proceedings under this Division before the Appeal Committee, before the Conduct Review Committee or any of its 41

subcommittees, before a Hearing Committee or before die Benchers may be represented by counsel at those proceedings. Amendment of Q2 Subjcct to tiie rales, a Hearing Committee may at any time "°"** during a hearing before k (

a) amend any notice given to die member under

section 56(l)(a), or (

b) deal widi any other conduct of the member that arises in the course of die hearing, but in eitiier event tiie Committee shaU declare its intention to amend die notice or deal widi the other conduct and shaU permk the member sufficient opportunity to prepare his answer respecting the amendment or the other conduct. Mraabership in Committee continues 63(1) Subject to subsection (2), a member of a Hearing Committee who at any time after tiie commencement of a hearing of the Committee (

a) ceases to be a Bencher, or (

b) becomes die President may continue to act as a member of the Hearing Committee in all subsequent proceedings of the Hearing Committee.

(2) A person ceases to be a member of a Hearing Committee if (

a) diat person ceases to hold office as a Bencher because of

section 17, or (

b) that person's appointment as a member of the Hearing Committee is revoked by the Conduct Committee because diat person is under a disabiUty or is otherwise unable to continue to act as a member of the Hearing Committee.

(3) If after the commencement of a hearing the membership of a Hearing Committee is reduced, the remaining members of the Hearing Committee may continue to act as the Hearing Committee if at least 2 members of the Committee remain. Burdm of proof Evidence 64 When it is estabUshed or admitted in any proceedings under this Division that a member has received any money or odier property in trast, the burden of proof that the money or odier property has been properly dealt with Ues on the member. 65(1) In proceedings under this Division, a Hearing Committee, the Conduct Review Committee or die Appeal Committee 42

(

a) may hear, receive and examine evidence in any manner it considers proper, and (

b) is not bound by any rales of law conceming evidence in judicial proceedings.

(2) A Bencher who is a member of a Committee referred to in subsection (1) may administer an oath to a wimess who is to give evidence before diat Committee. Witness g6(

l) A member whose conduct is die subject of a hearing before a Hearing Committee is a compellable wimess in proceedings before diat Committee.

(2) A wimess in proceedings before a Hearing Committee may be examined on oadi on aU matters relevant to die hearing and shall not be excused from answering any question on die ground that the answer (

a) might tend to incriminate die wimess, (

b) might subject the witness to punishment under this Part, or (

c) might tend to estabUsh the wimess's UabiUty (

i) to a civil proceeding at the instance of the Crown or of any other person, or (ii) to prosecution under any Act, but the answer so given, if it tends to incriminate the wimess, subject him to punishment or tend to estabUsh his liabUity, shall not be used or received against the wimess in any other proceedings under this or any other Act except as provided under subsection (3).

(3) An answer referred to in subsection (2) may be used or received against the wimess who gave it in (

a) other proceedings against die wimess under this Division, (

b) proceedings under

section 86 in respect of a claim against the Assurance Fund, or (

c) an action against die wimess under

section 88 or 94(2).

(4) For die purpose of obtaining die testimony in proceedings before a Hearing Committee of a wimess who is out of Alberta, the Court of Queen's Bench on an ex parte application by the Society may dkect the issuing of a commission for the obtaining 43

of the evidence of the wimess, and the commission shall be issued and the evidence taken pursuant to the Alberta Rules of Court.

(5) The Secretary, die Society's counsel, die member whose conduct is the subject of a hearing before a Hearing Committee or the member's counsel may issue a notice to a person requiring diat person to attend as a wimess before the Hearing Committee at the time and place stated in the notice and stating the records, if any, that the person is requked to produce at that hearing.

(6) A wimess, odier than the member whose conduct is the subject of a hearing before a Hearing Committee, who has been served with a notice to attend or a notice for the production of records under subsection (5) is entitied to be paid die same fees as are payable to wimesses in an action in the Court of Queen's Bench. Attendance of 67(1) If a person has been served widi a notice referred to in witiiesses ^^^^ ^^^^ ^^ (

a) fails to attend as a wimess before the Hearing Committee in compliance with the notice, (

b) fails to produce any records before the Hearing Committee in compliance widi die notice, (

c) refuses to be swom as a wimess before the Hearing Committee, or (

d) refuses to answer any question put to him in a hearing before the Hearing Committee after the chakman of tiie Committee has dkected him to do so, the Court of Queen's Bench, on application, may make an order requiring tiiat person to do what tiiat person has faked or refused to do. Finding by Hearing Committee

(2) The Hearing Committee, on proof of service of a notice referred to in

section 66(5) on tiie member whose conduct is die subject of the hearing, may (

a) proceed with die hearing in die absence of the member, and (

b) act and report on the member's conduct in die same way as if die member were in attendance. 68(1) On completing its hearing, a Hearing Committee shaU, in respect of each act or matter regarding die member's conduct diat was die subject of tiie hearing, make a findkigas to whedier tiie 44

member is or is not guilty of conduct deserving of sanction in respect of that act or matter.

