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BARRISTER & SOLICITOR – PROFESSIONAL RESPONSIBILITY (2019 INDEX SORTED BY PAGE NUMBER)

Index – Barrister & Solicitor – Professional Responsibility

2020 SECTION TABLE OF CONTENTS

Ch. Topic Pages

Professional Responsibility
1 Regulating the legal professions 1–4
2 Professionalism 5 – 14
3 Who is the client 15 – 20
4 Competence 21 – 24
5 Confidentiality 25 – 30
6 Conflicts of interest 31 – 42
7 Duty to the client 43 – 50
8 Fees and disbursements 51 – 58
9 Managing the client relationship 59 – 64
10 Withdrawal from representation 65 – 70
11 Duty to others 71 – 80
12 Advocacy 81 – 88
13 Practice management 89 – 106
14 Accounting, bank accounts, and bookkeeping 107 – 128
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A Journal, General Disbursements Journal,

and Fees Book
Aboriginal language or French speaking
clients - official language rights - lawyer’s Account - general receipts journal (6
duties to advise (r. 3.2-2A - 3.2-2B and 46(R) - years) - record keeping requirements
commentary) 47(L) 2.11
Sample - Figure 1 - General Receipts 116(L) 6.2.1
Aboriginal language or French speaking
Journal, General Disbursements Journal,
clients - official language rights - lawyer’s
and Fees Book 122 7
duty to know law (r. 3.2-2A - 3.2-2B and 46(R) -
commentary) 47(L) 2.11 Account - individuals authorized to
withdraw from trust 112(L) 4.3.3
Abuse of tribunal process - duty (r. 3.2-5 82(R) -
and commentary, and 5.1-2(a) and(n)) 83(L) 3.1 Account - monthly trust comparison (10
years) - record keeping requirements 118(R) 6.3.5
113(R) -
Accepting cash from clients - restrictions 114(L) 5.1
Sample - Figure 5 - Monthly Trust
Accepting cash from clients - restrictions - 113(R) - Comparison 126 7
exceptions 114(L) 5.1
Account - no handling of client funds by
Access to justice - civil society 23(R) - bankrupt lawyer (By-Law 9, Part II) 109(LR) 4
organizations 24(L) 1.8
Account - other record keeping
Access to justice - legal services - civil requirements -source documents - general
society organizations - competence 23(R) - and trust accounts (10 years) 119(LR) 6.4.1
requirements 24(L) 1.8
Account - receiving money from clients 113(L) 5
Access to personal information - privacy 104(R) 10.2.4
Account - receiving money from clients - 114(R) -
Accommodation examples - client services clearance periods 115(L) 5.3
- inclusion 12(L) 8.1
Account - record keeping requirements -
Account - bank accounts - law practice - current, permanent, available in paper
general vs. trust accounts 108(L) 2 copy 115(LR) 6 - 6.1
Account - Client Funds 109(LR) 4 Account - record keeping requirements -
Account - clients’ general ledger (optional) duplicate cash receipts book (6 years) 119(R) - 6.4.2
- record keeping requirements 120(L)
116(R) 6.2.4 Sample - Figure 6 - Duplicate Cash
Sample - Figure 2 - Clients’ General Receipt 127 7
Ledger 123 7 Account - record keeping requirements - 115(R) - 6.2 -
Account - clients’ trust ledger (10 years) - general account 116(R) 6.2.5
record keeping requirements 117(R) 6.3.3 Account - record keeping requirements -
referral fee records (6 years) 120(LR) 6.4.3
Sample - Figure 4 - Clients’ Trust Ledger 125 7 Account - record keeping requirements -
Account - credit and debit payments from valuable property record (10 years) 120(R) 6.4.4
clients 114(LR) 5.2
Sample - Figure 7 - Valuable Property
Account - fees book - HST 109(L) 3.3 Record 127 7
Account - fees book (6 years) - record
keeping requirements Account - trust account 109(LR) 4
109(L) -
Sample - Figure 1 - General Receipts 116(L) 6.2.3 Account - trust account - By-Law 9 113(L) 4 - 4.4
Journal, General Disbursements Journal, Account - trust account - deposits (trust 110(R) -
and Fees Book 122 7 receipts) 111(L) 4.2
Account - general account 108(LR) 3 Account - trust account - financial
108(L) - institutions 110(R) 4.1.2
Account - general account - By-Law 9 109(L) 3 - 3.2 Account - trust account - opening, fees 109(R) 4.1
Account - general account - deposits - Account - trust account - sharing with
steady cashflow 108(R) 3.1 another lawyer or paralegal 110(R) 4.1.3
Account - general account - withdrawal -
Account - trust account - types 110(L) 4.1.1
HST 109(L) 3.3
Account - trust account - unclaimed trust
Account - general account - withdrawal 108(R) -
funds 113(L) 4.4
(general disbursements) 109(L) 3.2
111(L) - 4.3 -
Account - general disbursements journal 116(L) 6.2.2
Account - trust account - withdrawal 112(R) 4.3.4
(6 years) - record keeping requirements
122 7 Account - trust disbursements journal (10 117(L) 6.3.2
Sample - Figure 1 - General Receipts years) - record keeping requirements
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and Fees Book

Sample - Figure 3 - Trust Receipts
Accounting - helpful practices 117(R) 6.3.3
Journal, Trust Disbursements Journal, and
Trust Transfer Record 128 7 Accounting - in law practice 107(LR) 1
Account - trust receipts journal (10 years) - Accounting - individuals authorized to
record keeping requirements withdraw from trust 112(L) 4.3.3
Accounting - methods for depositing to
Sample - Figure 3 - Trust Receipts 117(L) 6.3.1 trust 111(L) 4.2.1
Journal, Trust Disbursements Journal, and
Trust Transfer Record 124 7 Accounting - monthly trust comparison (10
years) - record keeping requirements 118(R) 6.3.5
Account - trust transfer journal (6 years) -
record keeping requirements Sample - Figure 5 - Monthly Trust
Comparison 126 7
Sample - Figure 3 - Trust Receipts 117(R) 6.3.4
Journal, Trust Disbursements Journal, and Accounting - other record keeping
Trust Transfer Record 124 7 requirements - source documents -
general and trust accounts (10 years) 119(LR) 6.4.1
Account tracks among received, paid from,
or no behalf of client - trust 117(R) 6.3.3 Accounting - Proper - lawyer obligations to
report CRA, HST, liability insurance, Law
Accounting - advantages and Society 115(L) 6
disadvantages of various systems 107(LR) Chart
Accounting - reasons for withdrawal from
Accounting - cash - receiving from clients - 113(R) - trust - five reasons 111(R) 4.3.1
restrictions 114(L) 5.1
Accounting - receiving money from clients 113(L) 5
Accounting - client's general ledger 115(R) 6.2
Accounting - receiving money from clients 114(R) -
Accounting - clients’ general ledger - clearance periods 115(L) 5.3
(optional) - record keeping requirements 6.2.4
116(R) Accounting - receiving money from clients
Sample - Figure 2 - Clients’ General - credit and debit card payments 114(LR) 5.2
Ledger 123 7 Accounting - record keeping requirements
Accounting - clients’ trust ledger (10 years) - current, permanent, available in paper
- record keeping requirements 117(R) 6.3.3 copy 115(LR) 6 - 6.1
Accounting - record keeping requirements
Sample - Figure 4 - Clients’ Trust Ledger 125 7 - duplicate cash receipts book (6 years) 119(R) - 6.4.2
Accounting - Depositing to the trust 110(R) - 120(L)
account (trust receipts) 111(L) 4.2 Sample - Figure 6 - Duplicate Cash
Receipt 127 7
Accounting - disbursements journal 115(R) 6.2
Accounting - record keeping requirements 115(R) - 6.2 -
Accounting - documents - duplicate cash - general account 116(R) 6.2.5
receipts book 120(L) 6.4.2
Accounting - record keeping requirements
Accounting - fees book (6 years) - record - referral fee records (6 years) 120(LR) 6.4.3
keeping requirements
Accounting - record keeping requirements 116(R) - 6.3 -
Sample - Figure 1 - General Receipts 116(L) 6.2.3 - trust account 119(L) 6.3.5
Journal, General Disbursements Journal, Accounting - record keeping requirements
and Fees Book 122 7 - valuable property record (10 years) 120(R) 6.4.4
Accounting - fees or billings book 115(R) 6.2
Sample - Figure 7 - Valuable Property
Accounting - general account - receipts Record 127 7
journal 115(R) 6.2
113(R) -
Accounting - general cash journal 115(R) 6.2 Accounting - restrictions on accepting cash 114(L) 5.1
Accounting - general disbursements Accounting - restrictions on accepting cash 113(R) -
journal (6 years) - record keeping - exceptions 114(L) 5.1
requirements Accounting - trust account - financial
institutions 110(R) 4.1.2
Sample - Figure 1 - General Receipts 116(L) 6.2.2
Journal, General Disbursements Journal, Accounting - trust account - trust receipts
and Fees Book 122 7 journal, trust disbursement journal, clients’
trust ledger, trust transfer record, and 116(R) - 6.3 -
Accounting - general receipts journal (6 116(L) 6.2.1 monthly trust comparisons 119(L) 6.3.5
years) - record keeping requirements
122 7 Accounting - trust account - unclaimed
Sample - Figure 1 - General Receipts trust funds 113(L) 4.4
Journal, General Disbursements Journal, Accounting - trust account - withdrawal 111(L) - 4.3 -
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112(R) 4.3.4 Accused - judicial interim release - lawyer

Accounting - trust account - withdrawing assisting with release from custody - 41(R) -
from trust (trust disbursements) 111(R) 4.3 conflict of interest (r. 3.4-40 - 3.4-41) 42(L) 12.5
Accounting - trust disbursements journal Accused - judicial interim release - lawyer
(10 years) - record keeping requirements assisting with release from custody -
lawyer supervising accused - conflict of
Sample - Figure 3 - Trust Receipts 117(L) 6.3.2 interest - exception for family (r. 3.4-40 - 41(R) -
Journal, Trust Disbursements Journal, and 3.4-41) 42(L) 12.5
Trust Transfer Record 128 7 Accused - judicial interim release - lawyer
Accounting - trust receipts journal (10 assisting with release from custody -
years) - record keeping requirements lawyer supervising accused - conflict of
interest - reason for prohibition (r. 3.4-40 - 41(R) -
Sample - Figure 3 - Trust Receipts 117(L) 6.3.1 3.4-41) 42(L) 12.5
Journal, Trust Disbursements Journal, and Accused - judicial interim release - lawyer
Trust Transfer Record 124 7 assisting with release from custody -
Accounting - trust transfer journal (6 years) lawyer supervising accused - conflict of 41(R) -
- record keeping requirements interest (r. 3.4-40 - 3.4-41) 42(L) 12.5
Accused - lawyer assisting with release
Sample - Figure 3 - Trust Receipts 117(R) 6.3.4 from custody - conflict of interest (r. 3.4-40 41(R) -
Journal, Trust Disbursements Journal, and - 3.4-41) 42(L) 12.5
Trust Transfer Record 124 7 Accused - lawyer assisting with release
Accounting - trust transfer record (6 years) from custody - lawyer supervising accused
- record keeping requirements - conflict of interest - exception for family 41(R) -
(r. 3.4-40 - 3.4-41) 42(L) 12.5
Sample - Figure 3 - Trust Receipts 117(R) 6.3.4 Accused - lawyer assisting with release
Journal, Trust Disbursements Journal, and from custody - lawyer supervising accused
Trust Transfer Record 124 7 - conflict of interest - reason for prohibition 41(R) -
Accounting - trust transfer record (6 years) (r. 3.4-40 - 3.4-41) 42(L) 12.5
- trust account Accused - lawyer assisting with release
from custody - lawyer supervising accused 41(R) -
Sample - Figure 3 - Trust Receipts 117(R) 6.3.4 - conflict of interest (r. 3.4-40 - 3.4-41) 42(L) 12.5
Journal, Trust Disbursements Journal, and
Trust Transfer Record 124 7 Acting against former client - (r. 3.4-10-11
and commentary) 33(R) -
107(R) - SEE: Conflict of Interest 34(L) 6 - 6.2
Accounting - types of systems 108(L) 1.1
Acting against former client - new matter
Accounting - when to deposit to trust 111(L) 4.2.2 (r. 3.4-10-11) 34(L) 6.2
Accounting - withdrawal from trust in error, Acting against former client - prohibition for
corrections 112(R) 4.3.4 same or related matters, unless client 33(R) -
Accounting records - clients' trust ledger 117(R) 6.3.3 consents (r. 3.4-10-11) 34(L) 6 - 6.2
Accounting records - must be maintained 94(R) - Acting as mediator - duties (s. 5.7 and
by lawyer - By-Law 9 95(L) 3.4 commentary) 77(R) 5.4
Acting for borrower and lender - consent
Accounts - methods for depositing to trust 111(L) 4.2.1
requirements (r. 3.4-12 - 3.4-16 and 35(R) -
Accounts - trusts - when to deposit 111(L) 4.2.2 commentaries) 36(L) 8.2
Accused - bail - lawyer assisting with Acting for borrower and lender - disclosure
release from custody - conflict of interest 41(R) - of material information (r. 3.4-12 - 3.4-16
(r. 3.4-40 - 3.4-41) 42(L) 12.5 and commentaries) 36(L) 8.2
Accused - bail - lawyer assisting with Acting for borrower and lender - joint
release from custody - lawyer supervising retainers - conflict of interest (r. 3.4-12 - 35(R) -
accused - conflict of interest - exception for 41(R) - 3.4-16 and commentaries) 36(L) 8.2
family (r. 3.4-40 - 3.4-41) 42(L) 12.5 Acting for both borrower and lender (joint
Accused - bail - lawyer assisting with retainer) - exceptions to general prohibition
release from custody - lawyer supervising (r. 3.4-12 - 3.4-16 and commentaries) 35(R) 8.2
accused - conflict of interest - reason for 41(R) - Acting for both borrower and lender (joint
prohibition (r. 3.4-40 - 3.4-41) 42(L) 12.5 retainer) - when permitted (r. 3.4-12 - 3.4-
Accused - bail - lawyer assisting with 16 and commentaries) 35(R) 8.2
release from custody - lawyer supervising Acting for both borrower and lender (joint 35(R) - 8.2
accused - conflict of interest (r. 3.4-40 - 41(R) - retainer) - where lender in business of 36(L)
3.4-41) 42(L) 12.5 lending money (r. 3.4-12 - 3.4-16 and
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commentaries) ADR - duty to client - duty to pursue ADR if

Acting for both title transferor (seller) & directed (r. 3.2-4 and commentary) 44(L) 2.2
transferee (buyer) - conflict of interest - ADR - duty to client -encourage and inform
joint retainer - divergence of interests (r. of ADR options (r. 3.2-4 and commentary) 44(L) 2.2
3.4-16.7 - 3.4-16.9) 36(R) 8.3 ADR & Settlement - duty to client - duty to
Acting for both title transferor (seller) & encourage settlement, present offers of
transferee (buyer) - conflict of interest - settlement, and consider ADR (r. 3.2-4 and
joint retainer (r. 3.4-16.7 - 3.4-16.9) 36(LR) 8.3 commentary)
Acting for clients in transactions with SEE: “Duty - settlement/alternative dispute
clients - conflict of interest - duties and resolution (ADR) - duty to encourage” 44(L) 2.2
preconditions (r. 3.4-29, commentary [2]) ADR & Settlement - duty to encourage
SEE: “Transactions with a client” 40(L) 11.5 settlement, present offers of settlement,
Acting for clients in transactions with and consider ADR (r. 3.2-4 and
clients - conflict of interest (r. 3.4-29, commentary)
commentary [2]) 40(L) 11.5 SEE: “Duty - settlement/alternative dispute
resolution (ADR) - duty to encourage” 44(L) 2.2
Acting for spouses/partners in preparation
of joint/spousal wills (r. 3.4-5) 35(LR) 8.1 Advancement of the legal profession - r
2.1-2 and commentary 6(L) 4
Acting in new matter - against former client
(r. 3.4-10-11) 34(L) 6.2 Adverse-impact discrimination - duties of
lawyer 6(R) 5.1
Acting in the same or a related matter -
against former client - prohibited, unless Advertised price - residential real estate
client consents (r. 3.4-10-11) 34(L) 6.1 transactions (r. 4.2-2.1 and commentary) 91(LR) 2.3
93(L) - Advertising - certified specialist (r. 4.3-1
Active client files - naming 94(L) 3.2 and commentary; By-Law 15) 91(R) 2.4
Active client files - opening and 93(L) - Advertising - fees (r. 4.2-2) 91(L) 2.2
maintaining 94(L) 3.2 Advertising - legal services - second
93(L) - opinion (r. 4.2-1, 4.2-1.2 and
Active client files - organization 94(L) 3.2 commentaries) 90(LR) 2.1.1
93(L) - Advertising - legal services (r. 4.2-0-4.2- 89(R) -
Active client files - storage 94(L) 3.2 1.1 and commentaries) 90(L) 2.1
Activities - unrelated to law - duty (r. 7.3-1 Advertising - residential real estate
- 7.3-2 and commentary) 77(L) 4.1 services (r. 4.2-2.1 and commentary) 91(LR) 2.3
Actual knowledge of conflict of interest - 96(R) -
confidentiality - law firm disqualification - Advertising - technology 97(L) 5 - 5.1
transfer of lawyer 37(R) 10.1 Advertising nature of practice (r. 4.3-1 and
Additional record keeping requirements - commentary; By-Law 15) 91(R) 2.4
source documents - general and trust Advertising practices - contraventions 90(LR) 2.1.1
accounts (10 years) 119(LR) 6.4.1
Advertising prohibitions (r. 4.2-1, 4.2-1.2
Administration of justice - duty to 77(R) - and commentaries) 90(LR) 2.1.1
SEE: Duty - Administration of Justice 78(L) 5
Advertising requirements - price -
Administration of justice - encouraging residential real estate services (r. 4.2-2.1
respect for (r. 5.6-1 and 7.2-1 and and commentary) 91(LR) 2.3
commentaries) 77(L) 5.1
Advertising residential real estate services
Administrative and business aspects of 101(R) - (r. 4.2-2.1 and commentary) 91(LR) 2.3
practice - practice management 102(L) 8
Advising client - duty to client - list of
Administrative change - seeking - duty (r. duties 43(R) 2
5.6-1 - 5.6-2 and commentary) 77(L) 5.2
Advising client - lawyer - duties when
Administrative office - lawyer’s duty to advising client 43(R) 2
uphold integrity of profession (r. 7.4-1) 77(LR) 4.2
Advocacy - agreement on guilty pleas
Administrative Suspensions - automatic, (r. 5.1-7 - 5.1-8) 87(LR) 8
and automatically lifted 4(LR) 2.5
Advocacy - balance duty of loyalty +
3(R) - confidentiality to client and duties owed to
Administrative Suspensions - definition 4(L) 2.5 administration of justice 84(LR) 3.7
Administrative suspensions - reasons for Advocacy - communication with jurors (r.
suspension 4(LR) 2.5 5.5-1, 5.5-4, and commentaries) 86(R) 5.1
Admissions - defence counsel - duties Advocacy - communication with witness
(commentary r. 5.1-1) 82(LR) 2.1 giving evidence (r. 5.4-2) 85(LR) 4.3
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Advocacy - defence counsel - duties incriminating physical evidence

