Chapter 7 — Relationship to the Law Society and Other Lawyers
SECTION 7.1 RESPONSIBILITY TO THE PROFESSION, THE LAW SOCIETY AND OTHERS
Communications from the Law Society in which a response is requested.
7.1-1 A lawyer shall reply promptly and completely to any communication from the Law Society in which a response is requested.
[Amended - October 2014]
Meeting Financial Obligations
7.1-2 A lawyer shall promptly meet financial obligations incurred in the course of practice on behalf of clients unless, before incurring such an obligation, the lawyer clearly indicates in writing to the person to whom it is to be owed that it is not to be a personal obligation.
[Amended - January 2009]
Duty to Report
7.1-3 Unless to do so would be unlawful or would involve a breach of solicitor-client privilege, a lawyer shall report to the Law Society,
(a) the misappropriation or misapplication of trust monies;
(b) the abandonment of a law or legal services practice;
(c) participation in serious criminal activity related to a licensee's practice;
(d) conduct that raises a substantial question as to another licensee's honesty, trustworthiness, or competency as a licensee;
(e) conduct that raises a substantial question about the licensee's capacity to provide professional services; and
(f) any situation where a licensee's clients are likely to be severely prejudiced.
[Amended - June 2007, October 2014, May 2016]
[Amended - January 2013, May 2016]
Encouraging Client to Report Dishonest Conduct
7.1-4 In addition to other advice appropriate in the circumstances, a lawyer shall encourage a client who has a claim or complaint against an apparently dishonest licensee to report the facts to the Law Society as soon as reasonably practicable.
[Amended - October 2014]
7.1-4.1 If the client refuses to report their claim against an apparently dishonest licensee to the Law Society, the lawyer shall inform the client of the policy of the Compensation Fund and shall obtain instructions in writing to proceed with the client's claim without notice to the Law
7.1-4.2 A lawyer shall inform a client of the provision of the Criminal Code dealing with the concealment of an indictable offence in return for an agreement to obtain valuable consideration (section 141).
7.1-4.3 If the client wishes to pursue a private agreement with the apparently dishonest lawyer, the lawyer shall not continue to act if the agreement constitutes a breach of section 141 of the Criminal Code.
Duty to Report Certain Offences
7.1-4.4 If a lawyer is charged with an offence described in By-Law 8 of the Law Society, he or she shall inform the Law Society of the charge and of its disposition in accordance with the by- law.
[Amended - June 2007]
[Amended - June 2007]
SECTION 7.2 RESPONSIBILITY TO LAWYERS AND OTHERS
Courtesy and Good Faith
7.2-1 A lawyer shall be courteous, civil, and act in good faith with all persons with whom the lawyer has dealings in the course of their practice.
[Amended - June 2009]
7.2-1.1 A lawyer shall agree to reasonable requests concerning trial dates, adjournments, the waiver of procedural formalities, and similar matters that do not prejudice the rights of the client.
7.2-2 A lawyer shall avoid sharp practice and shall not take advantage of or act without fair warning upon slips, irregularities, or mistakes on the part of other legal practitioners not going to the merits or involving the sacrifice of a client's rights.
7.2-3 A lawyer shall not use any device to record a conversation between the lawyer and a client or another legal practitioner, even if lawful, without first informing the other person of the intention to do so.
[Amended - June 2009, October 2014]
Communications
7.2-4 A lawyer shall not in the course of professional practice send correspondence or otherwise communicate to a client, another legal practitioner, or any other person in a manner that is abusive, offensive, or otherwise inconsistent with the proper tone of a professional communication from a lawyer.
7.2-5 A lawyer shall answer with reasonable promptness all professional letters and communications from other legal practitioners that require an answer, and a lawyer shall be punctual in fulfilling all commitments.
Communications with a Represented Person
7.2-6 Subject to rules 7.2-6A and 7.2-7, if a person is represented by a legal practitioner in respect of a matter, a lawyer shall not, except through or with the consent of the legal practitioner
[Amended - September 2011]
(a) approach or communicate or deal with the person on the matter; or
(b) attempt to negotiate or compromise the matter directly with the person.
[Amended - June 2009]
7.2-6A Subject to rule 7.2-7, if a person is receiving legal services from a legal practitioner under a limited scope retainer on a particular matter, a lawyer may, without the consent of the legal practitioner, approach, communicate or deal directly with the person on the matter, unless the lawyer receives written notice of the limited nature of the legal services being provided by the legal practitioner and the approach, communication or dealing falls within the scope of the limited scope retainer.
[New - September 2011]
Second Opinions
7.2-7 A lawyer who is not otherwise interested in a matter may give a second opinion to a person who is represented by a legal practitioner with respect to that matter.