(2) If die Hearing Committee makes a finding under subsection (1) diat die member is not guilty of conduct deserving of sanction, no further proceedings shall be taken under tiiis

Part in respect of the act or matter to which the finding relates.

(3) If die Hearing Committee makes a finding under subsection (1) diat the member is guilty of conduct deserving of sanction, the Committee, (

a) on appUcation by the counsel for the Society, shall receive tiie report of the Secretary showing tiie record, if any, of the member relating to previous proceedings against the member under this Part or the predecessors of diis Part, and (

b) if die Committee is requested to do so by a member of the Committee, by the member or the member's counsel or by the counsel for the Society, shall hear representations as to whether or not the member's conduct arose from incompetence.

(4) If the Hearing Committee hears representations under subsection (3)(b), the Committee may make a determination that the member's conduct arose from incompetence.

(5) On receiving a report and on hearing the representations, if any, under subsection (3) and on making a determination, if any, under subsection (4), tiie Hearing Committee shall hear the representations, if any, by or on behalf of the member and by the counsel for the Society regarding the order to be made by the Committee under

section 69 and, where applicable, the order to be made by the Committee under

section 70. OrdCTofthe 69(1) If a Hearing Committee finds diat a member is guUty of c^^ttee conduct deserving of sanction, tiie Committee shaU either (

a) order that die member be disbarred, (

b) order that die membership of the member be suspended during the period prescribed by die order, or (

c) order that die member be reprimanded.

(2) In addition to an order under subsection (1), the Hearing Committee may make eitiier or bodi of die following orders: (

a) an order requiring the payment to die Society, for each act or matter regarding die member's conduct in respect of which the Committee has made a finding of guUt, of a penalty of not more dian $10 000, widiin die time prescribed by die order; 45

Orders respecting incompetence (

b) an order requiring the payment to the Society of aU or part of die costs of die proceedings widiin die time prescribed by die order.

(3) A suspension order made under subsection (l)(

b) may be terminated by die Benchers on thek own motion or, subject to die rales, on application.

(4) If the Hearing Committee makes an order of suspension or reprimand under subsection (1), it may also make an order dkecting that the member is not ineUgible for nomination or election as a Bencher by reason of the finding of guilt on which the order is based.

(5) The Society may, by an action in debt, recover any penalties or costs payable under an order made pursuant to subsection (2) from the person requked to pay them. 70(1) If die Hearing Committee determines that the conduct of die member arose from incompetence and makes an order of reprimand under

section 69(l)(

c) in respect of diat conduct, die Hearing Committee, in addition to making the order of reprimand and any odier order under

section 69(2), may make one or more of the foUowing orders: (

a) an order suspending the membership of the member or imposing conditions respecting the member's practice as a barrister and solicitor until (

i) die member has completed, to die satisfaction of die Conduct Review Committee, a course or courses of study specified by tiiat Committee, or (ii) tiie member has appeared before a Board of Examiners and has satisfied die Board diat he is competent to engage in practice as a barrister and soUcitor generally or in any specified field or fields of law, or botii; (

b) an order requiring die member (

i) to complete successfuUy a course or courses of study specified by die Conduct Review Committee widiin die period of time prescribed by diat Committee, or (ii) to appear before a Board of Examiners widiin die period prescribed by die Hearing Committee and satisfy die Board that die member is competent to engage in practice as a barrister and soUcitor generaUy or in any specified field or fields of law. 46

or both; (

c) an order suspending the membership of the member until the member has appeared before a Board of Examiners and has satisfied die Board that die member's competence to practise as a barrister and soUcitor is not adversely affected by any physical or mental disabiUty or addiction to alcohol or drags; (

d) an order requiring the member to appear before a Board of Examiners within the period of time prescribed by the order and to satisfy the Board that the member's competence to practise as a barrister and solicitor is not adversely affected by any physical or mental disabiUty or addiction to alcohol or drugs; (

e) an order suspending the membership of the member or imposing conditions respecting the member's practice as a barrister and soUcitor untU the member has given the Secretary an undertaking in writing, in a form approved by the Conduct Review Committee, that the member's practice as a barrister and solicitor wUl be carried on subject to the conditions imposed by that Committee.

(2) The conditions that may be imposed in an order under subsection (l)(

a) or (

e) or in an undertaking given under subsection (l)(

e) may, widiout limitation, consist of or include any of the following: (

a) a condition that the member's practice be restricted to any specified field or fields of law; (

b) a condition that die member be prohibited from practising in any speckled field or fields of law; (

c) a condition that the member's practice be carried on under the dkect supervision of one or more of the active members named in die order or undertaking. (3) Subsections (1) and (2) do not apply to a smdent-at-law.