(commentary r. 5.1-1) 82(LR) 2.1 Advocacy - own witness-examination in
Advocacy - developing theory of the case - chief (r. 5.4-2(a)) 85(R) 4.3.1
7 steps 81(LR) 1.1
Advocacy - plea bargain (r. 5.1-7 - 5.1-8) 87(LR) 8
Advocacy - disclose jurors’ interest in case
or improper conduct (r. 5.5-2 - 5.5-3) 86(R) 5.2 Advocacy - preparing witnesses (r. 5.3-1) 85(L) 4.1
Advocacy - disclosure - discovery Advocacy - prosecutor - duties (r. 5.1-3
obligations and commentary) 82(R) 2.2
(r. 5.1-3.1) 87(L) 7 Advocacy - stage of witness’s testimony 85(R) 4.3.1
Advocacy - discovery - lawyer’s duties (r. Advocacy - sympathetic and 85(R) -
5.1-3.1) 87(L) 7 unsympathetic witnesses 86(L) 4.3.2
Advocacy - duty not to abuse tribunal (r. Advocacy - theory of the case - essential
3.2-5 and commentary, and 5.1-2(a) 82(R) - facts + legal position 81(L) 1
and(n)) 83(L) 3.1
Advocacy - tribunal processes - duties 82(R) 3
Advocacy - duty not to appear under 83(R) -
influence of alcohol, drugs (r. 5.1-2(p)) 84(L) 3.6 86(R) -
Affidavit - lawyer as witness (s. 5.2) 87(L) 6
Advocacy - duty not to counsel or
participate in the concealment, destruction, Affiliation - conflict of interest - consent
or alteration of incriminating physical required (r. 3.1-2, 3.4-11.1 - 3.4-11.3 and 40(R) -
evidence (r. 5.1-2A and commentary) 84(LR) 3.7 commentary and r. 3.4-16.1.1) 41(L) 12.2
Advocacy - duty not to engage in Affiliation - conflict of interest - consent
dishonest conduct before tribunal (r. 5.1-1 required (r. 3.4-11.1 - 3.4-11.3 and 40(R) -
and commentary, and r. 5.1-2(b), (e), (f), commentary and r. 3.4-16.1 - 3.4-16.1.1) 41(L) 12.2
(g), (j) and (k)) 83(R) 3.4 Affiliation - conflict of interest - disclosure
Advocacy - duty not to influence tribunal (r. obligations pre-retainer (r. 3.1-2, 3.4-11.1 -
5.1-2(c) and (d)) 83(LR) 3.3 3.4-11.3 and commentary and r. 3.4- 40(R) -
16.1.1) 41(L) 12.2
Advocacy - duty not to influence, mistreat
witnesses (r. 5.1-2(j), (m), (o), 5.3-1, 7.2-6, Affiliation - conflict of interest - disclosure
and 7.2-8 - 7.2-8.2 and commentary) 83(R) 3.5 obligations pre-retainer (r. 3.4-11.1 - 3.4-
11.3 and commentary and r. 3.4-16.1 - 40(R) -
Advocacy - duty not to mislead tribunal (r. 3.4-16.1.1) 41(L) 12.2
5.1-2(e), (h), (i), and (l)) 83(L) 3.2
Affiliation - conflict of interest - rules apply
Advocacy - duty re: examinations for to non-lawyer partners and associates (r.
discovery (r. 5.1-3.1) 87(L) 7 3.1-2, 3.4-11.1 - 3.4-11.3 and commentary 40(R) -
Advocacy - duty to tribunal process 82(R) 3 and r. 3.4-16.1.1) 41(L) 12.2
84(R) - 4- Affiliation - conflict of interest - rules apply
Advocacy - duty to witnesses 86(L) 4.3.3 to non-lawyer partners and associates (r.
3.4-11.1 - 3.4-11.3 and commentary and r. 40(R) -
Advocacy - examinations for discovery -
3.4-16.1 - 3.4-16.1.1) 41(L) 12.2
lawyer’s duties (r. 5.1-3.1) 87(L) 7
Affiliation - conflict of interest (r. 3.1-2, 3.4-
Advocacy - interviewing represented
11.1 - 3.4-11.3 and commentary and r. 40(R) -
persons 85(L) 4.2
3.4-16.1.1) 41(L) 12.2
Advocacy - interviewing witnesses (r. 5.3-
Affiliation - conflict of interest (r. 3.4-11.1 -
1) 85(L) 4.1
3.4-11.3 and commentary and r. 3.4-16.1 - 40(R) -
Advocacy - lawyer as advocate - avoid 3.4-16.1.1) 41(L) 12.2
giving personal views (r. 5.1-1 and 5.1-4 -
Affiliation - delegation to and supervision
5.1-6 and commentaries) 82(L) 2
of 101(L) 7.6
Advocacy - lawyer as advocate (r. 5.1-1,
Affiliation - division of fees, referral fees -
and 5.1-4 - 5.1-6 and commentaries) 82(L) 2
cannot share lawyer’s revenue, profits (r.
Advocacy - lawyer as defence counsel - 3.6-5, 3.6-7, 3.6-8 and commentary) 54(R) 3
duty (commentary r. 5.1-1) 82(LR) 2.1
Affiliation - permitted practice arrangement
Advocacy - lawyer as prosecutor - duty (r. (By-Law 7) 89(LR) 1
5.1-3 and commentary) 82(R) 2.2
Agent - lawyer - agent of client 43(LR) 1
86(R) -
Advocacy - lawyer as witness (s. 5.2) 87(L) 6 Agreement on guilty pleas - lawyer’s duty
(r. 5.1-7 - 5.1-8) 87(LR) 8
Advocacy - lawyer dealing with witnesses 84(R) 4
Agreements - contingency fee (r. 3.6-2 and
Advocacy - lawyer’s duties 81(L) Intro commentary) 56(LR) 5
Advocacy - no duty to disclose 84(LR) 3.7 Alcohol or drugs - tribunal processes - 83(R) - 3.6
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shall not (r. 5.1-2(p)) 84(L) conduct by client - reasonable

Alternative Dispute Resolution (ADR) - precautionary measures (r. 3.2-7 - 3.2-8
duty to client - duty to pursue ADR if and commentary) 45(L)
directed (r. 3.2-4 and commentary) 44(L) 2.2 Assisting dishonesty, fraud, crime, illegal
Alternative Dispute Resolution (ADR) - conduct by client - client is organization -
duty to client - inform of ADR options (r. withdrawal (r. 3.2-7 - 3.2-8 and 44(R) -
3.2-4 and commentary) 44(L) 2.2 commentary) 45(L) 2.4
Alternative dispute resolution (ADR) & Assisting dishonesty, fraud, crime, illegal
Settlement - duty to client - duty to conduct by client - client is organization (r. 44(R) -
encourage settlement, present offers of 3.2-7 - 3.2-8 and commentary) 45(L) 2.4
settlement, and consider ADR (r. 3.2-4 and Assisting dishonesty, fraud, crime, illegal
commentary) conduct by client - prohibited (r. 3.2-7 - 44(R) -
SEE: “Duty - settlement/alternative dispute 3.2-8 and commentary) 45(L) 2.4
resolution (ADR) - duty to encourage” 44(L) 2.2 Assisting dishonesty, fraud, crime, illegal
Alternative dispute resolution (ADR) & conduct by client - reasonable
Settlement - duty to client (r. 3.2-4 and precautionary measures (r. 3.2-7 - 3.2-8 44(R) -
commentary) and commentary) 45(L) 2.4
SEE: “Duty - settlement/alternative dispute Assisting dishonesty, fraud, crime, illegal
resolution (ADR) - duty to encourage” 44(L) 2.2 conduct by client (r. 3.2-7 - 3.2-8 and 44(R) -
Amounts received - from clients - trust 117(L) 6.3.1 commentary) 45(L) 2.4
Analysis support software - technology 97(R) 5.2 Assisting fraud, dishonesty, crime, illegal
conduct by client - client is organization -
Annual report-human rights-racism 13(R) 9.1 withdrawal (r. 3.2-7 - 3.2-8 and 44(R) -
Appeal panel - complaints 3(R) 2.4 commentary) 45(L) 2.4
Appeals - lawyer as witness in trial Assisting fraud, dishonesty, crime, illegal
proceeding 86(R) - conduct by client - client is organization (r. 44(R) -
(s. 5.2) 87(L) 6 3.2-7 - 3.2-8 and commentary) 45(L) 2.4
Appearances and statements in public - Assisting fraud, dishonesty, crime, illegal
duty conduct by client - prohibited (r. 3.2-7 - 44(R) -
(s. 7.5) 77(R) 4.3 3.2-8 and commentary) 45(L) 2.4
Appropriation of client funds from trust to Assisting fraud, dishonesty, crime, illegal
pay fees (r. 3.6-10; By-Law 9) 54(LR) 2.8 conduct by client - reasonable
precautionary measures (r. 3.2-7 - 3.2-8 44(R) -
Articling student - supervision of 99(R) 7 and commentary) 45(L) 2.4
Articling student - supervision of (By-Law Assisting illegal conduct, dishonesty,
4, s. 34) 99(R) 7 fraud, crime by client - client is
Articling student - transfer between firms - organization - withdrawal (r. 3.2-7 - 3.2-8 44(R) -
conflict of interest (r. 3.4-17 - 3.4-23 and and commentary) 45(L) 2.4
commentaries) 37(LR) 10 Assisting illegal conduct, dishonesty,
Articling student - transfer into/out of fraud, crime by client - client is
position - conflict of interest (r. 3.4-17 - organization (r. 3.2-7 - 3.2-8 and 44(R) -
3.4-23 and commentaries) 37(LR) 10 commentary) 45(L) 2.4
Assistance - practice management - Assisting illegal conduct, dishonesty,
technology 97(R) 5.2 fraud, crime by client - prohibited (r. 3.2-7 - 44(R) -
3.2-8 and commentary) 45(L) 2.4
Assistance - support staff - hiring 99(R) 7.1
Assisting illegal conduct, dishonesty,
Assistance - support staff - training, fraud, crime by client - reasonable
supervision, delegation 100(L) 7.2 precautionary measures (r. 3.2-7 - 3.2-8 44(R) -
Assisting crime, dishonesty, fraud, illegal and commentary) 45(L) 2.4
conduct by client - client is organization - Authority - disciplinary - law society (r. 1.1-
withdrawal (r. 3.2-7 - 3.2-8 and 44(R) - 1 and 2.1-1 and commentary and s. 7.8.2) 72(LR) 1.5
commentary) 45(L) 2.4
Authorized individuals withdrawls 112(LR) 4.3.3
Assisting crime, dishonesty, fraud, illegal
conduct by client - client is organization (r. 44(R) - Authorized representative - capacity - duty
3.2-7 - 3.2-8 and commentary) 45(L) 2.4 to client - efforts to confirm capacity (r. 3.2-
9 and commentary) 45(L) 2.5
Assisting crime, dishonesty, fraud, illegal
conduct by client - prohibited (r. 3.2-7 - 44(R) - Authorized representative - capacity - duty
3.2-8 and commentary) 45(L) 2.4 to client (r. 3.2-9 and commentary) 45(L) 2.5

Assisting crime, dishonesty, fraud, illegal 44(R) - 2.4 Authorized representative - disabled or 45(L) 2.5
minor client lacking legal capacity - duty to
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BARRISTER & SOLICITOR – PROFESSIONAL RESPONSIBILITY (2019 INDEX SORTED BY PAGE NUMBER)

client (r. 3.2-9 and commentary) safekeeping and recording

Authorized representative - individual Bailment - client property - lawyer’s duties
lacking legal capacity - duty to client (r. - seizure - privilege (s. 3.5 and
3.2-9 and commentary) commentaries; By-Law 9) 47(LR) 3
SEE: “Authorized representative - capacity Bailment - client property - lawyer’s duties
- duty to client” 45(L) 2.5 - seizure (s. 3.5 and commentaries; By-
Authorized representative - minor or Law 9) 47(LR) 3
disabled client lacking legal capacity - duty Bailment - client property - lawyer’s duties
to client (r. 3.2-9 and commentary) 45(L) 2.5 - specific duties regarding receiving,
Authorized Representatives - r.3.2-9 and storing, and returning client property (s. 47(L) -
commentary 17(L) 2.2 3.5 and commentaries; By-Law 9) 48(L) 3 - 3.1
Automated Bank Machine (ABM) - do not Bailment - client property - lawyer’s duties
use to withdraw funds 112(L) 4.3.2 - standard of care (general) (s. 3.5 and
Automated Bank Machine (ABM) - method commentaries; By-Law 9) 47(LR) 3
of deposit 111(L) 4.2.1 Bailment - client property - lawyer’s duties 47(R) -
Avoiding conflicts of interest (r.3.4-1 and - valuable property 48(L) 3.1
commentary) 31(R) 3 Bailment - client property - lawyer’s duties
- valuable property - recording 47(R) -
B
requirements 48(L) 3.1
97(R) -
Bailment - client property - lawyer’s duties
Backup - technology 98(L) 5.3
- valuable property - recording 47(R) -
Bail - lawyer acts as surety for client - requirements - trust moneys separate 48(L) 3.1
conflict of interest - exception for family (r. 41(R) -
Bailment - client property - lawyer’s duties 47(R) -
3.4-40 - 3.4-41) 42(L) 12.5
- valuable property - selling or negotiating 48(L) 3.1
Bail - lawyer acts as surety for client -
Bailment - client property - lawyer’s duties
conflict of interest - reason for prohibition 41(R) -
- valuable property - trust money -- 47(R) -
(r. 3.4-40 - 3.4-41) 42(L) 12.5
definition 48(L) 3.1
Bail - lawyer acts as surety for client - 41(R) -
Bailment - client property - lawyer’s duties
conflict of interest (r. 3.4-40 - 3.4-41) 42(L) 12.5
- valuable property - valuable property 47(R) -
Bail - lawyer deposits own or firm’s money record - definition, contents 48(L) 3.1
or any other valuable security to secure
Bailment - client property - lawyer’s duties
client’s release - conflict of interest - 41(R) -
- valuable property - valuable property
exception for family (r. 3.4-40 - 3.4-41) 42(L) 12.5
record - does not include non-negotiable 47(R) -
Bail - lawyer deposits own or firm’s money or non-sellable property 48(L) 3.1
or any other valuable security to secure
Bailment - client property - lawyer’s duties
client’s release - conflict of interest - 41(R) -
- valuable property - valuable property
reason for prohibition (r. 3.4-40 - 3.4-41) 42(L) 12.5
record - legal documents and trust money 47(R) -
Bail - lawyer deposits own or firm’s money excluded 48(L) 3.1
or any other valuable security to secure
Bailment - client property - lawyer’s duties
client’s release - conflict of interest (r. 3.4- 41(R) -
- valuable property - valuable property 47(R) -
40 - 3.4-41) 42(L) 12.5
record - list of property it applies to 48(L) 3.1
Bail - lawyer posts for client - conflict of
Bailment - client property - lawyer’s duties
interest - exception for family (r. 3.4-40 - 41(R) -
- valuable property - valuable property
3.4-41) 42(L) 12.5
record - list of property it does NOT apply 47(R) -
Bail - lawyer posts for client - conflict of to 48(L) 3.1
interest - reason for prohibition (r. 3.4-40 - 41(R) -
Bailment - client property - lawyer’s duties 47(L) -
3.4-41) 42(L) 12.5
(s. 3.5 and commentaries; By-Law 9) 48(L) 3 - 3.1
Bail - lawyer posts for client - conflict of 41(R) -
Bailment - client property - original client
interest (r. 3.4-40 - 3.4-41) 42(L) 12.5
property (e.g. original wills, trust deeds, 47(R) -
Bailment - client documents - storing, 47(R) - etc.) 48(L) 3.1
recording, and tracking 48(L) 3.1
Bailment - client property - storing client 47(R) -
Bailment - client property - lawyer’s duties property 48(L) 3.1
- attempted seizure - privilege (s. 3.5 and
Bailment - client property - storing client 47(R) -
commentaries; By-Law 9) 47(LR) 3
property - recording and tracking 48(L) 3.1
Bailment - client property - lawyer’s duties
Bailment - client property - storing, 47(R) -
- claims by third parties - privilege (s. 3.5
recording, and tracking 48(L) 3.1
and commentaries; By-Law 9) 47(LR) 3
Bailment - client property - unrelated to 47(R) -
Bailment - client property - lawyer’s duties 47(R) - 3.1
retainer - lawyer’s duties 48(L) 3.1
- legal documents - lawyer’s duties in 48(L)
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BARRISTER & SOLICITOR – PROFESSIONAL RESPONSIBILITY (2019 INDEX SORTED BY PAGE NUMBER)

Bank - for trust accounts 110(R) 4.1.2 requirements - general account 116(R) 6.2.5
Bank account - clients’ general ledger Bank account - record keeping
(optional) - record keeping requirements 6.2.4 requirements - referral fee records (6
116(R) years) 120(LR) 6.4.3
Sample - Figure 2 - Clients’ General Bank account - record keeping 116(R) - 6.3 -
Ledger 123 7 requirements - trust account 119(L) 6.3.5
Bank account - clients’ trust ledger (10 Bank account - record keeping
years) - record keeping requirements 117(R) 6.3.3 requirements - valuable property record
(10 years) 120(R) 6.4.4
Sample - Figure 4 - Clients’ Trust Ledger 125 7
Bank account - credit and debit card Sample - Figure 7 - Valuable Property
payments from clients 114(LR) 5.2 Record 127 7
Bank account - fees book (6 years) - Bank account - trust account 109(LR) 4
record keeping requirements 109(L) -
Bank account - trust account - By-Law 9 113(L) 4 - 4.4
Sample - Figure 1 - General Receipts 116(L) 6.2.3
Journal, General Disbursements Journal, Bank account - trust account - deposit 110(R) -
and Fees Book 122 7 (trust receipts) 111(L) 4.2
Bank account - trust account - financial
Bank account - general account 108(LR) 3
institutions - By-Law 9 110(R) 4.1.2
Bank account - general account - By-Law 108(L) -
Bank account - trust account - opening,
9 109(L) 3 - 3.2
fees 109(R) 4.1
Bank account - general account - deposit 108(R) 3.1 Bank account - trust account - sharing with
Bank account - general account - another lawyer or paralegal 110(R) 4.1.3
withdrawal - HST 109(L) 3.3
Bank account - trust account - types 110(L) 4.1.1
Bank account - general account - 108(R) -
Bank account - trust account - unclaimed
withdrawal (general disbursements) 109(L) 3.2
trust funds 113(L) 4.4
Bank account - general disbursements
111(L) - 4.3 -
journal (6 years) - record keeping
Bank account - trust account - withdrawal 112(R) 4.3.4
requirements
Bank account - trust disbursements journal
Sample - Figure 1 - General Receipts 116(L) 6.2.2 (10 years) - record keeping requirements
Journal, General Disbursements Journal,
and Fees Book 122 7 Sample - Figure 3 - Trust Receipts 117(L) 6.3.2
Journal, Trust Disbursements Journal, and
Bank account - general receipts journal (6
Trust Transfer Record 128 7
years) - record keeping requirements
Bank account - trust receipts journal (10
Sample - Figure 1 - General Receipts 116(L) 6.2.1 years) - record keeping requirements
Journal, General Disbursements Journal,
and Fees Book 122 7 Sample - Figure 3 - Trust Receipts 117(L) 6.3.1
Journal, Trust Disbursements Journal, and
Bank account - law practice - general vs.
Trust Transfer Record 124 7
trust 100(L) 2
Bank account - trust transfer journal (6
Bank account - monthly trust comparison
years) - record keeping requirements
(10 years) - record keeping requirements 118(R) 6.3.5
Sample - Figure 3 - Trust Receipts 117(R) 6.3.4
Sample - Figure 5 - Monthly Trust
Journal, Trust Disbursements Journal, and
Comparison 126 7
Trust Transfer Record 124 7
Bank account - other record keeping
Bank account - trust transfer record (6
requirements - source documents -
years) - record keeping requirements
general and trust accounts (10 years) 119(LR) 6.4.1
Bank account - record keeping Sample - Figure 3 - Trust Receipts 117(R) 6.3.4
requirements - current, permanent, Journal, Trust Disbursements Journal, and
available in paper copy 115(LR) 6 - 6.1 Trust Transfer Record 124 7
Bank account - record keeping Bank accounts - trusts - methods of
requirements - duplicate cash receipts depositing 111(L) 4.2.1
book (6 years) 119(R) - 6.4.2
120(L) Bank Accounts - trusts - when to deposit 111(L) 4.2.2
Sample - Figure 6 - Duplicate Cash Banking fees - trust account 109(R) 4.1
Receipt 127 7
Bankruptcy - prohibition on handling client
Bank account - record keeping 115(R) - 6.2 - funds 109(LR) 4
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BARRISTER & SOLICITOR – PROFESSIONAL RESPONSIBILITY (2019 INDEX SORTED BY PAGE NUMBER)

Barriers-examples-inclusive workplace 12(R) 8.2 Supervision

Benchers - Convocation 1(L) 1.1 101(R) -
By-Law 5 - Annual Fee 102(L) 8
Billable vs. non-billable hours - time
docketing 96(R) 4.3 101(R) -
By-Law 6 - professional liability insurance 102(L) 8
Billing - clients - transfer money into
general account 108(R) 3.1 By-law 6.1 - continuing professional
development 23(LR) 1.7
Billing - disbursements - general account 108(R) 3.1
23(R) -
Billing - fee types By-Law 7 - civil society organizations 24(L) 1.8
SEE: Fees 51(R) 2
By-Law 7 - permitted business structures
Billing - methods and charges - financial 51(R) - and practice arrangements 89(LR) 1
management - fees and disbursements 52(L) 2
By-Law 7, Part VI - prohibition against
Billing - methods of securing payment of referral fees for licensee in a civil society
fees 56(R) - organization 55(R) 4.3
(r. 3.4-27 - 3.4-29 and commentaries) 57(R) 6
By-Law 7, s. 51 - charging fees and
Billing - statement of account for client (r. disbursements through civil society
3.6-3, 3.6-4, 5.1-5, and 3.6-1.1 and 53(R) - organizations 53(L) 2.4
commentary) 54(L) 2.7
By-Law 7.1, Part I - supervision 99(R) 7
Block fee - fees 51(R) 2
By-Law 7.1, Part II - Obligations resulting
Bookeeping - consider delegating 115(R) 6 from suspension 72(L) 1.4
Bookkeeping - types of accounting By-law 7.1, Part III - definition of “third
systems 107(R) - party” -context of identification &
SEE: Accounting 108(L) 1.1 verification 18(L) 3
Borrower and lender - acting for both - By-Law 8 - annual report - bankruptcy and 101(R) -
where lender in business of lending money 35(R) - insolvency 102(L) 8
(r. 3.4-12 - 3.4-16 and commentaries) 36(L) 8.2 By-law 8 - s. 2 - duty to report - criminal 73(R) -
Borrower and lender - acting for both (r. 35(R) - charge or conviction 74(L) 2.3
3.4-12 - 3.4-16 and commentaries) 36(L) 8.2 By-Law 9 - accounting records must be 94(R) -
Borrowing from clients - prohibited, maintained by lawyer 95(L) 3.4
exceptions By-Law 9 - appropriation of funds from
(r. 3.4-27 and 3.4-28.1) 38(LR) 11.1 trust 54(LR) 2.8
Borrowing from clients - prohibited, By-Law 9 - client property - lawyer’s duty -
exceptions - “regulated lender”, definition specific requirements (s. 3.5 and
and exception commentaries; By-Law 9)
(r. 3.4-27 and 3.4-28.1) 38(LR) 11.1 SEE: “Bailment - client property - lawyer’s
Borrowing from clients - prohibited, duties” 47(LR) 3
exceptions - “related person”, definition By-Law 9 - client property - lawyer’s duty - 47(R) -
and exception valuable property - recording requirements 48(L) 3.1
(r. 3.4-27 and 3.4-28.1) 38(LR) 11.1
By-Law 9 - client property - lawyer’s duty
Borrowing from or lending to a client, (s. 3.5 and commentaries; By-Law 9)
defined as transaction - conflicts of interest SEE: “Bailment - client property - lawyer’s
- transactions with clients (r. 3.4-27 - 3.4- duties” 47(LR) 3
28) 38(L) 11
By-Law 9 - client property - lawyer’s duty 47(R) -
Business and administrative aspects of 101(R) - valuable property recording requirements 48(L) 3.1
practice - practice management 102(L) 8
By-Law 9 - Exception to two-person
Business structures - permitted (By-Law 7) 89(LR) 1 requirement - electronic transfers 112(L) 4.3.2
Business transactions with a client - 47(L) -
definition (r. 3.4-27 - 3.4-28) 38(L) 11 By-Law 9 - general account 48(L) 3 - 3.2
Business transactions with a client (r. 3.4- By-Law 9 - general account, lawyer’s 48(L) 3.2
27 - 3.4-28) 38(L) 11
By-Law 9 - general account, lawyer’s -
Business with a client (r. 3.4-27 - 3.4-28) 38(L) 11 record keeping requirements 48(L) 3.2
By-Law 10 - Law Society’s Unclaimed By-Law 9 - lawyer’s general account 48(L) 3.2
Trust Fund 113(L) 4.4
By-Law 9 - lawyer’s general account -
By-Law 15 - advertising nature of legal recording keeping requirements 48(L) 3.2
practice 91(R) 2.4
By-Law 9 - lawyer’s trust account 48(L) 3.2
By-Law 4, s.34 - Articling Student 99(R) 7
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BARRISTER & SOLICITOR – PROFESSIONAL RESPONSIBILITY (2019 INDEX SORTED BY PAGE NUMBER)