[Amended - June 2009]
[Amended - June 2009]
Communications with a Represented Corporation or Organization
7.2-8 A lawyer retained to act on a matter involving a corporation or organization that is represented by a legal practitioner shall not, without the legal practitioner's consent or unless otherwise authorized or required by law, communicate, facilitate communication or deal with a person
(a) who is a director or officer, or another person who is authorized to act on behalf of the corporation or organization;
(b) who is likely involved in decision-making for the corporation or organization or who provides advice in relation to the particular matter;
(c) whose act or omission may be binding on or imputed to the corporation or organization for the purposes of its liability; or
(d) who supervises, directs or regularly consults with the legal practitioner and who makes decisions based on the legal practitioner's advice.
7.2-8.1 If a person described in rule 7.2-8(a), (b), (c) or (d) is represented in the matter by a legal practitioner, the consent of the legal practitioner is sufficient to allow a lawyer to communicate, facilitate communication or deal with the person.
7.2-8.2 In rule 7.2-8, "organization" includes a partnership, limited partnership, association, union, fund, trust, co-operative, unincorporated association, sole proprietorship and a government department, agency, or regulatory body.
[Amended - November 2010]
Unrepresented Persons
7.2-9 When a lawyer deals on a client's behalf with an unrepresented person, the lawyer shall:
(a) [FLSC - not in use]
(b) take care to see that the unrepresented person is not proceeding under the impression that their interests will be protected by the lawyer; and
(c) take care to see that the unrepresented person understands that the lawyer is acting exclusively in the interests of the client and accordingly their comments may be partisan.
[Amended - October 2014]
[New - October 2014]
Inadvertent Communications
7.2-10 A lawyer who receives a document relating to the representation of the lawyer's client and knows or reasonably ought to know that the document was inadvertently sent shall promptly notify the sender.
[New - October 2014]
Undertakings and Trust Conditions
7.2-11 A lawyer shall not give an undertaking that cannot be fulfilled and shall fulfill every undertaking given and honour every trust condition once accepted.
[Amended - October 2014]
[Amended - November 2007, October 2014]
SECTION 7.3 OUTSIDE INTERESTS AND THE PRACTICE OF LAW
Maintaining Professional Integrity and Judgment
7.3-1 A lawyer who engages in another profession, business, or occupation concurrently with the practice of law shall not allow such outside interest to jeopardize the lawyer's professional integrity, independence, or competence.
[New - October 2014]
7.3-2 A lawyer shall not allow involvement in an outside interest to impair the exercise of the lawyer's independent judgment on behalf of a client.
SECTION 7.4 THE LAWYER IN PUBLIC OFFICE
Standard of Conduct
7.4-1 A lawyer who holds public office shall, in the discharge of official duties, adhere to standards of conduct as high as those that these rules require of a lawyer engaged in the practice of law.
[Amended - October 2014]
SECTION 7.5 PUBLIC APPEARANCES AND PUBLIC STATEMENTS
Communication with the Public
7.5-1 Provided that there is no infringement of the lawyer's obligations to the client, the profession, the courts, or the administration of justice, a lawyer may communicate information to the media and may make public appearances and statements.
Interference with Right to Fair Trial or Hearing
7.5-2 A lawyer shall not communicate information to the media or make public statements about a matter before a tribunal if the lawyer knows or ought to know that the information or statement will have a substantial likelihood of materially prejudicing a party's right to a fair trial or hearing.
SECTION 7.6 PREVENTING UNAUTHORIZED PRACTICE
Preventing Unauthorized Practice
7.6-1 A lawyer shall assist in preventing the unauthorized practice of law and the unauthorized provision of legal services.
[Amended - June 2007]
Working With or Employing Unauthorized Persons
7.6-1.1 Without the express approval of a panel of the Hearing Division of the Law Society Tribunal, a lawyer shall not retain, occupy office space with, use the services of, partner or associate with, or employ in any capacity having to do with the practice of law or provision of legal services any person who, in Ontario or elsewhere, has been disbarred and struck off the Rolls, has had their licence to practise law or to provide legal services revoked, has been suspended, has had their licence to practise law or to provide legal services suspended, has undertaken not to practise law or to provide legal services, or who has been involved in disciplinary action and been permitted to resign or to surrender their licence to practise law or to provide legal services, and has not had their licence restored.
Practice by Suspended Lawyers Prohibited
7.6-1.2 A lawyer whose licence to practise law is suspended shall comply with the requirements of the by-laws and shall not
(a) practise law;
(b) represent or hold himself or herself out as a person entitled to practise law; or
(c) represent or hold himself or herself out as a person entitled to provide legal services.