(4) If die Hearing Committee determines tiiat die conduct of a student-at-law arose from incompetence and makes an order of reprimand under

section 69(l)(

c) in respect of diat conduct, die Hearing Committee, m addition to die order of reprimand and any other order under

section 69(2), may make one or more of the following orders against the smdent-at-law: (

a) an order requking the smdent-at-law (

i) to complete successfuUy a course or courses of study designated by die Conduct Review Committee widiin the period of time prescribed by diat Committee, or 47

(ii) to appear before a Board of Examiners and satisfy tiie Board that he is competent to continue his articles; (

b) an order suspending the registtation of the student-at-law until (

i) die student-at-law has completed, to the satisfaction of the Conduct Review Committee, a course or courses of study speckled by die Conduct Review Committee, or (ii) the smdent-at-law has appeared before a Board of Examiners and has satisfied die Board that he is competent to resume his articles, or botii; (

c) an order suspending the registration of the student-at-law until die smdent-at-law has appeared before a Board of Examiners and has satisfied the Board that his competence to resume his articles is not adversely affected by any physical or mental disabUity or addiction to ^cohol or drags.

(5) A Board of Examiners shall be appointed by the chairman of die Hearing Committee, the chairman of the panel of Benchers or die Court of Appeal, as tiie case requkes. Written rqwrt j-\

(1) Qu making its ordcr under

section 69 and its order, tf any, Com^e under

section 70, a Hearing Committee shaU (

a) prepare a written report respecting (

i) its finding under

section 68(1), (ii) its determination, if any, under

section 68(4), and (iu) its order under

section 69 and its order, if any, under

section 70, and containing the reasons for its decisions in respect of the finding, determination and order, and (

b) give a copy of the report to the chairman of die Conduct Committee and to the Secretary.

(2) If a Hearing Committee has found die member guilty of conduct deserving of sanction but any of its decisions in respect of its finding, determination or order is not unanimous, the dissenting member or members of tiie Committee shaU (

a) prepare a written report respecting tiie dissent and containing the reasons for die dissent, and 48

(

b) give a copy of die report to the chairman of the Conduct Commktee and to the Secretary.

(3) The Secretary, on receipt of a report under subsection (1) or (2), shaU within a reasonable time (

a) give a copy of the report to the member or the member's counsel, and (

b) send to the complainant a copy of a

summary of die report.

(4) If an appeal is taken by the member to the Benchers under this Part, die Secretary shaU, at the expense of die member, arrange for the preparation of tiie hearing record of die hearing.

(5) Notwithstanding subsection (4), die Benchers may (

a) waive die payment of all or part of die cost of the preparation of the hearing record, or (

b) in the event that the appeal is wholly or partiy successful, dkect that aU or part of the cost of preparation of the hearing record be repaid to the member or be appUed to reduce the amount of any penalties or costs otiierwise payable by the member. Appeal to 72(1) If the Hearing Committee makes aeacners (

a) an order of disbarment under

section 69(l)(a), or (

b) an order under

section 69(l)(

b) diat the membership of a member be suspended during a prescribed period, the member may appeal to the Benchers in accordance widi this section.

(2) An appeal to the Benchers under this

section may relate to all or any of die following: (

a) any finding of gmlt by the Hearing Committee under

section 68(1) on which the order under

section 69(l)(

a) or (

b) was based; (

b) a determination by tiie Hearing Committee under

section 68(4) tiiat tiie member's conduct arose from incompetence; (

c) all or any part of an order made by the Hearing Committee against the member pursuant to

section 69.

(3) An appeal under this

section shaU be commenced by fiUng a notice of appeal witii die Secretary widiin the 30-day period after 49

die date on which a copy of die hearing report was given to the member or the member's counsel.

(4) If an appeal is taken to die Benchers under diis section, tiie Secretary shall (

a) serve a notice on the member or die member's counsel showing the time and place at which the hearing report and the hearing record are to be considered by the Benchers and stating that the member may appear before the Benchers at that time and place in person or by the member's counsel, (

b) serve on die member concemed or die member's counsel a copy of the hearing report and the hearing record, and (

c) give copies of die hearing report and the hearing record to those Benchers who, to the Secretary's knowledge, are expected to form the panel of Benchers who wiU hear the matter or who may be included in that panel.

(5) If k is not reasonably practical for the Secretary to serve or give a copy of an exhibit or a recording forming part of the hearing record, the Secretary shaU (

a) with the authorization of the President, make the original exhibk avaUable for examination and inspection, or the recording for listening, by the member or the member's counsel prior to die hearing of the appeal, and (

b) make the original exhibit available for examination and inspection, or die recording for listening, by the Benchers at the hearing of die appeal.