By-Law 9 - lawyer’s trust account - record Candour and honesty - duty to client
keeping requirements 48(L) 3.2 (rr. 3.1-2 commentary, 3.2-2 and 43(R) -
By-Law 9 - other record keeping commentary) 44(L) 2.1
requirements source documents (general Candour and honesty - duty to client -
and trust accounts) (10 years), duplicate avoiding unreasonable or overconfident
cash receipts book (6 years), referral fee advice (rr. 3.1-2 commentary, 3.2-2 and 43(R) -
records (6 years), and valuable property 119(R) - 6.4 - commentary) 44(L) 2.1
record (10 years) 120(R) 6.4.4 Candour and honesty - duty to client -
By-Law 9 - record keeping requirements - 115(L) - 6 - content of duty (rr. 3.1-2 commentary, 3.2- 43(R) -
general and trust accounts 119(R) 6.3.5 2 and commentary) 44(L) 2.1
By-Law 9 - record keeping requirements - 119(R) - 6.4 - Candour and honesty - duty to client -
other record keeping requirements 120(R) 6.4.4 lawyer’s opinion - when to provide (rr. 3.1- 43(R) -
2 commentary, 3.2-2 and commentary) 44(L) 2.1
By-law 9 - record requirements (s 19.1) 120(LR) 6.4.3
Candour and honesty - duty to client -
By-Law 9 - requirements 115(R) 6.1 rationale for duty (rr. 3.1-2 commentary, 43(R) -
By-Law 9 - trust account 48(L) 3.2 3.2-2 and commentary) 44(L) 2.1
By-Law 9 - trust account - financial Candour and honesty - duty to client -
institutions 110(R) 4.1.2 standard of competent lawyer (rr. 3.1-2 43(R) -
commentary, 3.2-2 and commentary) 44(L) 2.1
By-Law 9 - trust account - separate
interest-bearing accounts 110(L) 4.1.1 Candour and honesty - illegal client
expectations - duty to client (rr. 3.1-2 43(R) -
By-Law 9 - trust account, lawyer’s 48(L) 3.2 commentary, 3.2-2 and commentary) 44(L) 2.1
By-Law 9 - trust account, lawyer’s - record Candour and honesty - unlawful client
keeping requirements 48(L) 3.2 expectations - duty to client (rr. 3.1-2 43(R) -
By-Law 9 - valuable property record - 47(R) - commentary, 3.2-2 and commentary) 44(L) 2.1
lawyer’s duty 48(L) 3.1 Candour and honesty - unreasonable
By-Law 9 - withdrawing trust funds - by client expectations - duty to client (rr. 3.1-2 43(R) -
electronic transfer 111(R) - commentary, 3.2-2 and commentary) 44(L) 2.1
112(L) 4.3.2 Capacity - client vulnerability - client under
Sample - Figure 8 - Sample Electronic duress/undue influence/pressure - client’s
Trust Transfer Requisition (Form 9A) 128 7 wishes 45(LR) 2.6
By-Law 9 (Part III) - restrictions on 113(R) - Capacity - client’s diminished capacity -
accepting cash from clients 114(L) 5.1 lawyer’s duty (r. 3.2-9 and commentary) 45(L) 2.5
By-Law 9, Part II - handling of client funds Capacity - diminished capacity - lawyer’s
by bankrupt lawyer (prohibition) 109(LR) 4 duty (r. 3.2-9 and commentary) 45(L) 2.5
By-Law 9, Part II.1 - Handling of money by Capacity - disabled or minor client lacking
licensee whose licence is suspended 72(L) 1.4 legal capacity - duty to client (r. 3.2-9 and
By-Laws 8 and 9 - reporting and commentary) 45(L) 2.5
compliance requirements 99(L) 6.3 Capacity - individuals lacking - authorized
C representative/litigation guardian (r. 3.2-9
and commentary) 45(L) 2.5
Calendaring and scheduling - technology -
reminder system 96(L) 4.2 Capacity - lawyer’s duty to client (r. 3.2-9
and commentary) 45(L) 2.5
Canada National Railway v McKercher -
Bright Line Rule - cannot act for Capacity - minor or disabled client lacking
concurrent clients that are adverse in legal capacity - duty to client (r. 3.2-9 and
interest 33(LR) 5.2 commentary) 45(L) 2.5
Canada Revenue Agency claims on Cash - receipts book - duplicate (6 years)
client’s information - duties to client - 119(R) - 6.4.2
privilege (s. 3.5 and commentaries; By- 120(L)
Law 9) Sample - Figure 6 - Duplicate Cash
SEE: “Bailment - client property - lawyer’s Receipt 127 7
duties - seizure” 47(LR) 3 113(R) -
Canada Revenue Agency claims on Cash - receiving from client - restrictions 114(L) 5.1
client’s property - duties to client - privilege 113(R) -
(s. 3.5 and commentaries; By-Law 9) Cash - refunding to client 114(L) 5.1
SEE: “Bailment - client property - lawyer’s
duties - seizure” 47(LR) 3 Cash Trust Cheque 112(L) 4.3.2
113(R) - Centralized tickler system - time
Canadian currency - cash 114(L) 5.1 management 96(L) 4.2
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BARRISTER & SOLICITOR – PROFESSIONAL RESPONSIBILITY (2019 INDEX SORTED BY PAGE NUMBER)

Certified funds - immediately cleared 115(L) 5.3 property - duties to client - privilege (s. 3.5
and commentaries; By-Law 9)
Certified specialist - advertising (r. 4.3-1
and commentary; By-Law 15) 91(R) 2.4 Claims by third parties on client’s
information - duties to client - privilege (s.
Certified specialist - LSUC - advertising (r.
3.5 and commentaries; By-Law 9)
4.3-1 and commentary; By-Law 15) 91(R) 2.4
SEE: “Bailment - client property - lawyer’s
62(R) - duties - seizure” 47(LR) 3
Challenging clients 63(L) 2.2
Claims by third parties on client’s property
Change - seeking legislative or - duties to client - privilege (s. 3.5 and
administrative change - duty (r. 5.6-1 - 5.6- commentaries; By-Law 9)
2 and commentary) 77(L) 5.2 SEE: “Bailment - client property - lawyer’s
Change - to costs estimates (r. 3.6-1 and duties - seizure” 47(LR) 3
commentary) Clearance period - defined - std 5-10 days 114(R) 5.3
SEE: Fees 52(R) 2.2
Clearance period - std 5-10 days 114(R) 5.3
Charge - on client’s property - securing
payment of fees (r. 3.4-27 - 3.4-29 and 56(R) - Clearance periods - receiving money from 114(R) -
commentaries) 57(R) 6 client 115(L) 5.3
Charges - criminal - duty to report self (r. 73(R) - Client - Acting against former client (r. 3.4-
7.1-4.4 and commentary; By-Law 8, s.2) 74(L) 2.3 10-11)
33(R) -
Charging order - against client’s property - SEE: Conflict of Interest 34(L) 6 - 6.2
securing payment of fees (r. 3.4-27 - 3.4- 56(R) -
29 and commentaries) 57(R) 6 Client - Acting against lawyer’s former
client - lawyer’s partners, associates (r.
Charity - money retainer 51(R) 1 3.4-10-11 and commentaries) 33(R) 6
Charity - money retainer prohibited 51(R) 1 Client - acting for clients in transactions
Cheque imaging - special considerations - with clients - conflict of interest - duties
source documents - general and trust and preconditions (r. 3.4-29, commentary
accounts (10 years) 119(R) 6.4.1 [2]) 40(L) 11.5

Cheques - stale dated - trust account 113(L) 4.4 Client - acting for clients in transactions
with clients - conflict of interest (r. 3.4-29,
Chief Executive Officer - Law Society 1(L) 1.1 commentary [2]) 40(L) 11.5
Civil society organizations - competence - 23(R) - Client - borrower/lender - personal
requirements 24(L) 1.8 guarantee by lawyer - prohibition and 3
exceptions (r. 3.4-34 - 3.4-35) 40(LR) 11.7
Civil society organizations - confidentiality 26(LR) 2.4
Client - borrower/lender - security for debts
Civil society organizations - conflicts of
by lawyer - prohibition and 3 exceptions (r.
interest - obligation to establish a system
3.4-35 - 3.4-25) 40(LR) 11.7
to identify conflicts (r. 3.4-16.1.1) 41(L) 12.2
Client - borrowing from - “regulated
Civil society organizations - definition - By- 23(R) -
lender”, definition and exception (r. 3.4-27
Law 7 24(L) 1.8
and 3.4-28.1) 38(LR) 11.1
Civil society organizations - disbursements
Client - borrowing from - “related person”,
- permitted in some cases (r. 3.6-1 and
definition and exception (r. 3.4-27 and 3.4-
3.6-1.2; By-Law 7, s.51) 53(L) 2.4
28.1) 38(LR) 11.1
Civil society organizations - fees -
Client - borrowing from (r. 3.4-27 and 3.4-
prohibited (r. 3.6-1 and 3.6-1.2; By-Law 7,
28.1) 38(LR) 11.1
s.51) 53(L) 2.4
Client - capacity - lawyer’s duty (r. 3.2-9
Civil society organizations - fees and
and commentary) 45(L) 2.5
disbursements (r. 3.6-1 and 3.6-1.2; By-
Law 7, s.51) 53(L) 2.4 48(R) -
Client - client documents - duties to client 49(R) 3.3
Civil society organizations - r. 1.1-1, 23(R) -
commentary; rr. 3.1-2, 3.2-1; By-Law 7 24(L) 1.8 Client - client documents - duty to return - 48(R) -
duty to client 49(R) 3.3
Civil society organizations - referral fees -
prohibited 55(R) 4.3 Client - client documents - storing, 47(R) -
recording, and tracking 48(L) 3.1
Civility - in communications - duty
(r. 7.2-4) 75(L) 3.2 Client - client expectations - discussions
before signing retainer - lawyer’s duties 51(L) Intro
Claims by external authorities on client’s
information - duties to client - privilege (s. Client - client expectations - honesty and
3.5 and commentaries; By-Law 9) 47(LR) 3 candour (rr. 3.1-2 commentary, 3.2-2 and
commentary) 43(R) -
Claims by external authorities on client’s 47(LR) 3 SEE “Candour and honesty - duty to client” 44(L) 2.1
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BARRISTER & SOLICITOR – PROFESSIONAL RESPONSIBILITY (2019 INDEX SORTED BY PAGE NUMBER)

Client - client information - claims by third to client - copy for client on request at
parties - lawyer’s duties - privilege (s. 3.5 lawyer’s discretion - cost
and commentaries; By-Law 9) 47(LR) 3 Client - client property - documents
Client - client information - lawyer’s duties prepared by lawyer - duty to return files
(s. 3.5 and commentaries; By-Law 9) 47(LR) 3 belonging to client at end of retainer - files
Client - client information - seizure by belonging to lawyer/need NOT be returned 48(R) -
external authority - lawyer’s duties - to client - list 49(R) 3.3
privilege (s. 3.5 and commentaries; By- Client - client property - lawyer’s duties (s.
Law 9) 47(LR) 3 3.5 and commentaries; By-Law 9) 47(LR) 3
Client - client money - duty to client - Client - client property - seizure by external
receiving, holding, disbursing client money authority - lawyer’s duties - privilege (s. 3.5
(s. 3.5 and commentaries; By-Law 9) 48(L) 3.2 and commentaries; By-Law 9) 47(LR) 3
Client - client money - duty to client - trust Client - client property - storing, recording, 47(R) -
account (s. 3.5 and commentaries; By-Law and tracking 48(L) 3.1
9) 48(L) 3.2 Client - clients’ trust ledger (10 years) -
Client - client money - duty to client (s. 3.5 record keeping requirements 117(R) 6.3.3
and commentaries; By-Law 9) 48(L) 3.2
Client - client property - claims by third Sample - Figure 4 - Clients’ Trust Ledger 125 7
parties - lawyer’s duties - privilege (s. 3.5 Client - closed files, if contain documents 48(R) -
and commentaries; By-Law 9) 47(LR) 3 or property 49(R) 3.3
Client - client property - definition (s. 3.5 Client - communication - interpreter 63(LR) 2.3
and commentaries; By-Law 9) 47(LR) 3
Client - communication - language rights 63(LR) 2.3
Client - client property - documents 48(R) -
prepared by lawyer 49(R) 3.3 Client - communications with - factors to
consider 63(R) 2.3
Client - client property - documents
prepared by lawyer - duty to keep out of 48(R) - Client - conflict check - when to check -
sight 49(R) 3.3 method of checking 42(R) 13
Client - client property - documents Client - conflict of interest - when to check
prepared by lawyer - duty to return files 48(R) - - method of checking 42(R) 13
belonging to client at end of retainer 49(R) 3.3 Client - consent - where lawyer in affiliation
Client - client property - documents - consent required (r. 3.1-2, 3.4-11.1 - 3.4- 40(R) -
prepared by lawyer - duty to return files 11.3 and commentary and r. 3.4-16.1.1) 41(L) 12.2
belonging to client at end of retainer - files Client - consent - where lawyer in affiliation
belonging to client/to be returned - 48(R) - - consent required (r. 3.4-11.1 - 3.4-11.3
definition 49(R) 3.3 and commentary and r. 3.4-16.1 - 3.4- 40(R) -
Client - client property - documents 16.1.1) 41(L) 12.2
prepared by lawyer - duty to return files Client - consent - where lawyer in multi-
belonging to client at end of retainer - files discipline practice - consent required (r.
belonging to client/to be returned - lawyer 48(R) - 3.1-2, 3.4-11.1 - 3.4-11.3 and commentary 40(R) -
should copy for their benefit (complaints) 49(R) 3.3 and r. 3.4-16.1.1) 41(L) 12.2
Client - client property - documents Client - consent - where lawyer in multi-
prepared by lawyer - duty to return files discipline practice - consent required (r.
belonging to client at end of retainer - files 3.4-11.1 - 3.4-11.3 and commentary and r. 40(R) -
belonging to client/to be returned - lawyer 3.4-16.1 - 3.4-16.1.1) 41(L) 12.2
should copy for their benefit (complaints) - 48(R) - Client - contact with client - managing
cost 49(R) 3.3 expectations 62(L) 2
Client - client property - documents Client - crime, dishonesty, fraud, illegal
prepared by lawyer - duty to return files conduct - appropriate lawyerly instructions 44(R) -
belonging to client at end of retainer - files 48(R) - (r. 3.2-7 - 3.2-8 and commentary) 45(L) 2.4
belonging to client/to be returned - list 49(R) 3.3
Client - deceives lawyer - serious loss of
Client - client property - documents confidence - optional withdrawal of 65(R) -
prepared by lawyer - duty to return files services 66(L) 2.1
belonging to client at end of retainer - files
belonging to lawyer/need NOT be returned 62(R) -
to client - copy for client on request at 48(R) - Client - difficult clients 63(L) 2.2
lawyer’s discretion 49(R) 3.3 Client - diminished capacity -
Client - client property - documents 48(R) - 3.3 communications with 63(R) 2.3
prepared by lawyer - duty to return files 49(R) Client - diminished capacity - lawyer’s duty
belonging to client at end of retainer - files (r. 3.2-9 and commentary) 45(L) 2.5
belonging to lawyer/need NOT be returned
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BARRISTER & SOLICITOR – PROFESSIONAL RESPONSIBILITY (2019 INDEX SORTED BY PAGE NUMBER)

Client - disability - lawyer’s duty (r. 3.2-9 client - prohibited (r. 3.2-7 - 3.2-8 and
and commentary) 45(L) 2.5 commentary)
Client - discharges lawyer - mandatory SEE: “Assisting dishonesty, fraud, crime,
withdrawal of services (r. 3.7-7 and illegal conduct by client”
commentary) 67(L) 4 48(R) -
Client - duty to client - client documents 49(R) 3.3
Client - discovery - disclosure obligations 87(L) 7
Client - duty to client - client documents - 48(R) -
Client - discussion of client by lawyer - in 29(R) -
duty to return 49(R) 3.3
office (commentary r. 3.3-1) 30(LR) 6.2
Client - duty to client - client information -
61(R) -
claims by third parties - lawyer’s duties -
Client - disengagement with 62(L) 1.5
privilege (s. 3.5 and commentaries; By-
Client - dishonesty, fraud, crime, illegal Law 9) 47(LR) 3
conduct - appropriate lawyerly instructions
Client - duty to client - client information -
(r. 3.2-7 - 3.2-8 and commentary)
lawyer’s duties (s. 3.5 and commentaries;
SEE: “Assisting dishonesty, fraud, crime, 44(R) -
By-Law 9) 47(LR) 3
illegal conduct by client” 45(L) 2.4
Client - duty to client - client information -
Client - dispute over fees (r. 3.6-3, 3.6-4,
seizure by external authority - lawyer’s
5.1-5, and 3.6-1.1 and commentary) 54(L) 2.7
duties - privilege (s. 3.5 and
Client - documents, duties regarding - 47(R) - commentaries; By-Law 9) 47(LR) 3
storing, recording, and tracking 48(L) 3.1
Client - duty to client - client money - trust
Client - does not follow lawyer’s advice 62(L) 2 account (s. 3.5 and commentaries; By-Law
Client - doing business transactions with 9) 48(L) 3.2
client (conflict of interest) - definition (r. Client - duty to client - client money (s. 3.5
3.4-27 - 3.4-28) 38(L) 11 and commentaries; By-Law 9) 48(L) 3.2
Client - doing business transactions with 47(L) -
client (conflict of interest) (r. 3.4-27 - 3.4- Client - duty to client - client property 48(L) 3 - 3.1
28) 38(L) 11 Client - duty to client - client property -
Client - doing business with client (conflict claims by third parties - lawyer’s duties -
of interest) (r. 3.4-27 - 3.4-28) 38(L) 11 privilege (s. 3.5 and commentaries; By-
Client - duress/undue influence/pressure - Law 9) 47(LR) 3
duty to client 45(LR) 2.6 Client - duty to client - client property - 48(R) -
Client - duress/undue influence/pressure - documents prepared by lawyer 49(R) 3.3
lawyer’s duties Client - duty to client - client property -
SEE: “Client - under duress/undue documents prepared by lawyer - duty to 48(R) -
influence/pressure - lawyer’s duties” 45(LR) 2.6 return 49(R) 3.3
Client - duties to client - summary of duties 43(L) Intro Client - duty to client - client property -
lawyer’s duties (s. 3.5 and commentaries;
Client - duty to client - Aboriginal or French By-Law 9) 47(LR) 3
language rights, advise regarding (r. 3.2- 46(R) -
2A - 3.2-2B and commentary) 47(L) 2.11 Client - duty to client - client property -
seizure by external authority - lawyer’s
Client - duty to client - Aboriginal or French duties - privilege (s. 3.5 and
language rights, duty to know law commentaries; By-Law 9) 47(LR) 3
regarding (r. 3.2-2A - 3.2-2B and 46(R) -
commentary) 47(L) 2.11 Client - duty to client - client with
diminished capacity (r. 3.2-9 and
Client - duty to client - Aboriginal or French commentary) 45(L) 2.5
rights, duty to know law regarding (r. 3.2- 46(R) -
2A - 3.2-2B and commentary) 47(L) 2.11 Client - duty to client - client’s dishonesty,
fraud, crime, illegal conduct (r. 3.2-7 - 3.2-
Client - duty to client - ADR (r. 3.2-4 and 8 and commentary)
commentary) 44(L) 2.2 SEE: “Assisting dishonesty, fraud, crime, 44(R) -
Client - duty to client - advising client, illegal conduct by client” 45(L) 2.4
when - list of duties 43(R) 2 48(R) -
Client - duty to client - advising on title Client - duty to client - client’s file 49(R) 3.3
insurance (r. 3.2-9.4 - 3.2-9.7 and Client - duty to client - conveyance of real
commentaries) 46(L) 2.8 property and title insurance (r. 3.2-9.4 -
Client - duty to client - Alternative Dispute 3.2-9.7 and commentaries) 46(L) 2.8
Resolution (ADR) (r. 3.2-4 and Client - duty to client - defence counsel
commentary) 44(L) 2.2 (commentary r. 5.1-1) 82(LR) 2.1
Client - duty to client - Assisting 44(R) - 2.4 Client - duty to client - encourage 44(L) 2.2
dishonesty, fraud, crime, illegal conduct by 45(L) settlement and present settlement offers /
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BARRISTER & SOLICITOR – PROFESSIONAL RESPONSIBILITY (2019 INDEX SORTED BY PAGE NUMBER)