[New - January 2008]
[Amended - May 2008]
Undertakings Not to Practise Law
7.6-1.3 A lawyer who gives an undertaking to the Law Society not to practise law shall not
(a) practise law;
(b) represent or hold himself or herself out as a person entitled to practise law; or
(c) represent or hold himself or herself out as a person entitled to provide legal services.
[New - January 2008]
Undertakings to Practise Law Subject to Restrictions
7.6-1.4 A lawyer who gives an undertaking to the Law Society to restrict their practice shall comply with the undertaking.
[New - January 2008]
SECTION 7.7 RETIRED JUDGES RETURNING TO PRACTICE
7.7-1 [FLSC - not in use]
Application to Supreme Court of Canada, Court of Appeal, Federal Court of Appeal and Superior Court Judges
7.7-1.1 Rule 7.7-1.2 applies to a lawyer who was formerly a judge of the Supreme Court of Canada, the Court of Appeal for Ontario, the Federal Court of Appeal, or the Superior Court of Justice and who
(a) has retired, resigned, or been removed from the Bench; and
(b) has returned to practice.
Appearance as Counsel or Advocate
7.7-1.2 A lawyer to whom this Rule applies shall not appear as counsel or advocate in any court, or in chambers, or before any administrative board or tribunal without the express approval of a panel of the Hearing Division of the Law Society Tribunal. This approval may only be granted in exceptional circumstances and may be restricted as the panel sees fit.
Application to other Judges
7.7-1.3 Rule 7.7-1.4, applies to a lawyer who was formerly a judge of the Federal Court, the Tax Court of Canada, the Supreme Court of Ontario, Trial Division, a County or District Court, or the Ontario Court of Justice and who
(b) who has retired, resigned, or been removed from the Bench; and
(c) who has returned to practice.
Appearance as Counsel or Advocate
7.7-1.4 A lawyer to whom this rule applies shall not appear as counsel or advocate
(a) before the court on which he or she served as a judge or before any lower court; or
(b) before any administrative board or tribunal over which the court on which the judge served exercised an appellate or judicial review jurisdiction
for a period of three years from the date of their retirement, resignation, or removal, without the express approval of a panel of the Hearing Division of the Law Society Tribunal, which approval may only be granted in exceptional circumstances and may be restricted as the panel sees fit.
[Amended - January 2016]
SECTION 7.8 ERRORS AND OMISSIONS
Informing Client of Error or Omission
7.8-1 When, in connection with a matter for which a lawyer is responsible, the lawyer discovers an error or omission that is or may be damaging to the client and that cannot be rectified readily, the lawyer shall
(a) promptly inform the client of the error or omission being careful not to prejudice any rights of indemnity that either of them may have under an insurance, client's protection or indemnity plan, or otherwise;
(b) recommend that the client obtain legal advice from an independent lawyer concerning any rights the client may have arising from the error or omission; and
(c) advise the client that in the circumstances, the lawyer may no longer be able to act for the client.
[Amended - October 2014]
Notice of Claim
7.8-2 A lawyer shall give prompt notice of any circumstance that may give rise to a claim to an insurer or other indemnitor so that the client's protection from that source will not be prejudiced.
[Amended - January 2009]
Co-operation
7.8-3 When a claim of professional negligence is made against a lawyer, he or she shall assist and co-operate with the insurer or other indemnitor to the extent necessary to enable the claim to be dealt with promptly.
Responding to Client's Claim
7.8-4 If a lawyer is not indemnified for a client's errors and omissions claim or to the extent that the indemnity may not fully cover the claim, the lawyer shall expeditiously deal with the claim and shall not take unfair advantage that would defeat or impair the client's claim.
7.8-5 In cases where liability is clear and the insurer or other indemnitor is prepared to pay its portion of the claim, a lawyer has a duty to pay the balance.
SECTION 7.8.1 RESPONSIBILITY IN MULTI-DISCIPLINE PRACTICES
Compliance with these Rules
7.8.1-1 A lawyer in a multi-discipline practice shall ensure that non-licensee partners and associates comply with these rules and all ethical principles that govern a lawyer in the discharge of their professional obligations.
[Amended - June 2009]
SECTION 7.8.2 DISCIPLINE
Disciplinary Authority
7.8.2-1 A lawyer is subject to the disciplinary authority of the Law Society regardless of where the lawyer's conduct occurs.
Professional Misconduct
7.8.2-2 The Law Society may discipline a lawyer for professional misconduct.
Conduct Unbecoming a Lawyer
7.8.2-3 The Law Society may discipline a lawyer for conduct unbecoming a lawyer.