(6) After commencing the appeal under diis

section and on notice to the Secretary, tiie member may apply to the Hearing Committee for a stay of the operation of die Hearing Committee's order under

section 69(l)(

a) or (

b) or (2), as die case may be, pending die conclusion of the appeal to die Benchers.

(7) The Hearing Committee may make an order applied for under subsection (6) with or without imposing conditions on the member, but die Committee shall refuse to make the order tf k is satisfied that the conduct of die member involves the conversion or misappropriation of property or tiiat, having regard to die nature of the member's conduct, it is proper to refuse to make die order. B^Ss''^ ^^^^^ ^^ ^" ^PP^^ ^^ ^^" ^° *® Benchers under

section 72, tiie Benchers shaU, as soon as practicable and subject to compUance widi

section 72, hold a hearing to (

a) consider die hearing report and die hearing record, and 50

(

b) hear any representations of die member or die member's counsel respecting die appeal.

(2) A Bencher is qualified to participate in or vote at proceedings before the Benchers under this

section unless tiiat Bencher (

a) was a member of tiie Hearing Committee from which tiie appeal is taken, (

b) participated as a member of the Conduct Committee, the Conduct Review Committee or die Appeal Committee in proceedings of that Committee relatmg to the same matter diat was die subject of die hearing by die Hearing Committee from which the appeal is taken, (

c) did not receive a copy of the hearing report and die hearing record before the hearing commenced, or (

d) is otherwise disqualified.

(3) A member of a panel of Benchers hearing an appeal under this

section may continue to act untU tiie appeal is concluded notwithstanding that the member ceases to be a Bencher after the commencement of the hearing unless the member ceases to hold office as a Bencher because of

section 17.

(4) If after the commencement of a hearing of an appeal under this

section the membership of the panel of Benchers is reduced, the remaining members of the panel may continue to act as the panel for the purposes of concluding the appeal if at least 5 members of the panel remain.

(5) The commencement of a hearing under this

section may be adjoumed from time to time (

a) by the Benchers, or (

b) by a committee of the Benchers pursuant to the rales.

(6) The panel of Benchers holding a hearing under this

section may, on application for leave to receive fresh evidence, enquke into the nature of tiiat evidence and, on granting leave, may (

a) dkect that aU or part of die fresh evidence will be received by the panel, (

b) dkect the Hearing Committee from which the appeal was taken to hold a further hearing to hear the fresh evidence, or (

c) quash a finding of guUt made by the Hearing Committee and dkect tiiat the conduct that was the subject of the finding 51

be dealt with at a new hearing by a different Hearing Committee.

(7) If the panel of Benchers receives fresh evidence pursuant to subsection (6)(a), sections 65 to 67 apply witii respect to the proceedings of the panel at which die fresh evidence is received, and for that purpose a reference in those sections to a Hearing Committee shall be read as a reference to die panel.

(8) If the panel of Benchers dkects a furdier hearing before the Hearing Committee pursuant to subsection (6)(b), (

a) die Hearing Commktee shaU receive evidence at the furdier hearing in accordance with the instractions and conditions given or imposed by the panel; (

b) die Hearing Committee may revoke any finding of guilt or any determination respecting incompetence previously made by it or amend or replace any order made by it under

section 69 or 70; (

c) section 71 applies with respect to the further hearing and tiie hearing record of the further hearing; (d)

section 72(4)(

b) and (

c) and (5) apply with respect to die hearing report and hearing record of the further hearing; (

e) a panel of the Benchers shall reconvene the hearing of the appeal and shall dispose of die appeal having regard also to the hearing report and hearing record of the further hearing.

(9) If the panel of Benchers dkects a new hearing before a different Hearing Committee pursuant to subsection (6)(c), (

a) section 56 applies to the new hearing as if that

section referred to the Benchers radier than to the Conduct Committee, and (

b) each member of the panel is disqualkied from being a member of the new Hearing Committee but is not disqualified merely because of his membership on the panel from being a member of the panel of Benchers that hears any appeal from the new Hearing Committee.

(10) If a meeting of the panel of Benchers is held after die conclusion of a hearing under this

section to consider its decision on the appeal, the only persons who may be present at die meeting are (

a) tiie members of die panel, and 52

Bendiers (

b) die Secretary, or some odier person designated by die panel, only for the purpose of recording minutes of the meeting.