consider alternative dispute resolution Client - duty to client - medical-legal

(ADR) (r. 3.2-4 and commentary) reports 45(R) -
SEE: “Duty - settlement/alternative dispute (r. 3.2-9.1 - 3.2-9.3 and commentary) 46(L) 2.7
resolution (ADR) - duty to encourage” Client - duty to client - medical-legal
Client - duty to client - error, omission - reports - disclosure to client (r. 3.2-9.1 - 45(R) -
duty to report (r. 7.8) 46(R) 2.1 3.2-9.3 and commentary) 46(L) 2.7
Client - duty to client - fiduciary duty 43(LR) 1 Client - duty to client - minor client -
capacity (r. 3.2-9 and commentary) 45(L) 2.5
Client - duty to client - fiduciary duty -
definition 43(LR) 1 Client - duty to client - mortgagee client -
mortgage transactions - reporting on
Client - duty to client - fiduciary duty -
mortgage transactions (r. 3.2-9.8 - 3.2-9.9) 46(LR) 2.9
requirements 43(LR) 1
Client - duty to client - offers of settlement
Client - duty to client - fiduciary duty -
(r. 3.2-4 and commentary) 44(L) 2.2
requirements - minimum standard of
competence 43(LR) 1 Client - duty to client - omission, error -
duty to report (r. 7.8) 46(R) 2.1
Client - duty to client - French or Aboriginal
language rights, advise regarding (r. 3.2- 46(R) - Client - duty to client - present all
2A - 3.2-2B and commentary) 47(L) 2.11 settlement offers (r. 3.2-4 and
commentary)
Client - duty to client - French or Aboriginal
SEE: “Duty - settlement/alternative dispute
language rights, duty to know law
resolution (ADR) - duty to encourage” 44(L) 2.2
regarding (r. 3.2-2A - 3.2-2B and 46(R) -
commentary) 47(L) 2.11 Client - duty to client - real estate
transaction - title insurance (r. 3.2-9.4 -
Client - duty to client - French or
3.2-9.7 and commentaries) 46(L) 2.8
indigenous language rights, advise
regarding (r. 3.2-2A - 3.2-2B and 46(R) - Client - duty to client - real property
commentary) 47(L) 2.11 transaction - title insurance (r. 3.2-9.4 -
3.2-9.7 and commentaries) 46(L) 2.8
Client - duty to client - French or
indigenous language rights, duty to know Client - duty to client - receiving, holding,
law regarding (r. 3.2-2A - 3.2-2B and 46(R) - disbursing client money - examples of
commentary) 47(L) 2.11 types of money (s. 3.5 and commentaries;
By-Law 9) 48(L) 3.2
Client - duty to client - further retainers
required - duty to advise client 51(R) 1 Client - duty to client - receiving, holding,
disbursing client money - requirements (s.
Client - duty to client - honesty and
3.5 and commentaries; By-Law 9) 48(L) 3.2
candour -content of duty (rr. 3.1-2
commentary, 3.2-2 and commentary) 43(R) - Client - duty to client - receiving, holding,
SEE “Candour and honesty - duty to client” 44(L) 2.1 disbursing client money (s. 3.5 and
commentaries; By-Law 9) 48(L) 3.2
Client - duty to client - Indigenous or
French language rights, advise regarding 46(R) - Client - duty to client - refusal to act -
(r. 3.2-2A - 3.2-2B and commentary) 47(L) 2.11 threatening unjustified criminal, quasi-
criminal, or regulatory proceeding (r. 3.2-5
Client - duty to client - Indigenous or
and commentary) 44(LR) 2.3
French rights, duty to know law regarding 46(R) -
(r. 3.2-2A - 3.2-2B and commentary) 47(L) 2.11 Client - duty to client - report omission,
error (r. 7.8) 46(R) 2.1
Client - duty to client - language rights -
French or Indigenous languages (r. 3.2-2A 46(R) - Client - duty to client - representation even
- 3.2-2B and commentary) 47(L) 2.11 if non-payment of fees 51(R) 1
Client - duty to client - language rights - Client - duty to client - returning 48(R) -
Indigenous or French languages (r. 3.2-2A 46(R) - documents 49(R) 3.3
- 3.2-2B and commentary) 47(L) 2.11 Client - duty to client - settlement (r. 3.2-4
Client - duty to client - lawyer as advocate 81(L) Intro and commentary) 44(L) 2.2
Client - duty to client - lender where loan Client - duty to client - settlement offers (r.
secured by mortgage on real property - 3.2-4 and commentary) 44(L) 2.2
reporting on mortgage transaction (r. 3.2- Client - duty to client - title insurance - real
9.8 - 3.2-9.9) 46(LR) 2.9 property transaction (r. 3.2-9.4 - 3.2-9.7
Client - duty to client - lender where loan and commentaries) 46(L) 2.8
secured by mortgage on real property - Client - duty to client - title insurance and
reporting on mortgage transactions - time conveyance of real property (r. 3.2-9.4 -
frame for providing duplicate mortgage 3.2-9.7 and commentaries) 46(L) 2.8
and final report (r. 3.2-9.8 - 3.2-9.9) 46(LR) 2.9 Client - duty to client - title insurance not 46(L) 2.8
Client - duty to client - loyalty 43(LR) 1 mandatory, advice regarding (r. 3.2-9.4 -
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BARRISTER & SOLICITOR – PROFESSIONAL RESPONSIBILITY (2019 INDEX SORTED BY PAGE NUMBER)

3.2-9.7 and commentaries) Client - French or Aboriginal language

Client - duty to client - valuable property - rights 46(R) -
lawyer’s duty (r. 3.2-2A - 3.2-2B and commentary) 47(L) 2.11
SEE: “Duty - client - client property, 47(R) - Client - French or Aboriginal language
regarding” 48(L) 3.1 rights - lawyer’s duty to advise (r. 3.2-2A - 46(R) -
Client - duty to client - when advising client 3.2-2B and commentary) 47(L) 2.11
- list of duties 43(R) 2 Client - French or Aboriginal language
Client - duty to client -candour and honesty rights - lawyer’s duty to know law (r. 3.2- 46(R) -
- content of duty (rr. 3.1-2 commentary, 2A - 3.2-2B and commentary) 47(L) 2.11
3.2-2 and commentary) 43(R) - Client - funds - appropriation of funds from
SEE “Candour and honesty - duty to client” 44(L) 2.1 trust (r. 3.6-10; By-Law 9) 54(LR) 2.8
Client - duty to client -mortgagee client - Client - handling client money - lawyer’s
mortgage transactions - reporting on duties (s. 3.5 and commentaries; By-Law
mortgage transactions - time frame for 9) 48(L) 3.2
providing duplicate mortgage and final Client - identification - client or third party
report (r. 3.2-9.8 - 3.2-9.9) 46(LR) 2.9 is an individual - information required (By-
Client - encourage client to report Law 7.1, s. 23(1)) 18(R) 3.1.1
dishonest conduct of another lawyer - duty Client - identification - client or third party
is an organization - information required -
(r. 7.1-4 - 7.1-4.3) 73(R) 2.2 additional info when receipt or transfer of
60(L) - funds by organization (By-Law 7.1, ss. 20 18(R) -
Client - engagement - letter 61(L) 1.3 and 23(1) - (2)) 19(L) 3.1.2
59(R) - 1.2 - Client - identification - client or third party
Client - engagement - or non-engagement 61(L) 1.3 is an organization - information required
(By-Law 7.1, ss. 20 and 23(1) - (2)) 18(R) 3.1.2
Client - engagement - terms change 61(LR) 1.4
Client - identification - definition of “third
Client - expectations - list of 62(R) 2.1 party” (By-Law 7.1, Part III) 18(L) 3
Client - expectations - managing 62(L) 2 Client - identification - exemptions to the
Client - expectations - unreasonable or requirement (By-Law 7.1, ss. 22(2) - (4)) 18(L) 3
unlawful - honesty and candour (rr. 3.1-2 Client - identification - identifying
commentary, 3.2-2 and commentary) 43(R) - information when client or third party is an
SEE “Candour and honesty - duty to client” 44(L) 2.1 individual (By-Law 7.1, s. 23(1)) 18(R) 3.1.1
Client - family or friends with lawyer - Client - identification - identifying
conflict of interest (commentary, r. 3.4-1) 40(R) 12.1 information when client or third party is an
Client - fees - lawyer’s duty 51(R) - 2.1 - organization (By-Law 7.1, ss. 20 and 23(1)
SEE: Fees 53(R) 2.6 - (2)) 18(R) 3.1.2
Client - fees - non-payment - optional Client - identification - information required
withdrawal of services (r. 3.7-3) 66(L) 2.2 when client or third party is an individual
(By-Law 7.1, s. 23(1)) 18(R) 3.1.1
Client - fees - trust funds to pay fees (r.
3.6-10; By-Law 9) 54(LR) 2.8 Client - identification - information required
when client or third party is an organization
Client - fees - types 51(R) 2 - additional info when receipt or transfer of
Client - file 92(L) - 3 - 3.4 funds by organization (By-Law 7.1, ss. 20
95(L) and 23(1) - (2)) 18(R) 3.1.2
Client - identification - information required
SEE: Client File - opening 93(L) - 3.2 when client or third party is an organization
94(L) (By-Law 7.1, ss. 23(1) - (2)) 18(R) 3.1.2
SEE: Client File - closing 94(LR) 3.3 Client - identification - previous
identification and verification (By-Law
98(R) 7.1,ss. 23(2.1), (3), and (11) - (12)) 20(L) 3.4
6.1
Client - financial responsibilities on behalf 76(R) - Client - identification - records (copies of
of client (r. 7.1-2 and commentary) 77(L) 3.5 documents and duration required to keep
them) (By-Law 7.1,s. 23(13) - (14)) 20(R) 3.5
Client - four aspects of lawyer-client
relationship 43(LR) 1 Client - identification - requirement (client
and third party) (By-Law 7.1, Part III) 18(L) 3
Client - fraud, crime, dishonesty, illegal
conduct - appropriate lawyerly instructions Client - identification - when identification
(r. 3.2-7 - 3.2-8 and commentary) is required (By-Law 7.1, ss. 22 and 23(1)) 18(R) 3.1
SEE: “Assisting dishonesty, fraud, crime, 44(R) - Client - identification - withdrawal during 20(R) 3.6
illegal conduct by client” 45(L) 2.4 identification - client illegal or dishonest
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BARRISTER & SOLICITOR – PROFESSIONAL RESPONSIBILITY (2019 INDEX SORTED BY PAGE NUMBER)

conduct (By-Law 7.1,s. 24) (r. 3.7-7 and commentary)

Client - illegal client expectations - duty of Client - interim billing - general account 108(R) 3.1
honesty and candour (rr. 3.1-2 43(R) -
commentary, 3.2-2 and commentary) 44(L) 2.1 Client - is an organization - identification 18(R) 3.1.2
Client - illegal conduct, crime, dishonesty, Client - joint retainer - continuing
fraud - appropriate lawyerly instructions (r. relationship with one of the clients (r. 3.4-5
3.2-7 - 3.2-8 and commentary) and 3.4-7) 34(R) 7.1
SEE: “Assisting dishonesty, fraud, crime, 44(R) - Client - language rights - Aboriginal or
illegal conduct by client” 45(L) 2.4 French languages - duty to client (r. 3.2-2A 46(R) -
- 3.2-2B and commentary) 47(L) 2.11
Client - implementation stage 61(LR) 1.4
Client - language rights - French or
Client - indirect transactions with client -
Indigenous languages - duty to client (r. 46(R) -
conflict of interest - related persons, trusts
3.2-2A - 3.2-2B and commentary) 47(L) 2.11
(r. 3.4-28.2 and commentaries) 38(R) 11.2
Client - language rights - Indigenous or
Client - indirect transactions with client -
French languages - duty to client (r. 3.2-2A 46(R) -
conflict of interest (r. 3.4-28.2 and
- 3.2-2B and commentary) 47(L) 2.11
commentaries) 38(R) 11.2
Client - individuals lacking legal capacity - Client - lawyer is agent of 43(LR) 1
authorized representatives/litigation Client - lawyer is fiduciary of 43(LR) 1
guardian (r. 3.2-9 and commentary) 45(L) 2.5
Client - lawyer is in business or contractual
Client - individuals lacking legal capacity - relationship with 43(LR) 1
duty to client (r. 3.2-9 and commentary) 45(L) 2.5
Client - lawyer is in professional
Client - information, duties regarding - relationship with 43(LR) 1
attempted seizure - privilege (s. 3.5 and
commentaries; By-Law 9) 47(LR) 3 Client - lawyer unable to fulfill retainer 61(LR) 1.4
Client - information, duties regarding - Client - lawyer’s opinion on case - when to
claims by third parties - privilege (s. 3.5 provide - duty of honesty and candour (rr. 43(R) -
and commentaries; By-Law 9) 47(LR) 3 3.1-2 commentary, 3.2-2 and commentary) 44(L) 2.1
Client - information, duties regarding - duty Client - legal capacity - authorized
of care (general) (s. 3.5 and representative 17(L) 2.2
commentaries; By-Law 9) 47(LR) 3 Client - legal capacity lacking - duty to
Client - information, duties regarding - client (r. 3.2-9 and commentary) 45(L) 2.5
seizure - privilege (s. 3.5 and Client - lender where loan secured by
commentaries; By-Law 9) 47(LR) 3 mortgage on real property - duty to client
Client - information, duties regarding - (r. 3.2-9.8 - 3.2-9.9) 46(LR) 2.9
standard of care (general) (s. 3.5 and Client - lender where loan secured by
commentaries; By-Law 9) 47(LR) 3 mortgage on real property - lawyer’s duty
Client - informed consent to conflict of (r. 3.2-9.8 - 3.2-9.9) 46(LR) 2.9
interest - disclosure 32(LR) 4.1 Client - lending to - acceptable mortgage
Client - informed consent to conflict of and loan transactions (rr. 3.4-33.1 and
interest (r. 1.1-1 and 3.4-2 and commentary, 3.4-33.2 - 3.4-33.3) 39(LR) 11.4
commentary) 32(LR) 4.1 Client - lending to - advertising and
promotion rules (rr. 3.4-33.1 and
Client - initial screening stage 59(LR) 1.1
commentary, 3.4-33.2 - 3.4-33.3) 39(R) 11.4
Client - institution - client’s illegality -
Client - lending to - conflict of interest (r.
lawyer’s duty (r. 3.2-7 - 3.2-8 and
3.4-33.1 and commentary, 3.4-33.2 - 3.4-
commentary)
33.3) 39(LR) 11.4
SEE: “Assisting dishonesty, fraud, crime, 44(R) -
illegal conduct by client” 45(L) 2.4 Client - lending to - definition of “indirectly”
(r. 3.4-33.1 and commentary, 3.4-33.2 -
Client - instructions - changes to 61(LR) 1.4 3.4-33.3) 39(R) 11.4
Client - instructions - difficulty obtaining - Client - lending to - duty of care (r. 3.4-
serious loss of confidence - optional 65(R) - 33.1 and commentary, 3.4-33.2 - 3.4-33.3) 39(LR) 11.4
withdrawal of services 66(L) 2.1
Client - lending to - independent legal
Client - instructions - duty of competence 22(R) 1.4 representation and consent requirements
Client - instructions - to lawyer - cannot (r. 3.4-29(b)(i)) 39(R) 11.4
instruct lawyer to violate Rules 61(LR) 1.4 Client - lending to - required disclosure (r.
Client - instructions - to lawyer - to violate 67(L) 4 3.4-33.1 and commentary, 3.4-33.2 - 3.4-
Rules, By-Laws - mandatory withdrawal of 33.3) 39(R) 11.4
services Client - lending to (r. 3.4-33.1 and 39(LR) 11.4
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BARRISTER & SOLICITOR – PROFESSIONAL RESPONSIBILITY (2019 INDEX SORTED BY PAGE NUMBER)

commentary, 3.4-33.2 - 3.4-33.3) Client - organization - client’s illegality,

crime, fraud, or dishonesty - lawyer’s duty
Client - limitation period - duty to advise 93(R) 3.2
to advise and maybe withdraw / special
Client - limited scope client - duties to -r. obligations (r. 3.2-7 - 3.2-8 and 44(R) -
3.2-1A - 3.2-1A2 and commentaries 17(R) 2.5 commentary) 45(L) 2.4
Client - managing client expectations 62(L) 2 Client - organization - joint retainer 17(R) 2.4
Client - managing client expectations - Client - organization / corp./institution 17(LR) 2.4
duty of competence 22(R) 1.4
Client - payment of legal fees by transfer
Client - managing relationship with client 59(L) 1 of a share, participation, or other interest in
Client - mandatory withdrawal of services 67(L) 4 property or an enterprise (r. 3.4-36) 40(L) 11.6

Client - minor client - lawyer’s duty (r. 3.2-9 Client - payment of legal fees by transfer
and commentary) 45(L) 2.5 of shares or interest in property (r. 3.4-36) 40(L) 11.6

Client - money - appropriation of funds Client - permissible transactions with

from trust (r. 3.6-10; By-Law 9) 54(LR) 2.8 client, requirements - conflict of interest (r.
3.4-28 - 3.4-29 and commentaries) 38(R) 11.3
Client - money - lawyer’s duty - preserve
(s. 3.5 and commentaries; By-Law 9) 48(L) 3.2 Client - personal, sexual, or intimate
relationship with lawyer - conflict of interest
Client - money retainers 51(LR) 1 - other member of firm may represent
Client - mortgagee client - duty to client - (commentary, r. 3.4-1) 40(R) 12.1
reporting on mortgage transaction (r. 3.2- Client - personal, sexual, or intimate
9.8 - 3.2-9.9) 46(LR) 2.9 relationship with lawyer - conflict of interest
Client - mortgagee client - duty to client (r. (commentary, r. 3.4-1) 40(R) 12.1
3.2-9.8 - 3.2-9.9) 46(LR) 2.9 Client - pressure/duress/undue influence -
59(R) - duty to client 45(LR) 2.6
Client - non-engagement 60(L) 1.2 Client - privacy 103(L) - 10 -
Client - non-payment of fees - optional SEE: Privacy 105(L) 10.2.6
withdrawal of services (r. 3.7-3) 66(L) 2.2 Client - property, duties regarding -
Client - official language rights - Aboriginal attempted seizure - privilege (s. 3.5 and
or French languages - duty to client (r. 3.2- 46(R) - commentaries; By-Law 9) 47(LR) 3
2A - 3.2-2B and commentary) 47(L) 2.11 Client - property, duties regarding - duty of
Client - official language rights - French or care (general) (s. 3.5 and commentaries;
Indigenous languages - duty to client (r. 46(R) - By-Law 9) 47(LR) 3
3.2-2A - 3.2-2B and commentary) 47(L) 2.11 Client - property, duties regarding - legal
Client - official language rights - documents - lawyer’s duties in 47(R) -
Indigenous or French languages - duty to 46(R) - safekeeping and recording 48(L) 3.1
client (r. 3.2-2A - 3.2-2B and commentary) 47(L) 2.11 Client - property, duties regarding - original
Client - opponent of current client - client property (e.g. original wills, trust 47(R) -
impermissible to represent (r. 3.4-1, 3.4-3, deeds, etc.) 48(L) 3.1
and 3.7-7) 33(L) 4.3 Client - property, duties regarding - seizure
Client - organization - client’s crime, fraud, - privilege (s. 3.5 and commentaries; By-
dishonesty, or illegality - lawyer’s duty to Law 9) 47(LR) 3
advise and maybe withdraw / special Client - property, duties regarding - seizure
obligations (r. 3.2-7 - 3.2-8 and 44(R) - (s. 3.5 and commentaries; By-Law 9) 47(LR) 3
commentary) 45(L) 2.4 Client - property, duties regarding -
Client - organization - client’s dishonesty, specific duties regarding receiving, storing,
crime, fraud, or illegality - lawyer’s duty to and returning client property (s. 3.5 and 47(L) -
advise and maybe withdraw / special commentaries; By-Law 9) 48(L) 3 - 3.1
obligations (r. 3.2-7 - 3.2-8 and 44(R) - Client - property, duties regarding -
commentary) 45(L) 2.4 standard of care (general) (s. 3.5 and
Client - organization - client’s fraud, crime, commentaries; By-Law 9) 47(LR) 3
dishonesty, or illegality - lawyer’s duty to Client - property, duties regarding - storing 47(R) -
advise and maybe withdraw / special client property - recording and tracking 48(L) 3.1
obligations (r. 3.2-7 - 3.2-8 and 44(R) -
commentary) 45(L) 2.4 Client - property, duties regarding - storing, 47(R) -
recording, and tracking client property 48(L) 3.1
Client - organization - client’s illegality -
lawyer’s duty / special obligation (r. 3.2-7 - Client - property, duties regarding - 47(R) -
3.2-8 and commentary) unrelated to retainer 48(L) 3.1
SEE: “Assisting dishonesty, fraud, crime, 44(R) - Client - property, duties regarding - 47(R) - 3.1
illegal conduct by client” 45(L) 2.4
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BARRISTER & SOLICITOR – PROFESSIONAL RESPONSIBILITY (2019 INDEX SORTED BY PAGE NUMBER)