(11) The Benchers may make an order dismissing the appeal, with or widiout a further order requiring die member to pay to the Society all or part of die costs of the proceedings relating to the appeal, if (

a) neither the member nor the member's counsel appears before the Benchers at the time and place at which the hearing is to be held and the Benchers determine that the Secretary has compUed with

section 72(4)(

a) and (b), (

b) the member or the member's counsel appears before the Benchers for die purpose of applying for an adjournment of the hearing and the Benchers consider the adjournment unjustkied in die ckcumstances, or (

c) die Benchers are satisfied that the member has otherwise abandoned the appeal. ^"™ 74(1) Within a reasonable time after the conclusion of thek appeal hearing under

section 73, the Benchers may, in respect of any conduct that resulted in the order of the Hearing Committee under

section 69(l)(

a) or (b), make one or more of the foUowing orders: (

a) an order (

i) confirming the Hearing Committee's finding of guUt in respect of the member's conduct, or (ii) quashing the finding of guilt, with or without a further order under subsection (3); (

b) an order confirming or quashing a determination by the Hearing Committee diat die member's conduct arose from incompetence; (

c) where the Benchers confirm the Hearing Committee's finding of guilt, an order confirming or varying the Committee's order under

section 69 or replacing it widi any other order that the Committee could have made under diat section; (

d) where die Benchers replace the Hearing Committee's order under

section 69(1 )(

a) or (

b) widi an order of reprimand under

section 69(l)(c), (

i) an order confirming the Committee's determination, or making thek own determination, that die member's conduct arose from incompetence, and 53

Public or private proceedings (ii) any order under

section 70 against tiie member tiiat tiie Hearing Committee could have made; (

e) k the appeal does not result in die confkmation or making of an order of disbarment, an order (

i) confirming the Committee's order under

section 69(4), or (ii) dkecting diat die member is not ineUgible for nomination or election as a Bencher because of the finding of guUt on which die order under

section 69 is based.

(2) Notwithstanding

section 20(l)(a), k the Benchers vote on a motion to make an order under subsection (1) either to confirm or to quash a finding, determination or order of a Hearing Committee and there is an equality of votes on the motion, the Benchers are deemed to have voted in favour of confirming the finding, determination or order.

(3) If die Benchers under subsection (l)(

a) quash a finding of guUt, (

a) die Benchers may also make an order dkecting that the member's conduct diat was the subject of the finding be dealt with at a new hearing by a different Hearing Committee, and (

b) section 56 applies to the matter as though that

section referred to the Benchers radier than to the Conduct Committee.

(4) An order for the suspension of the membership of a member that is confirmed or made by the Benchers under subsection (1) may, at any time after die Benchers' order, be terminated by the Benchers on thek own motion or, subject to the rales, on application.

(5) After tiie Benchers have made an order under

section 73(11) or this section, tiie Secretary shall (

a) prepare a

summary of die order, (

b) give a copy of the

summary to the member or tiie member's counsel, and (

c) send a copy of the

summary to the complainant, k any. 75(1) The public may attend and observe a hearing before a Hearing Committee or before die Benchers under

section 73 except to the extent that the hearing is dkected to be held in private under subsection (2). 54

(2) The Hearing Committee or the Benchers, as the case may be, on diek own motion or on the application of the member concemed, the complainant, any person expected to be a witness at the hearing or any odier interested party at any time before or during die proceedings, may, subject to the rales, dkect that aU or part of die hearing is to be held in private.

(3) Proceedings under tiiis Division, other dian hearings referred to in subsection (1) and hearings before the Court of Appeal, shall be held in private.

(4) Notwidistanding subsections (1) to (3), k, following diek respective hearings under tiiis Division, the Hearing Committee or the panel of Benchers is of die opinion that diere are reasonable and probable grounds to beUeve tiiat tiie member has committed a criminal offence, die Hearing Committee or the panel, as die case may be, shall dkect the Secretary to send a copy of die hearing record to the Attomey General. Suspension for 76(1) Unless tiic Conduct Committee odierwise dkects before tiie non-payment expkation of the period prescribed by the order, the membership of a member is automaticaUy suspended until payment is made in full if (

a) an order is made against the member by a Hearing Committee or die Benchers for the payment of a penalty or of aU or part of the costs of any proceedings under this Division, and (

b) payment in full is not received by the Society within the period prescribed by die order. (2) Subsection (1) does not affect die operation of any other order under this Part for the suspension of the membership of a member. Appeal to Court 77(1) A persou found guilty of conduct deserving of sanction may ° ^^^^ appeal to the Court of Appeal any or aU of die following: (

a) a finding, determination or order made by a Hearing Committee that may not be appealed to the Benchers under

section 72; (

b) an order of die Benchers under

section 73(11); (

c) all or part of an order made against the member by the Benchers under

section 74(1).

(2) The appeal shaU be commenced not more than 30 days after the date on which the finding, determination or order appealed from was made by 55

Procedure on appeal (

a) filing a notice of appeal witii the Registi-ar of die Court at Edmonton or Calgary, and (

b) serving a copy of die notice of appeal on tiie Secretary.