valuable property 48(L) Client - relationship with client - difficult 62(R) -

Client - property, duties regarding - 47(R) - clients 63(L) 2.2
valuable property - recording requirements 48(L) 3.1 Client - relationship with client - 61(R) -
Client - property, duties regarding - disengagement 62(L) 1.5
valuable property - recording requirements 47(R) - Client - relationship with client -
- trust moneys separate 48(L) 3.1 engagement or non-engagement stage - 59(R) - 1.2 -
Client - property, duties regarding - 47(R) - letters 61(L) 1.3
valuable property - selling or negotiating 48(L) 3.1 Client - relationship with client -
Client - property, duties regarding - 47(R) - implementation stage 61(LR) 1.4
valuable property - trust money - definition 48(L) 3.1 Client - relationship with client - initial
Client - property, duties regarding - screening stage 59(LR) 1.1
valuable property - valuable property 47(R) - Client - relationship with client - managing
record - definition, contents 48(L) 3.1 expectations 62(L) 2
Client - property, duties regarding - Client - relationship with client - managing
valuable property - valuable property stages 59(L) 1
record - does not include non-negotiable 47(R) - Client - relationship with client - 61(R) -
or non-sellable property 48(L) 3.1 termination 62(L) 1.5
Client - property, duties regarding - Client - request to threaten unjustifiable
valuable property - valuable property criminal, quasi-criminal, or regulatory
record - legal documents and trust money 47(R) - proceeding - duty to client (r. 3.2-5 and
excluded 48(L) 3.1 commentary) 44(LR) 2.3
Client - property, duties regarding - Client - required action by lawyer in
valuable property - valuable property 47(R) - permissible transactions with client -
record - list of property it applies to 48(L) 3.1 conflict of interest (r. 3.4-28 - 3.4-29 and
Client - property, duties regarding - commentaries) 38(R) 11.3
valuable property - valuable property 47(R) - Client - retain third party on behalf of -
record - list of property it does not apply to 48(L) 3.1 financial responsibilities (r. 7.1-2 and
Client - property, duties regarding (s. 3.5 47(L) - commentary) 98(R) 6.1
and commentaries; By-Law 9) 48(L) 3 - 3.1
Client - retainer 51(LR) 1
Client - real estate transaction - title
Client - retainer - non-payment - optional
insurance - duty to client (r. 3.2-9.4 - 3.2-
withdrawal of services (r. 3.7-3) 66(L) 2.2
9.7 and commentaries) 46(L) 2.8
60(L) -
Client - real property transaction - title
Client - retainer letter 61(L) 1.3
insurance - duty to client (r. 3.2-9.4 - 3.2-
9.7 and commentaries) 46(L) 2.8 Client - returning documents to client
SEE: “Client - client property - documents 48(R) -
Client - receipt of client settlement funds -
prepared by lawyer” 49(R) 3.3
written confirmation (r. 3.6-1.1) 53(R) 2.6
Client - screening stage 59(LR) 1.1
Client - receiving money from 113(L) 5
Client - selling loan or mortgage to client
Client - receiving money from - cash - 113(R) -
(r. 3.4-33.1 and commentary, 3.4-33.2 -
restrictions 114(L) 5.1
3.4-33.3)
Client - receiving money from - clearance 114(R) - SEE: “Client - lending to” 39(LR) 11.4
periods 115(L) 5.3
Client - serious loss of confidence -
Client - receiving money from - credit and withdrawal of services optional (r. 3.7-2 65(R) -
debit card 114(LR) 5.2 and commentary) 66(L) 2.1
103(R) - 61(R) -
Client - referral - privacy concerns 104(L) 10.2.2 Client - termination of relationship 62(L) 1.5
113(R) - Client - transactions with client -
Client - refund - cash payment 114(L) 5.1 independent legal advice, representation,
Client - refuses to accept and act on and consent - consent requirement (r 3.4- 38(R) -
advice on a significant point - serious loss 29(b)(i) - 3.4-29(b)(v)) 39(L) 11.3.1
of confidence - optional withdrawal of 65(R) - Client - transactions with client -
services 66(L) 2.1 independent legal advice, representation,
Client - relationship with client - client’s and consent - When independent legal
expectations 62(R) 2.1 advice, representation, and consent is 38(R) -
required (r. 3.4-29(b)(i) -3.4-29(b)(v)) 39(L) 11.3.1
63(LR) -
Client - relationship with client - Client - transactions with client - 38(R) - 11.3.1
communication 64(LR) 2.3 independent legal advice, representation, 39(L)
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BARRISTER & SOLICITOR – PROFESSIONAL RESPONSIBILITY (2019 INDEX SORTED BY PAGE NUMBER)

and consent - written confirmation or Client - verification - documentation

written denial by client (r. 3.4-29(b)(i) - 3.4- required when client is an individual (By-
29(b)(v)) Law 7.1, ss. 22(1)(b), 23(4) - (5), and (7)) 19(L) 3.2.1
Client - transactions with client - Client - verification - documentation
independent legal advice, representation, 38(R) - required when client is an organization
and consent (r. 3.4-29(b)(i) -3.4-29(b)(v)) 39(L) 11.3.1 (By-Law 7.1, ss. 22(1)(b), 23(4), and (6) -
Client - trust funds - permitted withdrawals (7)) 19(R) 3.2.2
(r. 3.6-10; By-Law 9) 54(L) 2.8 Client - verification - exemptions to the
Client - under disability or vulnerable - requirement (By-Law 7.1, ss. 22 (2) - (4)) 18(L) 3
contingency fees (r. 3.6-2 and Client - verification - previous identification
commentary) 56(R) 5 and verification (By-Law 7.1,ss. 23(2.1),
Client - under duress/undue (3), and (11) - (12)) 20(L) 3.4
influence/pressure - client’s wishes - Client - verification - records (copies of
lawyer’s duties 45(LR) 2.6 documents and duration required to keep
Client - under duress/undue them) (By-Law 7.1,s. 23(13) - (14)) 20(R) 3.5
influence/pressure - lawyer’s duties 45(LR) 2.6 Client - verification - requirement (client
Client - under duress/undue and third party) (By-Law 7.1, Part III) 18(L) 3
influence/pressure - vulnerability - validity Client - verification - source documents
of legal instruments - client’s wishes - when client is an individual (By-Law 7.1,
lawyer’s duties 45(LR) 2.6 ss. 22(1)(b), 23(4) - (5), and (7)) 19(L) 3.2.1
Client - under duress/undue Client - verification - source documents
influence/pressure - vulnerability - validity when client is organization - identity of
of legal instruments - client’s wishes - individual instructing on behalf of
voluntariness 45(LR) 2.6 organization (By-Law 7.1, ss. 22(1)(b),
Client - Undue influence/duress/pressure - 23(4), and (6) - (7)) 19(R) 3.2.2
duty to client 45(LR) 2.6 Client - verification - when not face-to-face 19(R) -
Client - unlawful client expectations - duty (By-Law 7.1, ss. 23(8) - (11)) 20(L) 3.3
of honesty and candour (rr. 3.1-2 43(R) - Client - verification - when verification of
commentary, 3.2-2 and commentary) 44(L) 2.1 identity is required (By-Law 7.1, ss. 22 and
Client - unreasonable client expectations - 23(4)) 19(L) 3.2
duty of honesty and candour (rr. 3.1-2 43(R) - Client - verification - withdrawal during
commentary, 3.2-2 and commentary) 44(L) 2.1 verification - client illegal or dishonest
Client - unreasonable or uncooperative conduct (By-Law 7.1,s. 24) 20(R) 3.6
(persistently, in a material respect) - Client - vulnerable client - duress, undue
serious loss of confidence - optional 65(R) - influence, pressure - duty to client 45(LR) 2.6
withdrawal of services 66(L) 2.1 Client - vulnerable/disabled - authorized
Client - untruthful - serious loss of representatives/litigation guardians (r. 3.2-
confidence - optional withdrawal of 65(R) - 9 and commentary) 45(L) 2.5
services 66(L) 2.1 Client - vulnerable/disabled - duty to client
Client - valuable property - lawyer’s duty (r. 3.2-9 and commentary) 45(L) 2.5
SEE: “Client - property, duties regarding - 47(R) -
Client - what do clients want 62(R) 2.1
valuable property” 48(L) 3.1
Client - withdrawal of services - criminal -
Client - verification - client is an individual -
permission of the court 67(L) 3.3
timing (By-Law 7.1, ss. 22(1)(b), 23(4) -
(5), and (7)) 19(L) 3.2.1 Client - withdrawal of services - manner of
withdrawal 68(LR) 6
Client - verification - client is an individual
(By-Law 7.1, ss. 22(1)(b), 23(4) - (5), and Client acknowledgement of referral fee -
(7)) 19(L) 3.2.1 lawyer to retain documents 120(R) 6.4.3
Client - verification - client is an Client admissions - Criminal proceeding -
organization - timing [60 days] (By-Law defence counsel - duties (commentary r.
7.1, ss. 22(1)(b), 23(4), and (6) - (7)) 19(R) 3.2.2 5.1-1) 82(LR) 2.1
Client - verification - client is an Client bill - copy 116(L) 6.2.3
organization (By-Law 7.1, ss. 22(1)(b), Client Communication - cultural
23(4), and (6) - (7)) 19(R) 3.2.2 competence 8(LR) 6.1
Client - verification - client or third party Client consent - conflict of interest -
cannot meet lawyer in person (By-Law 7.1, 19(R) - consent in advance (r. 1.1-1 and r. 3.4-2,
ss. 23(8) - (11)) 20(L) 3.3 commentary) 32(R) 4.1.1
Client - verification - definition of “third
Client Consent - delegation to affiliated 101(L) 7.6
party” (By-Law 7.1, Part III) 18(L) 3
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BARRISTER & SOLICITOR – PROFESSIONAL RESPONSIBILITY (2019 INDEX SORTED BY PAGE NUMBER)

entity Client file - closing 94(L) 3.3

Client consent - disclosure (r. 1.1-1 and Client file - closing - destruction of file 94(LR) 3.3
3.4-2 and commentary) 32(LR) 4.1
Client file - closing - disposing of contents 94(LR) 3.3
Client definition 15(R) 1.2
Client file - closing - if contain documents 48(R) -
Client documents - client file - duty to keep 48(R) - or property 49(R) 3.3
out of sight 49(R) 3.3
Client file - closing - prior to - lawyer
Client documents - client file - duty to 48(R) - should 94(L) 3.3
preserve 49(R) 3.3
Client file - closing - retrieval 94(L) 3.3
Client documents - client file - duty to
return files belonging to client at end of 48(R) - Client file - closing - returning client 48(R) -
retainer 49(R) 3.3 materials 49(R) 3.3
Client documents - client file - duty to Client file - closing - storage 94(LR) 3.3
return files belonging to client at end of
Client file - closing - when to 94(L) 3.3
retainer - files belonging to client/to be 48(R) -
returned - definition 49(R) 3.3 92(L) - 3.1
93(L)
Client documents - client file - duty to
Client file - conflict checking (r. 3.4-1-3.4-3
return files belonging to client at end of
and commentaries) 42(LR) 13
retainer - files belonging to client/to be
returned - lawyer should copy for their 48(R) - Client file - destroying closed file 94(LR) 3.3
benefit (complaints) 49(R) 3.3 Client file - documents to be retained after 94(R) -
Client documents - client file - duty to closing 95(L) 3.4
return files belonging to client at end of 92(L) -
retainer - files belonging to client/to be Client file - file management 95(L) 3 - 3.4
returned - lawyer should copy for their 48(R) -
benefit (complaints) - cost 49(R) 3.3 Client file - lawyer’s duties to return 48(R) -
documents 49(R) 3.3
Client documents - client file - duty to
return files belonging to client at end of Client file - maintaining 93(LR) 3.2
retainer - files belonging to client/to be 48(R) -
Client file - naming 93(LR) 3.2
returned - list 49(R) 3.3
Client documents - client file - duty to Client file - opening 93(L) 3.2
return files belonging to client at end of 93(L) -
retainer - files belonging to lawyer/need Client file - organization 94(L) 3.2
NOT be returned to client - copy for client 48(R) -
Client file - retaining closed file 94(LR) 3.3
on request at lawyer’s discretion 49(R) 3.3
94(R) -
Client documents - client file - duty to
Client file - retaining documents 95(L) 3.4
return files belonging to client at end of
retainer - files belonging to lawyer/need Client file - role of filing system 93(LR) 3.2
NOT be returned to client - copy for client 48(R) - 93(L) -
on request at lawyer’s discretion - cost 49(R) 3.3 Client file - storage 94(L) 3.2
Client documents - client file - duty to Client file - withdrawal of services -
return files belonging to client at end of transfer or return 68(R) 6.2
retainer - files belonging to lawyer/need 48(R) -
NOT be returned to client - list 49(R) 3.3 Client file management 92(L) 3
Client documents - client file - returning 48(R) - Client funds - trust funds 109(LR) 4
client documents - duty to client 49(R) 3.3 Client information - lawyer’s duties -
Client documents - lawyer’s duties - 47(R) - attempted seizure by external authority -
storing, recording, and tracking 48(L) 3.1 privilege (s. 3.5 and commentaries; By-
Client documents - returning client 48(R) - Law 9) 47(LR) 3
documents - duty to client 49(R) 3.3 Client information - lawyer’s duties - claims
Client documents - storing, recording, and 47(R) - by third parties- privilege (s. 3.5 and
tracking 48(L) 3.1 commentaries; By-Law 9) 47(LR) 3
Client expectations - discussions before Client information - lawyer’s duties - duty
signing retainer - lawyer’s duties 51(L) Intro of care (general) (s. 3.5 and
commentaries; By-Law 9) 47(LR) 3
Client expectations - discussions before
signing retainer - lawyer’s duties - costs 51(L) Intro Client information - lawyer’s duties -
seizure by external authority - privilege (s.
Client expectations - discussions before 3.5 and commentaries; By-Law 9) 47(LR) 3
signing retainer - lawyer’s duties - scope of
services 51(L) Intro Client information - lawyer’s duties - 47(LR) 3
standard of care (general) (s. 3.5 and
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BARRISTER & SOLICITOR – PROFESSIONAL RESPONSIBILITY (2019 INDEX SORTED BY PAGE NUMBER)

commentaries; By-Law 9) Client property - documents prepared by

Client instructions - client under lawyer - duty to return files belonging to
duress/undue influence/pressure - duty to client at end of retainer - files belonging to
client 45(LR) 2.6 client/to be returned - lawyer should copy 48(R) -
for their benefit (complaints) 49(R) 3.3
Client instructions - diminished capacity -
lawyer’s duties (r. 3.2-9 and commentary) 45(L) 2.5 Client property - documents prepared by
lawyer - duty to return files belonging to
Client liabilities - trust account 118(R) 6.3.5(b) client at end of retainer - files belonging to
Client money - lawyer’s duties - receiving, client/to be returned - lawyer should copy 48(R) -
holding, disbursing client money - for their benefit (complaints) - cost 49(R) 3.3
examples of types of money (s. 3.5 and Client property - documents prepared by
commentaries; By-Law 9) 48(L) 3.2 lawyer - duty to return files belonging to
Client money - lawyer’s duties - receiving, client at end of retainer - files belonging to 48(R) -
holding, disbursing client money - client/to be returned - list 49(R) 3.3
requirements (s. 3.5 and commentaries; Client property - documents prepared by
By-Law 9) 48(L) 3.2 lawyer - duty to return files belonging to
Client money - lawyer’s duties - receiving, client at end of retainer - files belonging to
holding, disbursing client money (s. 3.5 lawyer/need NOT be returned to client -
and commentaries; By-Law 9) 48(L) 3.2 copy for client on request at lawyer’s 48(R) -
discretion 49(R) 3.3
Client money - lawyer’s duties - trust
account (s. 3.5 and commentaries; By-Law Client property - documents prepared by
9) 48(L) 3.2 lawyer - duty to return files belonging to
client at end of retainer - files belonging to
Client money - lawyer’s duties (s. 3.5 and lawyer/need NOT be returned to client -
commentaries; By-Law 9) 48(L) 3.2 copy for client on request at lawyer’s 48(R) -
Client money - trust account - lawyer’s discretion - cost 49(R) 3.3
duties (s. 3.5 and commentaries; By-Law Client property - documents prepared by
9) 48(L) 3.2 lawyer - duty to return files belonging to
Client property - client money - lawyer’s client at end of retainer - files belonging to 48(R) -
duties - receiving, holding, disbursing lawyer/need NOT be returned to client - list 49(R) 3.3
client money - examples of types of money Client property - lawyer’s duties -
(s. 3.5 and commentaries; By-Law 9) 48(L) 3.2 attempted seizure by external authority -
Client property - client money - lawyer’s privilege (s. 3.5 and commentaries; By-
duties - receiving, holding, disbursing Law 9) 47(LR) 3
client money - requirements (s. 3.5 and Client property - lawyer’s duties - duty of
commentaries; By-Law 9) 48(L) 3.2 care (general) (s. 3.5 and commentaries;
Client property - client money - lawyer’s By-Law 9) 47(LR) 3
duties - receiving, holding, disbursing Client property - lawyer’s duties - legal
client money (s. 3.5 and commentaries; documents - lawyer’s duties in 47(R) -
By-Law 9) 48(L) 3.2 safekeeping and recording 48(L) 3.1
Client property - client money - lawyer’s Client property - lawyer’s duties - original
duties - trust account (s. 3.5 and client property (e.g. original wills, trust 47(R) -
commentaries; By-Law 9) 48(L) 3.2 deeds, etc.) 48(L) 3.1
Client property - client money - lawyer’s Client property - lawyer’s duties - seizure
duties (s. 3.5 and commentaries; By-Law by external authority - privilege (s. 3.5 and
9) 48(L) 3.2 commentaries; By-Law 9) 47(LR) 3
Client property - definition Client property - lawyer’s duties - specific
SEE: “Bailment - client property - lawyer’s duties regarding receiving, storing, and
duties” 47(LR) 3 returning client property (s. 3.5 and 47(L) -
Client property - documents prepared by 48(R) - commentaries; By-Law 9) 48(L) 3 - 3.1
lawyer 49(R) 3.3 Client property - lawyer’s duties - standard
Client property - documents prepared by 48(R) - of care (general) (s. 3.5 and
lawyer - duty to keep out of sight 49(R) 3.3 commentaries; By-Law 9) 47(LR) 3
Client property - documents prepared by Client property - lawyer’s duties - storing 47(R) -
lawyer - duty to return files belonging to 48(R) - client property 48(L) 3.1
client at end of retainer 49(R) 3.3 Client property - lawyer’s duties - storing 47(R) -
Client property - documents prepared by client property - recording and tracking 48(L) 3.1
lawyer - duty to return files belonging to Client property - lawyer’s duties - unrelated 47(R) -
client at end of retainer - files belonging to 48(R) - to retainer 48(L) 3.1
client/to be returned - definition 49(R) 3.3
Client property - lawyer’s duties - valuable 47(R) - 3.1
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BARRISTER & SOLICITOR – PROFESSIONAL RESPONSIBILITY (2019 INDEX SORTED BY PAGE NUMBER)

property 48(L) Client trust ledger account - overdrawn or 114(R) -

Client property - lawyer’s duties - valuable 47(R) - short 115(L) 5.3
property - recording requirements 48(L) 3.1 Client trust listing - steps in process 118(R) 6.3.5(b)
Client property - lawyer’s duties - valuable Client trust listing - trust account - record
property - recording requirements - trust 47(R) - keeping requirements 118(R) 6.3.5(b)
moneys separate 48(L) 3.1
Client trust listing total - monthly trust
Client property - lawyer’s duties - valuable 47(R) - comparison 117(R) 6.3.5
property - selling or negotiating 48(L) 3.1
47(R) -
Client property - lawyer’s duties - valuable 47(R) - Client trust moneys - definition 48(L) 3.1
property - trust money - definition 48(L) 3.1
Client's general ledger 115(R) 6.2
Client property - lawyer’s duties - valuable
property - valuable property record - 47(R) - Clients - duties when an unrepresented 17(R) -
definition, contents 48(L) 3.1 party is involved 18(L) 2.6
Client property - lawyer’s duties - valuable Clients - third parties who are not your
property - valuable property record - does client 17(L) 2.3
not include non-negotiable or non-sellable 47(R) - Clients - who lack capacity to give
property 48(L) 3.1 instructions - authorized representatives 17(L) 2.2
Client property - lawyer’s duties - valuable Clients - with limited scope - r. 3.2-1A-3.3-
property - valuable property record - legal 47(R) - 1A.2 Commentaries 17(R) 2.5
documents and trust money excluded 48(L) 3.1
Clients' general ledger - optional 116(R) 6.2.4
Client property - lawyer’s duties - valuable
property - valuable property record - list of 47(R) - Clients' trust ledger - 10 years 117(R) 6.3.3
property it applies to 48(L) 3.1 Clients' trust ledger - trust account 116(R) 6.3
Client property - lawyer’s duties - valuable Clients’ general ledger (optional) - general
property - valuable property record - list of 47(R) - account 6.2.4
property it does NOT apply to 48(L) 3.1 116(R)
Client property - lawyer’s duties (s. 3.5 and 47(L) - Sample - Figure 2 - Clients’ General
commentaries; By-Law 9) 48(L) 3 - 3.1 Ledger 123 7
Client property - legal documents - Clients’ general ledger (optional) - record
lawyer’s duties in safekeeping and 47(R) - keeping requirements 6.2.4
recording 48(L) 3.1 116(R)
Sample - Figure 2 - Clients’ General
Client property - record keeping
Ledger 123 7
requirements - valuable property record
(10 years) 120(R) 6.4.4 48(R) -
Closed client file - returning documents 49(R) 3.3
Sample - Figure 7 - Valuable Property Closing client file - destroying 94(LR) 3.3
Record 127 7
Closing client file - documents to be 94(R) -
Client property - storing, recording, and 47(R) - retained after closing 95(L) 3.4
tracking - lawyer’s duties 48(L) 3.1
Closing client file - retaining 94(LR) 3.3
Client property - trust money - lawyer’s
duties in safekeeping and recording (s. 3.5 48(R) -
and commentaries; By-Law 9) 48(L) 3.2 Closing client file - returning documents 49(R) 3.3
Client property - valuable property - 47(R) - Closing letter - termination of relationship 61(R) -
lawyer’s duty 48(L) 3.1 with client 62(L) 1.5
Client service - Communications Duties 22(LR) 1.4 Closing of client file 94(L) 3.3
Client service and communication - duty of Closing, retaining, and disposing of client
competence 22(LR) 1.4 files 94(LR) 3.3
Client Service Centre - Law Society 1(R) 1.4 CN Rail v McKercher - Bright Line Rule -
cannot act for concurrent clients that are
Client Services - inclusion 11(R) 8.1 adverse in interest 33(LR) 5.2
Client Services - inclusion - Co-signature authorized to sign -
accommodation examples 12(L) 8.1 individuals authorized to withdraw 112(R) 4.3.3
Client Services - inclusion - practice 103(R) -
management examples 11(R) 8.1 Collection of personal info - privacy 104(L) 10.2.2
Client trust ledger (10 years) - trust Common charges - disbursements
account 117(R) 6.3.3 SEE: Disbursements 52(L) 2