(3) A judge of the Court of Appeal, within die 30-day period referred to in subsection (2), may extend die time for filing or service under subsection (2).

(4) The Society shall be named as the sole respondent in an appeal under this section.

(5) The Secretary, at the expense of an appeUant under this section, shaU arrange for the preparation of die hearing record of the hearing before the Hearing Committee.

(6) Notwitiistanding subsection (5), tiie Benchers may waive tiie payment of aU or part of die cost of the preparation of the hearing record.

(7) The appeUant, after commencing the appeal and on notice to the Secretary, may apply to the Court of Queen's Bench for a stay, pending die conclusion of the appeal under this section, of the operation of any order appealed from that is (

a) an order of the Benchers (

i) disbarring the appellant or confirming the Hearing Committee's disbarment order, or (ii) suspending the membership of die appellant during die period prescribed in the order or confirming the Hearing Committee's order suspending the membership of die appeUant during die period prescribed in die Committee's order, or (

b) an order under

section 69(2) or 70.

(8) The Court of Queen's Bench may make an order applied for under subsection (7) witii or without imposing conditions on tiie appeUant but shall refuse to make die order if die Court is satisfied that die conduct of die appellant involves die conversion or misappropriation of property or that, having regard to die nature of the conduct of the appeUant, k is proper to refuse to make die order. 78(1) An appeal to the Court of Appeal shaU be founded on copies certified by the Secretary of the foUowing: 56

(

a) in the case of an appeal from a decision of a Hearing Committee, die hearing report and the hearing record; (

b) in the case of an appeal taken from the Benchers pursuant to

section 77(l)(

b) or (c), (

i) die hearing report, the hearing record and the Secretary's

summary prepared pursuant to

section 74(5), and (ii) if the Benchers received fresh evidence under

section 73(6), a transcription of the proceedings at which the fresh evidence was received, a transcription of any recording entered as an exhibit at those proceedings and any exhibit entered in evidence at those proceedings.

(2) The Secretary, on being paid the fees prescribed by the rales and any disbursements and expenses in connection with those fees, shaU, on request, give the appeUant or the appellant's counsel not more than 9 copies of the documents mentioned in subsection (1) in accordance widi the request.

(3) The Alberta Rules of Court for appeals from a judgment or order of the Court of Queen's Bench to die Court of Appeal apply to an appeal to the Court of Appeal under

section 77. Powers of 79(1) The Court of Appeal on hearing die appeal may (

a) in the case of an appeal taken under

section 77(1 )(a), (

i) confirm or quash any finding or determination of the Hearing Committee, (ii) confirm, quash or vary any order of the Hearing Committee under

section 69 or replace it with any otiier order the Committee could have made under that section, or (iU) confirm, quash or vary any order of the Hearing Committee under

section 70, replace it with any other order the Committee could have made under that

section or direct the Benchers to make a replacement order under

section 70 in accordance witii the instractions of the Court; (

b) in the case of an appeal taken under

section 77(l)(b), confirm the order of the Benchers under

section 73(11) or quash it and dkect the Benchers to proceed with the appeal that was dismissed by tiiat order; (

c) in a case of an appeal taken pursuant to

section 77(l)(c), confirm, quash or vary the order of the Benchers or replace it witii any otiier order die Benchers could have made under

section 74(1); 57

(

d) where the Court quashes a finding of guilt, dkect die Benchers to make an order under

section 74(3) to have die matter regarding die member's conduct diat was die subject of the finding dealt with at a new hearing by a dkferent Hearing Committee; (

e) in the event die appeal is whoUy or partiy successful, dkect that all or part of die cost of preparation of the documents referred to in

section 78(1) be repaid by die Society to die member or be applied to reduce die amount of penalties or costs otiierwise payable to the Society by tiie member.

(2) In making an order under subsection (1), the Court may give the Benchers any dkections the Court considers just in die ckcumstances as a consequence of its decision or considers necessary to carry out its decision. Division 2 General Indictable 80(1) In tiiis sectiou, offence (a) "appeal", with reference to a conviction for an indictable offence, means an appeal from the conviction or proceedings to have the conviction quashed; (b) "appeal period", with reference to a conviction for an indictable offence, means the period limited by law for the commencement of an appeal from the conviction.

(2) If a member is convicted of an indictable offence, the Benchers, without any other proceedings under this Part and before the expkation of die appeal period relating to the conviction, may order die suspension of die membership of die member whether or not an appeal is commenced.

(3) A suspension ordered under subsection (2) may be terminated by die Benchers at any time without affecting die power of die Benchers to subsequentiy make an order under subsection (4) or another suspension order under subsection (2).

(4) If a member is convicted of an indictable offence, die Benchers, whether a suspension is ordered under subsection (2) or not, may order (

a) diat the membership of the member be suspended for die period prescribed by die order, or 58

(

b) that the member be disbarred at any time after (

c) tiie expkation of the appeal period, if an appeal from the conviction is not commenced within the appeal period, or (

d) the conclusion or abandonment of the appeal taken from the conviction.

(5) The Benchers shall not make any order under subsection (4) until the member has been given (

a) notice in accordance witii die rales of the intention of the Benchers to consider making an order under that subsection, and (

b) a reasonable opportunity to make oral or written representations to the Benchers in that regard.

(6) The pubUc may attend and observe proceedings under subsection (5) at which the member is present unless the Benchers, on thek own motion or on the appUcation of the member or any other interested party at any time before or during the proceedings, dkect that the proceedings are to be held in private. Extra-provincial 81

(1) In tilis SCCtiOU, disciplmary acts (a) "Alberta member" means a member of the Society who is also a member of an extra-provincial law society or who ceased to be a member of that society by reason of an order referred to in subsection (3)(a); (b) "discipUnary body", in relation to an extra-provincial law society, means the goveming body of that society or any person or group of persons having powers to impose disciplinary sanctions on the members of diat society by way of suspension or termination of membership in that society; (c) "extra-provincial law society" means a law society or other body in a jurisdiction other tiian Alberta, membership in which is, under die laws of that jurisdiction, a requkement for practising law in that jurisdiction.

(2) If the disciplinary body of an extra-provincial law society orders die suspension of die membership of an Alberta member in that society pending an investigation relating to die Alberta member or pending the outcome of any disciplinary proceedings against die Alberta member, die Benchers, widiout any odier proceedings under this Part, may order the suspension of the Alberta member's membership in the Society for a period co- 59

extensive with the remainder of the period of suspension ordered by the disciplinary body.

(3) The Benchers, whedier or not a suspension is ordered under subsection (2), may make an order against an Alberta member if (

a) a discipUnary body of an extra-provincial law society, in discipUnary proceedings against die Alberta member, makes (

i) an order for die suspension of the Alberta member's membership in that extra-provincial law society for a fixed period, or (ii) an order having the effect of terminating the Alberta member's membership in that society, or (

b) die Alberta member resigns as a member of that extra- provincial society in lieu of having disciplinary proceedings by a disciplinary body of diat society continue against him.

(4) An order made against an Alberta member under subsection (3) shall be either (

a) an order for die suspension of the Alberta member's membership in the Society for the period prescribed by the order, or (

b) an order disbarring the Alberta member.

(5) The Benchers shall not make any order under subsection (3) until the Alberta member concemed has been given (

a) notice in accordance widi die rales of the intention of the Benchers to consider making an order under that subsection, and (

b) a reasonable opportunity to make oral or written representations to the Benchers in that regard.

(6) If the Benchers make an order under subsection (3) for the suspension of the membership of an Alberta member who is a Bencher at the time the order is made, the Benchers may also make an order dkecting that die member is not ineUgible for nomination or election as a Bencher by reason of the suspension order.

(7) The pubUc may attend and observe proceedings under subsection (5) at which the member is present unless the Benchers, on their own motion or on the appUcation of the member or any 60

Notice of suspension or termination Other interested party at any time before or during die proceedings, dkect tiiat tiie proceedings are to be held in private. 82(1) When a member is disbarred or the membership of a member is suspended, the Secretary shall send a notice stating diat fact to die judges and clerks of the Court of Appeal, the Court of Queen's Bench and the Provincial Court, to the Masters in Chambers, to die active members and smdents-at-law and to the secretaries of odier law societies in Canada.

(2) A notice under subsection (1) may, subject to the rales, contain information pertaining to any findings, determinations and orders made in respect of die member.

(3) If an order is made against a member under

section 69,74,79, 80 or 81 or if the Benchers approve the resignation of a member under

section 58, the Hearing Committee or the Benchers may give dkections to the Secretary in accordance with the rales respecting (

a) the pubUcation of the name of the member and of information pertaining to any findings, determinations and orders made in respect of the member or to his resignation, as the case may be, and (

b) k die member has been disbarred or the membership of die member has been suspended, the posting of notice in the office or other place or places of business of the member relating to the disbarment or suspension. Reinstatement 83(1) If a pcrsou is disbarred, (

a) tiiat person shall not be reinstated as a member pursuant to the rales except by an order of the Benchers, and (

b) no order for that person's reinstatement as a member shall be made within one year after (

i) the date on which the person was disbarred, (ii) if the operation of an order of a Hearing Committee to disbar the person was stayed under

section 72(7) and the order was confkmed by the Benchers on appeal, die date of the Benchers' confirmation order, or (iu) k die operation of the Benchers' confirmation order referred to in subclause (

U) was stayed under

section 77(8) and the Hearing Committee's order was confirmed by the Court of Appeal, die date on which the Court of Appeal made its confirmation order. 61

(2) A Bencher who is a member of a committee of inquky appointed pursuant to the rales to consider an application for reinstatement to which subsection (1) appUes may participate in or vote at any proceedmgs of the Benchers pertaining to die application.