Sample - Figure 4 - Clients’ Trust Ledger 125 7 Communication - duty of courtesy and 75(L) 3.2
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BARRISTER & SOLICITOR – PROFESSIONAL RESPONSIBILITY (2019 INDEX SORTED BY PAGE NUMBER)

civility Comparison - reconcilied trust bank

(r. 7.2-4) balance with client trust lising total 117(R) 6.3.5
Communication - duty to respond promptly 118(R) -
(r. 7.2-5) 75(L) 3.2 Comparison process 119(L) 6.3.5(c)
63(LR) - Compensation - from title insurer, agent, or
Communication - ensuring client intermediary - prohibited (r. 3.2-9.4 - 3.2-
understands 64(LR) 2.3 9.7 and commentaries) 46(L) 2.8
Communication - lawyer-client - timely and Compensation - lawyer - from title insurer,
effective 63(R) 2.3 agent, or intermediary - prohibited (r. 3.2-
Communication - own witness - cross 9.4 - 3.2-9.7 and commentaries) 46(L) 2.8
examination 85(R) 4.3.1 Compensation - received from title insurer
Communication - own witness-examination for referral - prohibited (r. 3.2-9.5) 56(L) 4.4
in chief 85(R) 4.3.1 23(R) -
Communication - represented person - Competence - civil society organizations 24(L) 1.8
potential witness 85(L) 4.2 Competence - client language rights -
63(LR) - lawyer providing services in unfamiliar
language (r. 3.2-2A - 3.2-2B and 46(R) -
Communication - technologies 64(LR) 2.3 commentary) 47(L) 2.11
Competence - client service and
Communication - technology - assistance 97(R) 5.2
communication 22(LR) 1.4
Communication - with client - factors to
Competence - client service and
consider 63(R) 2.3
communication - client expectations 22(LR) 1.4
Communication - with media - duty (s. 7.5) 77(R) 4.3 Competence - client service and
Communication - with person associated communication - instructions 22(R) 1.4
with represented organization - rr. 7.2-8- 75R) - Competence - client service and
7.2-8.2 76(L) 3.3.1 communication - retainer 22(R) 1.4
Communication - with represented Competence - duty of - cultural 22(R) -
corporation or other organization - rr. 7.2-8 75(R) - competence 23(L) 1.5
- 7.2-8.2 76(L) 3.3.1
Competence - duty of - general
Communication - with represented 75(L) - 3.3 - (r. 3.1-1 - 3.1-2 and commentary and r.
organization or person - rr. 7.2-6 - 7.2-8.2 76(L) 3.3.1 3.7-7) 21(L) 1
Communication - with represented
Competence - duty of - judgment 22(L) 1.3
persons or organizations - second opinion
(r. 7.2-7 and commentary) 75(R) 3.3 Competence - duty of - judgment -
deliberation 22(L) 1.3
Communication - with represented
persons or organizations, second opinions Competence - duty of - judgment -
- duty (r. 7.2-6 - 7.2-7 and commentary) 75(LR) 3.3 intellectual capacity 22(L) 1.3
Communication - with witness giving Competence - duty of - knowledge -
evidence-consent 86(L) 4.3.3 client’s matter - how to accomplish 21(R) 1.1
Communication - witness - best practice 86(L) 4.3.3 Competence - duty of - knowledge - legal
principles 21(R) 1.1
Communication - witness - unsympathetic 86(L) 4.3.2
Competence - duty of - knowledge -
Communication - witness giving evidence substantive law 21(R) 1.1
(r. 5.4-2) 85(LR) 4.3
Competence - duty of - lawyer not
Communication with lawyer’s own witness competent to handle matter - mandatory
giving evidence 85(R) 4.3.1 withdrawal of services (r. 3.7-7 and
Communication- with witness giving commentary) 67(L) 4
evidence - avoid communication 80(L) 4.3.3 Competence - duty of - requirement 21(L) 1
85(R) -
Competence - duty of - skills 22(L) 1.2
Communication- witness-sympathetic 86(L) 4.3.2
Competence - if not competent - withdraw 21(R) 1
Communications duties - client service 22(LR) 1.4
Competence - language of lawyer’s
Communications with jurors (r. 5.5-1, 5.5-
service provision to clients - client’s
4) 86(R) 5.1
language rights (r. 3.2-2A - 3.2-2B and 46(R) -
Comparison - monthly trust comparison commentary) 47(L) 2.11
(10 years) - record keeping requirements 118(R) 6.3.5
Competence - language rights of client - 46(R) - 2.11
lawyer providing services in unfamiliar 47(L)
Sample - Figure 5 - Monthly Trust
language (r. 3.2-2A - 3.2-2B and
Comparison 126 7
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BARRISTER & SOLICITOR – PROFESSIONAL RESPONSIBILITY (2019 INDEX SORTED BY PAGE NUMBER)

commentary) of services optional (r. 3.7-2 and

Competence - lawyer providing services in commentary) 66(L)
unfamiliar official language - client’s Confidential Info-prospective client 15(LR) 1.1
language rights (r. 3.2-2A - 3.2-2B and 46(R) -
Confidential information - lawyer must
commentary) 47(L) 2.11
open file upon receipt of confidential info 93(R) 3.2
Competence - minimum standards - failure
Confidentiality - acting against former
- discipline 21(L) 1
clients - conflict of interest 33(R) 6
Competence - minimum standards - six
Confidentiality - civil society organizations
areas 21(L) 1
- duty to clients 26(LR) 2.4
Competence - obligation - By-law 6.1 23(LR) 1.7 Confidentiality - client information - literary
Competence - obligation - staying current 23(LR) 1.7 works by lawyer (r. 3.3-1, commentary
11.1) 29(R) 6.1
Competence - Practice Management 23(L) 1.6
Confidentiality - client information -
Competence - professional development - publications by lawyer (r. 3.3-1,
equality, diversity and inclusion training 23(R) 1.7.1 commentary 11.1) 29(R) 6.1
Competence - Professional Development - Confidentiality - conflict of interest - cannot
adapting to change 23(LR) 1.7 disclose confidential information 32(R) 4.1
Competence - quality of service - r. 3.2-1 Confidentiality - conflict of interest -
and commentary 24(R) 2 transfer between law firms - articling
Competence - standards in s.41 of LSA 21(L) 1 students, government lawyers, in-house
counsel (r. 3.4-17 - 3.4-23 and
Competence and Professional commentaries) 37(LR) 10
Development 3(L) 2.3
Confidentiality - conflict of interest -
Competent lawyer - factors to consider 21(LR) 1 transfer between law firms (r. 3.4-17 - 3.4-
Competing duties - conflict of interest (r. 23 and commentaries) 37(LR) 10
1.1-1 and 3.4-1 and commentary) 31(L) 2 Confidentiality - definition 25(L) 1
Complaint - regulatory authority - threaten Confidentiality - disclosure - justified 26(R) -
proceedings or complaint - duty to client (r. disclosure (required by law) (r. 3.3-1.1) 27(LR) 4 - 4.1
3.2-5) 44(LR) 2.3
Confidentiality - disclosure - permitted
Complaints - Enforcement Departments 3(R) 2.4 disclosure - to defend against allegations
Complaints - hearing panel - remedies 3(R) 2.4 (r. 3.3-4) 28(L) 4.3

Complaints - informal resolutions 3(R) 2.4 Confidentiality - disclosure - permitted

disclosure - to detect and resolve conflicts
Complaints - Intake and Resolution of interests (r. 3.3-7 and commentary) 28(R) 4.6
Department 3(R) 2.4
Confidentiality - disclosure - permitted
Complaints - Lawyers’ obligation to disclosure - to establish or collect fees (r.
respond and communicate with Law 3.3-5) 28(L) 4.4
Society 3(R) 2.4
Confidentiality - disclosure - permitted
Complaints - Proceeding Authorization disclosure - to prevent death or serious 27(R) -
Committee (PAC) 3(R) 2.4 bodily harm (r. 3.3-3 and commentary) 28(L) 4.2
Complaints - Proceedings Authorization Confidentiality - disclosure - permitted
Committee - Hearing Panel 3(R) 2.4 disclosure - to secure legal advice about
Complaints - serious allegations 3(R) 2.4 lawyer’s proposed conduct (r. 3.3-6) 28(R) 4.5
Confidentiality - disclosure - permitted
Complaints & Compliance Department 3(L) 2.4
disclosure [NOT required] (prevent death
Complaints about a lawyer or paralegal 3(R) 2.4 or serious bodily harm, defend against
Complaints, investigations, discipline, and allegations, collect fees, secure legal
appeals 3(R) 2.4 advice, or detect/resolve conflicts of
interests) - conditions outlined by r. 3.3-3 - 27(R) - 4.2 -
Complete and Prompt Response - duty to 3.3-7 must be satisfied 28(R) 4.6
Law Society (r. 7.1-1) 71(LR) 1.1
Confidentiality - disclosure - security of
Compliance and reporting requirements - court facilities (r. 5.6-3 and commentary) 29(LR) 5.2
financial responsibilities (By-Laws 8 and 9;
Law Society Act, s. 57) 99(L) 6.3 Confidentiality - disclosure - with client
authority (express or inferred) (r. 3.3-1 and
Components - trust account 116(R) 6.3 commentary) 26(R) 3
Conduct unbecoming a barrister or Confidentiality - discussion of client 29(R) -
solicitor - definition (r. 1.1-1) 72(R) 1.5 matters in office (commentary r. 3.3-1) 30(LR) 6.2
Confidence - serious loss of - withdrawal 65(R) - 2.1
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BARRISTER & SOLICITOR – PROFESSIONAL RESPONSIBILITY (2019 INDEX SORTED BY PAGE NUMBER)

Confidentiality - discussion of client 29(R) - privilege)

matters in public (commentary r. 3.3-1) 30(LR) 6.2 Confidentiality - scope of information that 25(R) -
Confidentiality - duration of duty must be protected 26(L) 2.1
(perpetual) 26(L) 2.2 97(R) -
25(L) - Confidentiality - technology 98(L) 5.3
Confidentiality - duty - r. 3.3-1 26(L) 2 - 2.3 Confidentiality - technology - use of
Confidentiality - duty owed to every client technology in providing services 97(L) 5.1
(prospective, current, former) 26(L) 2.3 Confidentiality - transfer between law firms
Confidentiality - duty to all clients of firm - - conflict of interest - articling students,
owed by all firm members 26(L) 2.3 government lawyers, in-house counsel (r.
Confidentiality - duty to report lawyer 3.4-17 - 3.4-23 and commentaries) 37(LR) 10
misconduct (rr. 3.3-1(c) and 7.1-3 and Confidentiality - transfer between law firms
commentary) 29(R) 5.3 - conflict of interest (r. 3.4-17 - 3.4-23 and
commentaries) 37(LR) 10
Confidentiality - joint clients 16(R) 2.1
Confidentiality - upon withdrawal (r. 3.3-1
Confidentiality - justified disclosure by law 26(R) -
and commentary) 68(R) 6.1
(without client consent) (r. 3.3-1.1) 27(LR) 4 - 4.1
Confidentiality - literary works by the Confidentiality - vs. Privilege 25(L) 1
lawyer (r. 3.3-1, commentary 11.1) 29(R) 6.1 Confidentiality - when duty arises (first
Confidentiality - mandatory (justified) contact) 26(L) 2.2
disclosure by law (without client consent) Confidentiality - whistleblowing
(r. 3.3-1.1) 27(LR) 4.1 (organizations) (r. 3.2-8 and 3.3-3 and
commentaries) 29(L) 5.1
Confidentiality - mediation 77(R) 5.4
Confidentiality - medical-legal report - duty Confidentiality - who owes the duty 26(L) 2.3
to client - disclosure to client (r. 3.2-9.1 - 45(R) - Confirmation of withdrawal of service 68(R) 6.2
3.2-9.3 and commentary) 46(L) 2.7
Conflict check - process (r. 3.4-1-3.4-3 and 92(L) -
Confidentiality - medical-legal report - duty commentaries) 93(L) 3.1
to client (r. 3.2-9.1 - 3.2-9.3 and
Conflict check - stages of file, new lawyer
commentary) 45(R) 2.7
or new party 42(R) 13
Confidentiality - office - sharing
Conflict check - timing of check (r. 3.4-1- 92(R) -
arrangements with other lawyers 29(R) -
3.4-3 and commentaries) 93(L) 3.1
(commentary r. 3.3-1) 30(LR) 6.2
Conflict check - when to check - stages of
Confidentiality - organization as client -
file, new lawyer or new party 42(R) 13
“whistle blowing” (r. 3.2-8 and 3.3-3 and
commentaries) 29(L) 5.1 Conflict check (r. 3.4-1-3.4-3 and
commentaries) 92(L) -
Confidentiality - organization as client -
SEE: “Client file” 93(L) 3.1
engages or intends to engage in illegal
activity - “whistle blowing” (r. 3.2-8 and Conflict checking - content of records (r. 92(R) -
3.3-3 and commentaries) 29(L) 5.1 3.4-1-3.4-3 and commentaries) 93(L) 3.1
Confidentiality - other obligations generally 28(R) 5 Conflict checking - manual and
computerized (r. 3.4-1-3.4-3 and 92(R) -
Confidentiality - permitted disclosure - to commentaries) 93(L) 3.1
prevent death or serious bodily harm
(without client authority) (r. 3.3-3 and 27(R) - 92(R) - 3.1
commentary) 28(L) 4.2 93(L)
Conflict checking - practice management
Confidentiality - prohibited use or (r. 3.4-1-3.4-3 and commentaries) 42(R) 13
disclosure of client information - for literary
works (r. 3.3-1, commentary 11.1) 29(R) 6.1 92(R) - 3.1
93(L)
Confidentiality - prohibited use or Conflict checking - what to look for (r. 3.4-
disclosure of client information 1-3.4-3 and commentaries) 42(R) 13
(commentary r. 3.3-1) 29(R) 6
Conflict checking system - method of
Confidentiality - prospective clients - when checking - when to check 42(R) 13
duty arises 26(L) 2.2
Conflict names - conflict check (r. 3.4-1- 92(R) -
Confidentiality - publications by the lawyer 3.4-3 and commentaries) 93(L) 3.1
(r. 3.3-1, commentary 11.1) 29(R) 6.1
Conflict of interest - accused - lawyer
Confidentiality - required (justified) assisting accused with release from
disclosure by law (without client consent) custody - exception for family (r. 3.4-40 - 41(R) -
(r. 3.3-1.1) 27(LR) 4.1 3.4-41) 42(L) 12.5
Confidentiality - scope of duty (not 25(L) 1
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Conflict of interest - accused - lawyer commentary and r. 3.4-16.1 - 3.4-16.1.1)

assisting accused with release from Conflict of interest - affiliations (r. 3.1-2,
custody - reason for prohibition (r. 3.4-40 - 41(R) - 3.4-11.1 - 3.4-11.3 and commentary and r. 40(R) -
3.4-41) 42(L) 12.5 3.4-16.1.1) 41(L) 12.2
Conflict of interest - accused - lawyer Conflict of interest - affiliations (r. 3.4-11.1
assisting accused with release from 41(R) - - 3.4-11.3 and commentary and r. 3.4-16.1 40(R) -
custody (r. 3.4-40 - 3.4-41) 42(L) 12.5 - 3.4-16.1.1) 41(L) 12.2
Conflict of interest - acting against former 33(R) - Conflict of interest - articling student
clients (r. 3.4-10-11) 34(L) 6 transferring between firms (r. 3.4-17 - 3.4-
Conflict of Interest - acting directly adverse 23 and commentaries) 37(LR) 10
to the immediately legal interests of a Conflict of interest - avoiding conflicts
current client 33(LR) 5.2 (r.3.4-1 and commentary) 31(R) 3
Conflict of interest - acting for borrower Conflict of interest - bailing out client or
and lender (joint retainer) - where lender in supervising when released - exception for 41(R) -
business of lending money (r. 3.4-12 - 3.4- 35(R) - family (r. 3.4-40 - 3.4-41) 42(L) 12.5
16 and commentaries) 36(L) 8.2
Conflict of interest - bailing out client or
Conflict of interest - acting for borrower supervising when released - reason for 41(R) -
and lender (r. 3.4-12 - 3.4-16 and 35(R) - prohibition (r. 3.4-40 - 3.4-41) 42(L) 12.5
commentaries) 36(L) 8.2
Conflict of interest - bailing out client or
Conflict of interest - acting for both supervising when released (r. 3.4-40 - 3.4- 41(R) -
borrower and lender (joint retainer) - 41) 42(L) 12.5
disclosure of material information (r. 3.4-12
- 3.4-16 and commentaries) 36(L) 8.2 Conflict of interest - borrowing from clients
(r. 3.4-27 and 3.4-28.1) 38(LR) 11.1
Conflict of interest - acting for both
borrower and lender (joint retainer) - where Conflict of interest - bright-line rule -
lender in business of lending money (r. 35(R) - current client - directly adverse 33(LR) 5.2
3.4-12 - 3.4-16 and commentaries) 36(L) 8.2 Conflict of interest - business transactions
Conflict of interest - acting for both with client - definition (r. 3.4-27 - 3.4-28) 38(L) 11
borrower and lender (joint retainer) (r. 3.4- 35(R) - Conflict of interest - business transactions
12 - 3.4-16 and commentaries) 36(L) 8.2 with client (r. 3.4-27 - 3.4-28) 38(L) 11
Conflict of interest - acting for clients in Conflict of interest - business with client (r.
transactions with clients - duties and 3.4-27 - 3.4-28) 38(L) 11
preconditions (r. 3.4-29, commentary [2]) 40(L) 11.5
Conflict of interest - civil society
Conflict of interest - acting for clients in organizations - obligation to establish a
transactions with clients (r. 3.4-29, system to identify conflicts (r. 3.4-16.1.1) 41(L) 12.2
commentary [2]) 40(L) 11.5
Conflict of interest - competing duties -
Conflict of interest - acting for employee of incompatible duties (r. 1.1-1 and 3.4-1 and
client (s. 3.4) 76(L) 3.3.1 commentary) 31(L) 2
Conflict of interest - affiliations - consent Conflict of interest - conflict checking
required (r. 3.1-2, 3.4-11.1 - 3.4-11.3 and 40(R) - system 42(R) 13
commentary and r. 3.4-16.1.1) 41(L) 12.2
92(R) - 3.1
Conflict of interest - affiliations - consent Conflict of interest - conflict checking 93(L)
required (r. 3.4-11.1 - 3.4-11.3 and 40(R) - system - practice management (r. 3.4-1-
commentary and r. 3.4-16.1 - 3.4-16.1.1) 41(L) 12.2 3.4-3 and commentaries) 42(R) 13
Conflict of interest - affiliations - disclosure Conflict of interest - conflict checking
obligations pre-retainer (r. 3.1-2, 3.4-11.1 - system - when to check 42(R) 13
3.4-11.3 and commentary and r. 3.4- 40(R) -
Conflict of interest - conflict from having
16.1.1) 41(L) 12.2
confidential information (r. 1.1-1 and 3.4-1
Conflict of interest - affiliations - disclosure and commentary) 31(LR) 2
obligations pre-retainer (r. 3.4-11.1 - 3.4-
92(R) - 3.1
11.3 and commentary and r. 3.4-16.1 -
Conflict of interest - conflict searching - 93(L)
3.4-16.1.1) 41(L) 12.2
practice management (r. 3.4-1-3.4-3 and
Conflict of interest - affiliations - rules commentaries) 42(R) 13
apply to non-lawyer partners and
Conflict of interest - consent - cannot
associates (r. 3.1-2, 3.4-11.1 - 3.4-11.3 40(R) -
disclose confidential information 32(R) 4.1
and commentary and r. 3.4-16.1.1) 41(L) 12.2
Conflict of interest - consent - exception -
Conflict of interest - affiliations - rules 41(L) 12.2
cannot act even with clients’ consent (r.
apply to non-lawyer partners and
3.4-1, 3.4-3, and 3.7-7) 33(L) 4.3
associates (r. 3.4-11.1 - 3.4-11.3 and
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Conflict of interest - consent - impairment Conflict of interest - joint retainer - acting