PART 4 PROTECTION OF PERSONS DEALiNG WITH MEMBERS Division 1 The Assurance Fund Finance Committee 84(1) There is hereby established a committee called the "Finance Committee".

(2) The members of the Finance Committee shall be appointed by the Benchers and shaU consist of (

a) Benchers only, or (

b) a majority of Benchers and a minority of members of die Society who are not Benchers.

(3) Notwithstanding subsection (2), at least one member of the Finance Committee shaU be a lay Bencher. Proceedings 85(1) Subject to subsection (2), sections 65 to 67 apply to proceedings under this Part before the Finance Committee, an appeal panel of Benchers or the Benchers.

(2) Without restricting the generality of subsection (1), in applying sections 65 to 67 to proceedings under this Part, (

a) references in those sections to a Hearing Committee shall be constraed as references to the Finance Committee, the appeal panel of Benchers or the Benchers, whichever body is conducting the proceedings under diis Part, (

b) references in those sections to a witness include the member whose conduct gave rise to a claim against die Assurance Fund, and (

c) references in those sections to the member whose conduct is die subject of proceedings under

Part 3 shall be constined as references to the member whose conduct gave rise to a claim against the Assurance Fund. 62

Assurance Fund 86(1) The Society shall hold and maintain a fund called die "Assurance Fund".

(2) If a member misappropriates or wrongfully converts money or other property entrusted to or received by a member in the member's capacity as a barrister and solicitor and in the course of the member's practice as a barrister and solicitor in Alberta, a person entitied to die money or odier property may submit a claim to the Society for compensation from the Assurance Fund in respect of (

a) die money, or (

b) in the case of property other than money, the value of the property.

(3) The Finance Committee, an appeal panel of Benchers or the Benchers, whichever hears a claim under tiiis section, may (

a) approve, with or without conditions, the payment from the Assurance Fund of aU or any part of the amount of compensation that may be claimed under subsection (2), or (

b) refuse to approve the payment of compensation where it considers a refusal to be appropriate in the ckcumstances.

(4) The Benchers may make rules (

a) respecting die administration of the Assurance Fund; (

b) providing for the levying on die active members of an annual assessment of an amount fixed by the Benchers from time to time for die purpose of maintaining and augmenting the Assurance Fund; (

c) providing for the levying on the active members of special assessments of such amounts as may be fixed by the Benchers from time to time for the purpose of maintaining and augmenting the Assurance Fund; (

d) respecting the expenditures of the Society that are chargeable to the Assurance Fund; (

e) providing for the exemption of categories of active members from the payment of annual assessments referred to in clause (

b) and special assessments referred to in clause (

c) and the conditions on which the exemptions may be given; (

f) respecting claims under diis section; 63

(

g) respecting the imposition of conditions to be met before any amount of compensation is paid from the Assurance Fund pursuant to subsection (3); (

h) respecting the powers and duties of the Finance Committee, of an appeal panel of Benchers and of die Benchers in relation to the adjudication of aU or any class of claims against tiie Assurance Fund; (

i) respecting appeals from die Finance Committee to a panel of Benchers appointed in accordance with the rales in respect of aU or any class of claims adjudicated by the Finance Committee, and respecting the powers and duties of an appeal panel so appointed; (

j) respecting the exercise of the powers of the Finance Committee, an appeal panel of Benchers or the Benchers under subsection (3); (

k) respecting proceedings under this Part of the Finance Committee, an appeal panel of Benchers or the Benchers.

(5) The Society may, in a manner and on terms and conditions the Benchers consider advisable, enter into contracts with insurers or other persons whereby the Assurance Fund may be protected in whole or in part against any claim or loss to the Fund.

(6) The Society has, and is deemed to have had at aU times, an insurable interest in the Assurance Fund and in the protection of k against loss notwithstanding that any loss is the result of the exercise of any powers of the Finance Committee, an appeal panel of Benchers or die Benchers under subsection (3).

(7) The Assurance Fund shaU be kept separate and apart from any other funds of die Society, and (

a) shall be invested as the Benchers may from time to time determine, (

b) shall be administered by die Benchers in a manner diey consid

Document details

Collection	Alberta — Bills
Citation	L22 S2 2721
Type	bill
Volume / chapter	L22 S2 2721
Language	en
Format	json
Source	PROVINCIAL
Identifier	018ff2ae8335957912ae623f326f338107ea4adf

Source file is stored in the law ingest library (json).