as opposed to risk of impairment 32(L) 4 for both borrower and lender - disclosure
Conflict of interest - consent by client - of material information (r. 3.4-12 - 3.4-16
independent legal advice may be required 32(R) - and commentaries) 36(L) 8.2
(r.1.1-1 and commentary and r. 3.4-2) 33(L) 4.2 Conflict of interest - joint retainer - acting
Conflict of interest - consent by client (r. for both borrower and lender - where
1.1-1 and 3.4-2 and commentary) 32(LR) 4.1 lender in business of lending money (r. 35(R) -
3.4-12 - 3.4-16 and commentaries) 36(L) 8.2
Conflict of interest - consent in advance (r.
1.1-1 and r. 3.4-2, commentary) 32(R) 4.1.1 Conflict of interest - joint retainer - acting
for both borrower and lender (r. 3.4-12 - 35(R) -
Conflict of Interest - current client conflicts 3.4-16 and commentaries) 36(L) 8.2
(r. 3.4-1 to 3.4-3 and commentaries) 33(LR) 5
Conflict of Interest - joint retainer - acting
Conflict of interest - current clients - for transferor and transferee - divergence
disputes between clients (r 3.4-1-3.4-3 and of interests (r. 3.4-16.7 - 3.4-16.9) 36(R) 8.3
commentaries) 33(L) 5.1
Conflict of Interest - joint retainer - acting
31(R) - for transferor and transferee (r. 3.4-16.7 -
Conflict of interest - dealing with 32(L) 4 3.4-16.9) 36(LR) 8.3
Conflict of interest - definition (r. 1.1-1 and Conflict of Interest - Joint Retainer -
3.4-1 and commentary) 31(L) 1 Contentious Issue (r. 3.4-8 - 3.4-9 and 3.7- 34(R) -
Conflict of interest - directly adverse - 8 - 3.7-9) 35(L) 7.2
bright-line rule - McKercher 33(LR) 5.2 Conflict of interest - joint retainer -
Conflict of Interest - disputes between contentious issue (r. 3.4-9 and 3.7-7 and 34(R) -
clients 33(L) 5.1 commentaries) 35(L) 7.2
Conflict of interest - engagement or non- 59(R) - 1.2 - Conflict of interest - joint retainer -
engagement of client 61(L) 1.3 continuing relationship with one client (r.
3.4-5 and 3.4-7 and commentaries) 34(R) 7.1
Conflict of interest - error, omission by
lawyer Conflict of interest - joint retainer - estate
(r. 7.8) 46(R) 2.1 and real estate matters 35(L) 8
Conflict of interest - error, omission by Conflict of Interest - joint retainer - estate
lawyer - duty to report (r. 7.8) 46(R) 2.1 and real estate matters
SEE: joint retainer 35(L) 8
Conflict of interest - family or friends with
client (commentary, r. 3.4-1) 40(R) 12.1 Conflict of interest - joint retainer -
informed consent (r. 3.4-5 and 3.4-7 and
Conflict of interest - former clients - acting
commentaries) 34(R) 7.1
against - new matters 34(L) 6.2
Conflict of interest - joint retainer - when
Conflict of interest - former clients - acting
lawyer can act (r. 3.4-5 - 3.4-9 and
against - same or related matters (r. 3.4-
commentaries)
10-11) 34(L) 6.1
SEE: Joint Retainer 34(LR) 7 - 7.1
Conflict of interest - guarantees by lawyer
Conflict of Interest - joint retainer -
for borrower/lender clients - prohibited with
withdrawal (contentious issue) (r. 3.4-8 - 34(R) -
3 exceptions (r. 3.4-34 - 3.4-35) 40(LR) 11.7
3.4-9 and 3.7-8 - 3.7-9) 35(L) 7.2
Conflict of interest - independent legal 32(R) -
Conflict of Interest - joint retainers - joint
advice may be required - consent 33(L) 4.2
wills for spouses/partners - Written
Conflict of interest - indirect transactions Consent After Warning 35(LR) 8.1
with client (r. 3.4-28.2 and commentaries) 38(R) 11.2
Conflict of interest - joint retainers - joint
Conflict of Interest - informed consent by wills for spouses/partners (r. 3.4-5) 35(LR) 8.1
client - cannot disclose confidential
Conflict of interest - joint services -
information 32(R) 4.1
affiliations
Conflict of interest - informed consent by (r. 3.1-2, 3.4-11.1 - 3.4-11.3 and 40(R) -
client - disclosure 32(LR) 4.1 commentary and r. 3.4-16.1.1) 41(L) 12.2
Conflict of Interest - informed consent by Conflict of interest - joint services -
client - independent legal advice may be affiliations
required (r.1.1-1 and commentary and r. 32(R) - (r. 3.4-11.1 - 3.4-11.3 and commentary 40(R) -
3.4-2) 33(L) 4.2 and r. 3.4-16.1 - 3.4-16.1.1) 41(L) 12.2
Conflict of Interest - informed consent by Conflict of interest - joint services -
client (r. 1.1-1 and 3.4-2 and commentary) 32(LR) 4.1 affiliations - consent required (r. 3.1-2, 3.4-
Conflict of interest - initial screening stage 11.1 - 3.4-11.3 and commentary and r. 40(R) -
- evaluate potential conflicts 59(L) 1.1 3.4-16.1.1) 41(L) 12.2
Conflict of interest - joint clients 16(R) 2.1 Conflict of interest - joint services - 40(R) - 12.2
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affiliations - consent required (r. 3.4-11.1 - between firms - confidential information (r.
3.4-11.3 and commentary and r. 3.4-16.1 - 3.4-17 - 3.4-23 and commentaries)
3.4-16.1.1) 41(L) Conflict of interest - lawyer transferring
Conflict of interest - joint services - between firms - protecting confidential
affiliations - disclosure obligations pre- information (r. 3.4-17 - 3.4-23 and
retainer (r. 3.1-2, 3.4-11.1 - 3.4-11.3 and 40(R) - commentaries) 37(LR) 10
commentary and r. 3.4-16.1.1) 41(L) 12.2 Conflict of interest - lawyer transferring
Conflict of interest - joint services - between firms (r. 3.4-17 - 3.4-23 and
affiliations - disclosure obligations pre- commentaries) 37(LR) 10
retainer (r. 3.4-11.1 - 3.4-11.3 and Conflict of interest - lawyer transferring law
commentary and r. 3.4-16.1 - 3.4-16.1.1) 41(L) 12.2 firms - law firm disqualification - new firm
Conflict of interest - joint services - can act when (consent or reasonable
affiliations - rules apply to non-lawyer measures) (r. 3.4-20) 37(R) 10.1
partners and associates (r. 3.1-2, 3.4-11.1 Conflict of interest - lawyer transferring law
- 3.4-11.3 and commentary and r. 3.4- 40(R) - firms - law firm disqualification -
16.1.1) 41(L) 12.2 reasonable measures to protect info & and
Conflict of interest - joint services - avoid disqualification (r. 3.4-20) 37(R) 10.1
affiliations - rules apply to non-lawyer Conflict of interest - lawyer transferring law
partners and associates (r. 3.4-11.1 - 3.4- firms - law firm disqualification (r. 3.4-20) 37(R) 10.1
11.3 and commentary and r. 3.4-16.1 - 40(R) -
3.4-16.1.1) 41(L) 12.2 Conflict of interest - lawyers’ outside
interests
Conflict of interest - joint wills for spouses/ (r. 7.3 - 7.4) 41(LR) 12.3
partners (r. 3.4-5) 35(LR) 8.1
Conflict of interest - lending to client
Conflict of interest - judicial interim release (r. 3.4-33.1 and commentary, 3.4-33.2 -
of accused from custody by lawyer - 41(R) - 3.4-33.3) 39(LR) 11.4
exception for family (r. 3.4-40 - 3.4-41) 42(L) 12.5
Conflict of interest - level of risk (r. 1.1-1
Conflict of interest - judicial interim release and 3.4-1 and commentary) 31(L) 1
of accused from custody by lawyer - 41(R) -
reason for prohibition (r. 3.4-40 - 3.4-41) 42(L) 12.5 Conflict of interest - loan / mortgage
transactions with clients - acceptable
Conflict of interest - judicial interim release mortgage and loan transactions (r. 3.4-
of accused from custody by lawyer (r. 3.4- 41(R) - 33.1 and commentary, 3.4-33.2 - 3.4-33.3) 39(LR) 11.4
40 - 3.4-41) 42(L) 12.5
Conflict of interest - loan / mortgage
Conflict of interest - lawyer assisting transactions with clients - advertising and
accused with release from custody - 41(R) - promotion rules (r. 3.4-33.1 and
exception for family (r. 3.4-40 - 3.4-41) 42(L) 12.5 commentary, 3.4-33.2 - 3.4-33.3) 39(R) 11.4
Conflict of interest - lawyer assisting Conflict of interest - loan / mortgage
accused with release from custody - 41(R) - transactions with clients - definition of
reason for prohibition (r. 3.4-40 - 3.4-41) 42(L) 12.5 “indirectly” (r. 3.4-33.1 and commentary,
Conflict of interest - lawyer assisting 3.4-33.2 - 3.4-33.3) 39(R) 11.4
accused with release from custody (r. 3.4- 41(R) - Conflict of interest - loan / mortgage
40 - 3.4-41) 42(L) 12.5 transactions with clients - duty of care (r.
Conflict of Interest - lawyer must consider 3.4-33.1 and commentary, 3.4-33.2 - 3.4-
(1) bright line rule or (2) substantial risk of 33.3) 39(LR) 11.4
impairment 33(LR) 5.2 Conflict of interest - loan / mortgage
Conflict of interest - lawyer transfer transactions with clients - independent
between law firms - transferring lawyer legal representation and consent
disqualification - when transferring lawyer 37(R) - requirements (r. 3.4-29(b)(i)) 39(R) 11.4
can act (r. 3.4-21 - 3.4-22) 38(L) 10.2 Conflict of interest - loan / mortgage
Conflict of interest - lawyer transfer transactions with clients - required
between law firms - transferring lawyer 37(R) - disclosure (r. 3.4-33.1 and commentary,
disqualification (r. 3.4-21 - 3.4-22) 38(L) 10.2 3.4-33.2 - 3.4-33.3) 39(R) 11.4
Conflict of interest - lawyer transfer Conflict of interest - loan / mortgage
between law firms - when transferring 37(R) - transactions with clients (r. 3.4-33.1 and
lawyer can act (r. 3.4-21 - 3.4-22) 38(L) 10.2 commentary, 3.4-33.2 - 3.4-33.3) 39(LR) 11.4
Conflict of interest - lawyer transfer 31(R) -
between law firms - when transferring Conflict of interest - managing conflict 32(L) 4
lawyer can discuss past representation 37(R) - Conflict of interest - mandatory termination
with new firm (r. 3.4-21 - 3.4-22 and 3.3-7) 38(L) 10.2 or refusal to act (r. 3.4-1, 3.4-3, and 3.7-7) 33(L) 4.3
Conflict of interest - lawyer transferring 37(LR) 10 Conflict of interest - mandatory withdrawal 33(L) 4.3
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BARRISTER & SOLICITOR – PROFESSIONAL RESPONSIBILITY (2019 INDEX SORTED BY PAGE NUMBER)

or refusal to act (r. 3.4-1, 3.4-3, and 3.7-7) transactions with client, requirements (r.
Conflict of interest - mortgage / loan 3.4-28 - 3.4-29 and commentaries)
transactions with clients (r. 3.4-33.1 and Conflict of interest - personal guarantee for
commentary, 3.4-33.2 - 3.4-33.3) debts - provided by lawyer for
SEE: “Conflict of interest - loan / mortgage borrower/lender clients (r. 3.4-34 - 3.4-35) 40(LR) 11.7
transactions with clients” 39(LR) 11.4 Conflict of interest - personal guarantees
Conflict of interest - multi-discipline by lawyer for borrower/lender clients -
practices/partnerships - consent required prohibited with 3 exceptions
(r. 3.1-2, 3.4-11.1 - 3.4-11.3 and 40(R) - (r. 3.4-34 - 3.4-35) 40(LR) 11.7
commentary and r. 3.4-16.1.1) 41(L) 12.2 Conflict of interest - personal relationship
Conflict of interest - multi-discipline with client - other member of firm may
practices/partnerships - consent required represent (commentary, r. 3.4-1) 40(R) 12.1
(r. 3.4-11.1 - 3.4-11.3 and commentary 40(R) - Conflict of interest - personal relationship
and r. 3.4-16.1 - 3.4-16.1.1) 41(L) 12.2 with client (commentary, r. 3.4-1) 40(R) 12.1
Conflict of interest - multi-discipline 92(R) - 3.1
practices/partnerships - disclosure Conflict of interest - practice management 93(L)
obligations pre-retainer (r. 3.1-2, 3.4-11.1 - - conflict check (r. 3.4-1-3.4-3 and
3.4-11.3 and commentary and r. 3.4- 40(R) - commentaries) 42(R) 13
16.1.1) 41(L) 12.2
Conflict of Interest - pro bono legal
Conflict of interest - multi-discipline services 36(R) -
practices/partnerships - disclosure (r. 3.4-16.2, 3.4-16.6, and commentary) 37(L) 9
obligations pre-retainer (r. 3.4-11.1 - 3.4-
11.3 and commentary and r. 3.4-16.1 - 40(R) - Conflict of Interest - pro bono legal
3.4-16.1.1) 41(L) 12.2 services - declining to act - actual
knowledge of conflict (r. 3.4-16.2, 3.4-16.6,
Conflict of interest - multi-discipline and commentary) 37(L) 9
practices/partnerships - rules apply to non-
lawyer partners and associates (r. 3.1-2, Conflict of interest - prospective clients
3.4-11.1 - 3.4-11.3 and commentary and r. 40(R) - (r.3.4-1 and commentary) 31(R) 3
3.4-16.1.1) 41(L) 12.2 Conflict of interest - protecting confidential
Conflict of interest - multi-discipline information - lawyer transferring between
practices/partnerships - rules apply to non- firms 37(LR) 10
lawyer partners and associates (r. 3.4-11.1 Conflict of interest - protecting confidential
- 3.4-11.3 and commentary and r. 3.4-16.1 information - transferring between firms 37(LR) 10
- 3.4-16.1.1) 41(L) 12.2
Conflict of interest - public office, lawyer
Conflict of interest - multi-discipline holding (r. 7.3 - 7.4) 41(LR) 12.3
practices/partnerships (r. 3.1-2, 3.4-11.1 -
Conflict of interest - recognizing conflict (r.
3.4-11.3 and commentary and r. 3.4- 40(R) -
1.1-1 and 3.4-1 and commentary) 31(LR) 2
16.1.1) 41(L) 12.2
Conflict of interest - refusal to act (r. 3.4-1,
Conflict of interest - multi-discipline
3.4-3, and 3.7-7) 33(L) 4.3
practices/partnerships (r. 3.4-11.1 - 3.4-
11.3 and commentary and r. 3.4-16.1 - 40(R) - Conflict of interest - representing
3.4-16.1.1) 41(L) 12.2 opponents in dispute - impermissible (r.
3.4-1, 3.4-3, and 3.7-7) 33(L) 5.1
Conflict of Interest - must refuse to act,
withdraw from representation (r. 3.4-1, 3.4- Conflict of interest - representing
3, and 3.7-7) 33(L) 4.3 opponents of former clients - consent (r. 33(R) -
3.4-10-11 and commentaries) 34(L) 6 - 6.2
Conflict of interest - omission, error by
lawyer - duty to report (r. 7.8) 46(R) 2.1 Conflict of interest - representing
opponents of former clients (r. 3.4-10-11) 34(L) 6.1
Conflict of interest - omission, error by
lawyer (r. 7.8) 46(R) 2.1 Conflict of interest - representing
organization and employees (s. 3.4) 76(L) 3.3.1
Conflict of interest - opposing parties -
lawyer cannot act even with consent of all Conflict of interest - required action by
parties 33(L) 5.1 lawyer in permissible transactions with
client (r. 3.4-28 - 3.4-29 and
Conflict of interest - payment of legal fees
commentaries) 38(R) 11.3
by transfer of a share, participation, or
other interest in property or an enterprise Conflict of interest - risk of impairment (r.
(r. 3.4-36) 40(L) 11.6 1.1-1 and 3.4-1 and commentary) 31(L) 1
Conflict of interest - payment of legal fees Conflict of interest - romantic (sexual or
by transfer of shares or interest in property intimate) relationship with client
(r. 3.4-36) 40(L) 11.6 (commentary, r. 3.4-1) 40(R) 12.1
Conflict of interest - permissible 38(R) 11.3 Conflict of interest - screen for conflicts (r. 92(R) - 3.1
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BARRISTER & SOLICITOR – PROFESSIONAL RESPONSIBILITY (2019 INDEX SORTED BY PAGE NUMBER)

93(L) Conflict of interest - testamentary

instruments - drafting lawyer retained to
3.4-1-3.4-3 and commentaries) 42(R) 13 provide legal services to estate (r. 3.4-38 -
92(R) - 3.1 3.4-39) 41(R) 12.4
Conflict of interest - search for conflict - 93(L) Conflict of interest - testamentary
practice management (r. 3.4-1-3.4-3 and instruments - instructions to estate to
commentaries) 42(R) 13 retain lawyer who drafted will - duties of
Conflict of interest - security for debts - lawyer (r. 3.4-38 - 3.4-39) 41LR) 12.4
provided by lawyer for borrower/lender Conflict of interest - third parties (r.3.4-1
clients (r. 3.4-34 - 3.4-35) 40(LR) 11.7 and commentary) 31(R) 3
Conflict of interest - self-represented Conflict of interest - transactions with client
litigants - duties when acting against (r. - independent legal advice, representation,
7.2-9) 42(L) 12.6 and consent - consent requirement (r. 3.4- 38(R) -
Conflict of interest - self-represented 29(b)(i) -3.4-29(b)(v)) 39(L) 11.3.1
litigants (r. 7.2-9) 42(L) 12.6 Conflict of interest - transactions with client
Conflict of interest - sexual or intimate - independent legal advice, representation,
relationship with client - other member of and consent - When independent legal
firm may represent (commentary, r. 3.4-1) 40(R) 12.1 advice, representation, and consent is 38(R) -
required (r. 3.4-29(b)(i) -3.4-29(b)(v)) 39(L) 11.3.1
Conflict of interest - sexual or intimate
relationship with client (commentary, r. Conflict of interest - transactions with client
3.4-1) 40(R) 12.1 - independent legal advice, representation,
and consent - written confirmation or
Conflict of Interest - short term, limited written denial by client (r. 3.4-29(b)(i) - 3.4- 38(R) -
legal service (pro bono) - declining to act - 29(b)(v)) 39(L) 11.3.1
actual knowledge of conflict (r. 3.4-16.2 -
3.4-16.6, and commentary) 37(L) 9 Conflict of interest - transactions with client
- independent legal advice, representation, 38(R) -
Conflict of Interest - short term, limited and consent (r. 3.4-29(b)(i) -3.4-29(b)(v)) 39(L) 11.3.1
legal service (pro bono) (r. 3.4-16.2 - 3.4- 36(R) -
16.6, and commentary) 37(L) 9 Conflict of interest - transfer between law
firms - confidential information (r. 3.4-17 -
Conflict of interest - situations where 3.4-23 and commentaries) 37(LR) 10
conflicts arise (rr. 1.1-1 and 3.4-1 and
commentary) 31(LR) 2 Conflict of interest - transfer between law
firms - due diligence to ensure non-lawyer
Conflict of interest - syndicated mortgages staff comply with transfer and
(r. 3.4-33.1 and commentary, 3.4-33.2 - confidentiality rules (r. 3.4-23 and
3.4-33.3) commentary) 38(L) 10.3
SEE: “conflict of interest - loan/mortgage
transactions with clients” 39(LR) 11.4 Conflict of interest - transfer between law
firms - law firm disqualification -
Conflict of interest - syndicated mortgages, reasonable measures to protect info & and
selling to client (r. 3.4-33.1 and avoid disqualification (r. 3.4-20) 37(R) 10.1
commentary, 3.4-33.2 - 3.4-33.3)
SEE: “conflict of interest - loan/mortgage Conflict of interest - transfer between law
transactions with clients” 39(LR) 11.4 firms - law firm disqualification (r. 3.4-20) 37(R) 10.1
Conflict of interest - technology - use of Conflict of interest - transfer between law
technology in providing services 97(L) 5.1 firms - new firm can act when (consent or
reasonable measures) (r. 3.4-20) 37(R) 10.1
Conflict of interest - testamentary
instrument - conflict of interest if lawyer Conflict of interest - transfer between law
drafting (r. 3.4-38 - 3.4-39) 41(R) 12.4 firms - non-lawyer staff - lawyer duty of
due diligence regarding transfer and
Conflict of interest - testamentary confidentiality rules compliance (r. 3.4-23
instrument - lawyer drafts instrument - and commentary) 38(L) 10.3
lawyer or partner/associate receives
bequest - conflict of interest (r. 3.4-38 - Conflict of interest - transfer between law
3.4-39) 41(R) 12.4 firms - transferring lawyer disqualification -
when transferring lawyer can act (r. 3.4-21 37(R) -
Conflict of interest - testamentary - 3.4-22) 38(L) 10.2
instrument - lawyer drafts instrument -
lawyer retained to provide legal services to Conflict of interest - transfer between law
estate - duties of lawyer (r. 3.4-38 - 3.4-39) 41(R) 12.4 firms - transferring lawyer disqualification 37(R) -
(r. 3.4-21 - 3.4-22) 38(L) 10.2
Conflict of interest - testamentary
instrument - lawyer drafts instrument - Conflict of interest - transfer between law
lawyer retained to provide legal services to firms - when new firm can act (consent or
estate (r. 3.4-38 - 3.4-39) 41(R) 12.4 reasonable measures) 37(R) 10.1
Conflict of interest - transfer between law 37(R) - 10.2
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BARRISTER & SOLICITOR – PROFESSIONAL RESPONSIBILITY (2019 INDEX SORTED BY PAGE NUMBER)

firms - when transferring lawyer can act (r. SEE: Conflict of Interest
3.4-21 - 3.4-22) 38(L) Consent - joint retainers (r. 3.4-5 - 3.4-9
Conflict of interest - transfer between law and commentaries) 34(R) 7.1
firms - when transferring lawyer can Consent - lawyer in affiliation - consent
discuss past representation with new firm 37(R) - required - rules apply to non-lawyer
(r. 3.4-21 - 3.4-22 and 3.3-7) 38(L) 10.2 partners and associates (r. 3.1-2, 3.4-11.1
Conflict of interest - transfer between law - 3.4-11.3 and commentary and r. 3.4- 40(R) -
firms (r. 3.4-17 - 3.4-23 and 16.1.1) 41(L) 12.2
commentaries) 37(LR) 10 Consent - lawyer in affiliation - consent
Conflict of interest - transfer of lawyer- law required - rules apply to non-lawyer
firm disqualification 37(R) 10.1 partners and associates (r. 3.4-11.1 - 3.4-
Conflict of Interest - unrepresented 11.3 and commentary and r. 3.4-16.1 - 40(R) -
persons 3.4-16.1.1) 41(L) 12.2
(r. 7.2-9) 42(L) 12.6 Consent - lawyer in affiliation - consent
Conflict of Interest - unrepresented required (r. 3.1-2, 3.4-11.1 - 3.4-11.3 and 40(R) -
persons - duties when acting against commentary and r. 3.4-16.1.1) 41(L) 12.2
(r. 7.2-9) 42(L) 12.6 Consent - lawyer in affiliation - consent
Conflict of interest - when to check - required (r. 3.4-11.1 - 3.4-11.3 and 40(R) -
method of checking 42(R) 13 commentary and r. 3.4-16.1 - 3.4-16.1.1) 41(L) 12.2
Conflict of interest - wills - conflict of Consent - lawyer in multi-discipline
interest if lawyer drafting (r. 3.4-38 - 3.4- practice - consent required (r. 3.1-2, 3.4-
39) 41(R) 12.4 11.1 - 3.4-11.3 and commentary and r. 40(R) -
3.4-16.1.1) 41(L) 12.2
Conflict of interest - wills - drafting lawyer
retained to provide legal services to estate Consent - lawyer in multi-discipline
(r. 3.4-38 - 3.4-39) 41(R) 12.4 practice - consent required (r. 3.4-11.1 -
3.4-11.3 and commentary and r. 3.4-16.1 - 40(R) -
Conflict of interest - wills - if lawyer drafts 3.4-16.1.1) 41(L) 12.2
(r. 3.4-38 - 3.4-39) 41(R) 12.4
Consent and reasonable measures
Conflict of interest - wills - instructions to (avoiding disqualification) - lawyer transfer
estate to retain lawyer who drafted will - between law firms - conflict of interest -
duties of lawyer (r. 3.4-38 - 3.4-39) 41(R) 12.4 confidentiality (r. 3.4-20) 37(R) 10.1
Conflict of interest - wills - lawyer drafts will Consent in advance - conflict of interest -
- lawyer or partner/associate receives client consent (r. 1.1-1 and r. 3.4-2,
bequest - conflict of interest (r. 3.4-38 - commentary) 32(R) 4.1.1
3.4-39) 41(R) 12.4
63(LR) -
Conflict of interest - wills - lawyer drafts will
- lawyer retained to provide legal services Contact with client - communications 64(LR) 2.3
to estate - duties of lawyer (r. 3.4-38 - 3.4-
39) 41(R) 12.4 Contact with client - initial screen 59(LR) 1.1
Conflict of interest - wills - lawyer drafts will Contact with client - managing
- lawyer retained to provide legal services expectations 62(L) 2
to estate (r. 3.4-38 - 3.4-39) 41(R) 12.4 Contact with jurors - discussion forbidden -
Conflict of interest - wills - lawyer prepares jurors and prospective jurors 86(LR) 5
will, she or partner/associate receives Contentious Issue - Joint Clients - When
bequest (r. 3.4-38 - 3.4-39) 41(R) 12.4 Lawyer Can Act/Must Withdraw -
Conflict of interest checking system - Negotiation 17(L) 2.1
method of checking - when to check 42(R) 13 Contentious Issues - joint retainer -
Conflicts - Joint Clients - When Lawyer withdrawal (r. 3.4-8 - 3.4-9 and 3.7-8 - 3.7- 34(R) -
Can Act/Must Withdraw - Negotiation 17(L) 2.1 9) 35(L) 7.2
Conflicts Between Joint Clients - When Contingency fee arrangement - money
Lawyer Can Act/Must Withdraw - retainer not appropriate 51(R) 1
Negotiation 17(L) 2.1 51(R) 2
Consent - collection of personal 103(R) -
information 104(L) 10.2.2 Contingency fees 56(LR) 5
Consent - conflict of interest - Independent Contingency fees - agreements - formal
legal advice and/or representation (r.1.1-1 32(R) - requirements (r. 3.6-2 and commentary) 56(LR) 5
and commentary and r. 3.4-2) 33(L) 4.2 Contingency fees - agreements (r. 3.6-2
Consent - conflict of interest (r. 1.1-1 and 32(LR) 4.1 and commentary) 56(LR) 5
3.4-2 and commentary) Contingency fees - agreements must be in 56(L) 5
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BARRISTER & SOLICITOR – PROFESSIONAL RESPONSIBILITY (2019 INDEX SORTED BY PAGE NUMBER)

writing (r. 3.6-2 and commentary) Cost estimates - timely disclosure (r. 3.6-1
Contingency fees - client under disability and commentary) 52(R) 2.2
or vulnerable (r. 3.6-2 and commentary) 56(R) 5 Costs - costs award paid to lawyer - under
Contingency fees - costs award paid to contingency fee agreement (r. 3.6-2 and
lawyer commentary) 56(R) 5
(r. 3.6-2 and commentary) 56(R) 5 Counselling services - MAP - Mental
Contingency fees - definition (r. 3.6-2 and Health and Wellness 102(R) 9.2
commentary) 56(L) 5 Court - enforce lawyer’s undertaking, trust
Contingency fees - determine appropriate condition, practice-related promise 76(R) 3.4
percentage (r. 3.6-2 and commentary) 56(L) 5 Court - withdrawal of lawyer’s services (r.
Contingency fees - when prohibited 3.7-1 and commentary) 65(LR) 1
(family, criminal, quasi-criminal cases) (r. Court facilities - security - duty (r. 5.6-3
3.6-2 and commentary) 56(L) 5 and commentary) 77(LR) 5.3
Contingency fees - written confirmation Court order - disclosure of confidential
(r. 3.6-1.1) 53(R) 2.6 information (r. 3.3-1.1) - procedure 27(LR) 4.1
Contingency Planning - practice 101(R) - Courtesy - duty to lawyers and others (r. 74(R) -
management 102(L) 8 7.2-1 - 7.2-3 and commentary) 75(L) 3.1
Continuing legal education - time Courtesy - in communications - duty (r.
management 95(R) 4.1 7.2-4) 75(L) 3.2
101(R) - Courtesy, civility, and good faith - rr. 5.1- 5 5(R) -
Continuing professional development 102(L) 8 and 7.2-1 and commentary 6(L) 3
Continuing professional development - CPD programs - Mental Health and
competence - requirement - By-law 6.1 23(LR) 1.7 Wellness 102(R) 9.2
Continuing professional development - CRA claims on client’s information - duties
equality, diversity and inclusion training 23(R) 1.7.1 to client 47(LR) 3
Control of Trust Account - lawyers 112(L) 4.3.3 CRA claims on client’s property - duties to
client
Conveyance of real estate - title insurance
SEE: “Bailment - client property - lawyer’s
- lawyer’s duties (r. 3.2-9.4 - 3.2-9.7 and
duties - seizure” 47(LR) 3
commentaries) 46(L) 2.8
Credit and debit card payments - receiving
Conveyance of real property - title
money from client 114(LR) 5.2
insurance - lawyer’s duties (r. 3.2-9.4 - 3.2-
9.7 and commentaries) 46(L) 2.8 Crime by client - lawyer’s duty (r. 3.2-7 -
3.2-8 and commentary)
Convictions - criminal - duty to report self 73(R) -
SEE: “Assisting dishonesty, fraud, crime, 44(R) -
(r. 7.1-4.4 and commentary; By-Law 8, s.2) 74(L) 2.3
illegal conduct by client” 45(L) 2.4
Copy of fee invoice - lawyer to retain
Criminal charges, convictions - duty to
documents 120(R) 6.4.3
report self (r. 7.1-4.4 and commentary; By- 73(R) -
Copy of Trust cheque - filing - withdrawl 111(R) 4.3.2 Law 8, s.2) 74(L) 2.3
Corporate records or seals - held by 47(R) - Criminal conduct by client - lawyer’s duty
lawyer - recording requirements 48(L) 3.1 (r. 3.2-7 - 3.2-8 and commentary)
Corporate seals or records - held by 47(R) - SEE: “Assisting dishonesty, fraud, crime, 44(R) -
lawyer - recording requirements 48(L) 3.1 illegal conduct by client” 45(L) 2.4
Criminal matter - lawyer acts as surety or
Corporation - as client 17(R) 2.4 supervisor of accused on interim release - 41(R) -
Corporation - as client - instructions 17(LR) 2.4 conflict of interest (r. 3.4-40 - 3.4-41) 42(L) 12.5
Corporation - lawyer also representing Criminal matter - lawyer assists accused
employees - conflict rules s.3.4 76(L) 3.3.1 with bail - conflict of interest (r. 3.4-40 - 41(R) -
3.4-41) 42(L) 12.5
Corporation - represented -
communications with - duty (r. 7.2-8 - 7.2- 75(R) - Criminal matter - lawyer assists accused
8.2 and commentary) 76(L) 3.3.1 with judicial interim release - conflict of 41(R) -
interest (r. 3.4-40 - 3.4-41) 42(L) 12.5
Correct entries - ledger/trust receipt/trust
disbursements journals 112(R) 4.3.4 Criminal proceeding - defence counsel -
duties (commentary r. 5.1-1) 82(LR) 2.1
Correcting trust ledger account 117(R) 6.3.4
Criminal proceeding - plea bargain
Corrections - withdrawals in error - trust (r. 5.1-7 - 5.1-8) 87(LR) 8
account 112(R) 4.3.4
Criminal proceeding - prosecutor - duties
Cost estimates - changes (r. 3.6-1 and (r. 5.1-3 and commentary) 82(R) 2.2
commentary) 52(R) 2.2
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BARRISTER & SOLICITOR – PROFESSIONAL RESPONSIBILITY (2019 INDEX SORTED BY PAGE NUMBER)

Criminal proceeding - threatening without Database management systems -

justification - Rules of Professional technology 97(R) 5.2
Conduct (r. 3.2-5 and commentary) 44(LR) 2.3 Date and time requirements - referral fee
Criminal proceeding - withdrawal of records 120(L) 6.4.3
services - lawyer’s duty on withdrawal (r. 66(L) - Debit and credit card payments - receiving
3.7-4 - 3.7-6) 67(L) 3 - 3.3 money from client 114(LR) 5.2
Criminal proceeding - withdrawal of Deceitful client - serious loss of confidence 65(R) -
services - permission of trial judge (r. 3.7-6 - optional withdrawal of services 66(L) 2.1
and commentary) 67(L) 3.3
Declining to act - short term, pro bono
CSO - conflict of interest - obligation to legal services - conflicts of interest (r. 3.4-
establish a system to identity conflicts (r. 16.2 - 3.4-16.6, and commentary) 37(L) 9
3.4-16.1.1) 41(L) 12.2
Deeds of title - held by lawyer - recording 47(R) -
8(L) - requirements 48(L) 3.1
Cultural Competence 10(L) 6 - 6.3
Defence counsel - duties (commentary r.
Cultural Competence - examples, 5.1-1) 82(LR) 2.1
understanding cultural competence 8(LR) 6.1
Defense against allegations - permitted
Cultural Competence - lawyer - client 8(R) - disclosure of confidential info (r. 3.3-4) 28(L) 4.3
relationship 9(R) 6.2
Definition of client - r.1.1-1 15(L) 1
Cultural competence - professional
development - equality, diversity and Definition of transactions with client (r. 3.4-
inclusion training 23(R) 1.7.1 27 - 3.4-28) 38(L) 11
Cultural Competence - purpose 8(L) 6 Definition: cultural competence 8(LR) 6.1
Cultural competence - relating to 22(R) - Definition: lawyer, legal practitioner, legal 1(R) -
competence in general 23(L) 1.5 professions, licensee, paralegal, tribunal 2(L) 2.1
Cultural Competence - rules engaged - Definition: LSO’s use of shall/must,
integrity (r. 2.1-1, commentary [4.1]); should/should consider, may/may consider 2(L) 2.1
courtesy and civility (rr. 5.1-5 and 7.2-1); Definitions - cultural competence: power,
discrimination and harassment (ss. 6.3- relative power, privilege, dominant social
6.3.1); competence and quality of service group, dominant culture, unconscious bias,
(ss. 3.1 and 3.2); marketing of professional microaggressions, microaffirmations, 8(R) -
services (r. 4.2-1, commentaries [6] - [7]) 10(LR) 6.3 cultural homophily 9(L) 6.2
Cultural Competence - skills 10(L) 6.3 Delegating bookeeping tasks 115(R) 6
Cultural competence-inclusive client Delegation - affiliated entities - need client
services 11(R) 8.1 consent 101(L) 7.6
Culturally competent practice - integrity - r. Delegation - non-lawyer employees (By-
2.1-1 5(LR) 2 Law 7.1, Part I; r.6.1-1 and commentary) 100(LR) 7.3
Current at all times - records 115(R) 6.1 100(R) -
Current client conflicts - conflict of interest Delegation - real estate matters 101(L) 7.4
(r. 3.4-1 to 3.4-3 and commentaries) 33(L) 5 Delegation - time management 95(R) 4.1
Current clients - lawyer cannot act for Delivery of legal services through the
client adverse to the immediate legal Internet 97(L) 5.1
interests of another client - conflict of
interest 33(LR) 5.2 Deposit - general account 108(R) 3.1
Custody - lawyer assisting accused with 110(R) -
release from - conflict of interest - 41(R) - Deposit - mixed trust account 111(L) 4.2
exception for family (r. 3.4-40 - 3.4-41) 42(L) 12.5 Deposit - source document 108(R) 3.1
Custody - lawyer assisting accused with Deposit - trust account - methods for
release from - conflict of interest - reason 41(R) - depositing to trust 111(L) 4.2.1
for prohibition (r. 3.4-40 - 3.4-41) 42(L) 12.5
Deposit - trust account - when to deposit 111(L) 4.2.2
Custody - lawyer assisting accused with
release from - conflict of interest (r. 3.4-40 41(R) - 110(R) -
- 3.4-41) 42(L) 12.5 Deposit - trust account (trust receipts) 111(L) 4.2
D Deposit slips - general and trust deposit
slips - source documents - other record
Danger - court facilities - duty - security of keeping requirements 119(LR) 6.4.1
court facilities (r. 5.6-3 and commentary) 77(LR) 5.3
Deposit to trust - Circumstances 111(L) 4.2.2
Data Breach - Safeguards 105(R) 10.3
Deposit to trust - methods 111(L) 4.2.1
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BARRISTER & SOLICITOR – PROFESSIONAL RESPONSIBILITY (2019 INDEX SORTED BY PAGE NUMBER)

Designated Trust account - client’s money to client (r. 3.2-9 and commentary)
- lawyer’s duties (s. 3.5 and commentaries; 97(R) -
By-Law 9) 48(L) 3.2 Disaster management - technology 98(L) 5.3
Designated Trust account - record keeping
Disbursement - billing 108(R) 3.1
requirements (s. 3.5 and commentaries;
By-Law 9) 48(L) 3.2 Disbursement - common charges 52(L) 2
Designated Trust account, lawyer’s - Disbursement - definition
record keeping requirements (s. 3.5 and SEE: Fees 52(L) 2
commentaries; By-Law 9) 48(L) 3.2
Disbursement - expense types 52(L) 2
Destruction - client file 94(LR) 3.3 Disbursement - HST (r. 3.6-3, 3.6-4, 5.1-5,
Destruction - of personal information 105(L) 10.2.6 and 3.6-1.1 and commentary) 53(R) 2.7
Detect and resolve conflicts of interests - Disbursement - lawyer repays herself 108(R) 3.1
permitted disclosure of confidential info (r. Disbursement - not permitted to make a
3.3-7 and commentary) 28(R) 4.6 profit from 52(L) 2
Determining when to open a file 93(R) 3.2 Disbursement - pay from trust account (r.
Determining who is the client 16(L) 2 3.6-10; By-Law 9) 54(R) 2.8
Developing theory of the case - advocacy - Disbursement - statement of account (r.
7 steps 81(LR) 1.1 3.6-3, 3.6-4, 5.1-5, and 3.6-1.1 and 53(R) -
commentary) 54(L) 2.7
62(R) -
Difficult clients 63(L) 2.2 Disbursement journal (6 years) - general
account
Diminished capacity - client -
communications 63(LR) 2.3 Sample - Figure 1 - General Receipts 116(L) 6.2.2
Diminished capacity - client - lawyer’s duty Journal, General Disbursements Journal,
(r. 3.2-9 and commentary) 45(L) 2.5 and Fees Book 122 7
Diminished capacity - disabled or minor Disbursements - civil society organizations
client lacking legal capacity - duty to client - permitted in some cases (r. 3.6-1 and
(r. 3.2-9 and commentary) 45(L) 2.5 3.6-1.2; By-Law 7, s.51) 53(L) 2.4
Diminished capacity - minor or disabled Disbursements - general disbursements
client lacking legal capacity - duty to client journal (6 years) - record keeping
(r. 3.2-9 and commentary) 45(L) 2.5 requirements
Direct communication - with represented
person (r. 7.2-6 - 7.2-7 and commentary) 75(LR) 3.3 Sample - Figure 1 - General Receipts 116(L) 6.2.2
Journal, General Disbursements Journal,
Direct compensation - from title insurer, and Fees Book 122 7
agent, or intermediary - prohibited (r. 3.2-
9.4 - 3.2-9.7 and commentaries) 46(L) 2.8 Disbursements - other than trust funds 116(L) 6.2.2
Direct compensation - lawyer - from title Disbursements - trust disbursements
insurer, agent, or intermediary - prohibited journal (10 years) - record keeping
(r. 3.2-9.4 - 3.2-9.7 and commentaries) 46(L) 2.8 requirements
Disability - authorized representatives 17(L) 2.2 Sample - Figure 3 - Trust Receipts 117(L) 6.3.2
Disability - client - contingency fee (r. 3.6-2 Journal, Trust Disbursements Journal, and
and commentary) 56(R) 5 Trust Transfer Record 128 7
Disability - client - duty to client (r. 3.2-9 Disbursements journal (10 years) - trust
and commentary) 45(L) 2.5 account
Disability - client with diminished capacity -
Sample - Figure 3 - Trust Receipts 117(L) 6.3.2
duty to client (r. 3.2-9 and commentary) 45(L) 2.5
Journal, Trust Disbursements Journal, and
Disability - duty to client under disability Trust Transfer Record 128 7
affecting capacity (r. 3.2-9 and
Discharge - by client - responsibilities to
commentary) 45(L) 2.5
third parties (r. 7.1-2 and commentary) 98(R) 6.1
Disabled/vulnerable client - capacity - duty
Discharge - lawyer discharged by client -
to client - authorized
lawyer’s duties on withdrawal (r. 3.7-8 -
representative/litigation guardian (r. 3.2-9
3.7-9 and commentary) 68(LR) 6
and commentary) 45(L) 2.5
Disciplinary action - by LSO - professional
Disabled/vulnerable client - capacity - duty
or personal sphere (r. 1.1-1 and 2.1-1 and
to client - efforts to confirm capacity (r. 3.2-
commentary and s. 7.8.2) 72(LR) 1.5
9 and commentary) 45(L) 2.5
Disciplinary suspensions - definition 4(LR) 2.5
Disabled/vulnerable client - capacity - duty 45(L) 2.5
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BARRISTER & SOLICITOR – PROFESSIONAL RESPONSIBILITY (2019 INDEX SORTED BY PAGE NUMBER)

Disciplinary Suspensions - discipline 3(R) - Disclosure - confidential information -

options 4(L) 2.5 permitted disclosure - to prevent death or
Disciplinary suspensions - reasons for serious bodily harm (r. 3.3-3 and 27(R) -
suspension 4(L) 2.5 commentary) 28(L) 4.2
Discipline - authority of LSO (r. 1.1-1 and Disclosure - confidential information -
2.1-1 and commentary and s. 7.8.2) 72(LR) 1.5 required by law (without client authority) (r.
3.3-1.1) 27(LR) 4.1
Discipline - breach of undertaking, trust
condition, practice-related promise 76(R) 3.4 Disclosure - confidential information -
security of court facilities (r. 5.6-3 and
Discipline - conduct unbecoming a commentary) 29(LR) 5.2
barrister or solicitor (r. 1.1-1 and 2.1-1 and
commentary and s. 7.8.2) 72(LR) 1.5 Disclosure - confidential information - with
client authority (express or inferred) (r. 3.3-
Discipline - lawyer - conduct that reflects 1 and commentary) 26(R) 3
adversely on integrity or professional
competence - subject to disciplinary action Disclosure - confidential information -
(r. 7.4-1) 77(LR) 4.2 without client authority - justified or
permitted 26(R) -
Discipline - Lawyer who fails to report - SEE: Confidentiality - disclosure 27(L) 4
has awareness - may be subject to
discipline by LSO (r. 7.1-3 and Disclosure - confidentiality - without client
commentary) 73(L) 2.1 authority (prevent death or serious bodily
harm, defend against allegations, collect
Discipline - mishandling of client funds 109(LR) 4 fees, secure legal advice, or detect/resolve
Discipline - options for disciplining lawyers conflicts of interests) - conditions outlined
and paralegals - LSO 4(L) 2.5 by r. 3.3-3 - 3.3-7 must be satisfied 27(R) - 4.2 -
[disclosure is permitted NOT required] 28(R) 4.6
Discipline - professional misconduct (r.
1.1-1 and 2.1-1 and commentary and s. Disclosure - confidentiality - without client
7.8.2) 72(LR) 1.5 authority (required by law, by order of 26(R) -
tribunal, or by LSO) (r. 3.3-1.1) 27(LR) 4 - 4.1
Discipline - review of conduct by LSO -
professional/personal sphere 72(LR) 1.5 Disclosure - cost estimates - timely (r. 3.6-
1 and commentary)
Disclose - lawyer suspended - duty to SEE: Fees 52(R) 2.2
disclose status to clients - duty to engage
another lawyer (r. 7.6-1.2 - 7.6-1.4; By- Disclosure - discovery obligations (r. 5.1-
Law 7.1, Part II; and By-Law 9, Part II.1) 72(L) 1.4 3.1) 87(L) 7
Disclosure - client information - prohibited Disclosure - estimate of fees (r. 3.6-1 and
other than to serve client (commentary r. commentary)
3.3-1) 29(R) 6 SEE: Fees 52(R) 2.2
Disclosure - confidential client information Disclosure - fees - timely (r. 3.6-1 and
- prohibited uses (literary works, office 29(R) - 6.1 - commentary) 52(R) 2.2
gossip) (commentary r. 3.3-1) 30(LR) 6.2 Disclosure - juror interest in or connection
Disclosure - confidential info - permitted with case (r. 5.5-2 - 5.5-3) 86(R) 5.2
disclosure - to secure legal advice about Disclosure - lawyer - duty - incriminating
lawyer’s proposed conduct (r. 3.3-6) 28(R) 4.5 physical evidence - no duty 84(LR) 3.7
Disclosure - confidential info - permitted to Disclosure - personal information - no
detect and resolve conflicts of interest (r. consent exception (PIPEDA, ss. 7(3)(c.1) 104(L) -
3.3-7 and commentary) 28(R) 4.6 (iii)) 105(R) 10.2.3
Disclosure - confidential information - Disclosure - personal information - privacy 104(L) -
justified disclosure - legally required (r. -consent (PIPEDA, ss. 7(3) and (5)) 105(R) 10.2.3
3.3-1.1) 27(LR) 4.1
Disclosure (justified) of confidential info -
Disclosure - confidential information - required by law
mandatory by law (without client authority) SEE: Confidentiality - disclosure - justified
(r. 3.3-1.1) 27(LR) 4.1 disclosure 27(LR) 4.1
Disclosure - confidential information - Disclosure (permitted) of confidential info
permitted disclosure - to collect fees (r. SEE: Confidentiality - disclosure - 27(R) - 4.2 -
3.3-5) 28(L) 4.4 permitted disclosure 28(R) 4.6
Disclosure - confidential information - Disclosure of errors - lawyer as advocate -
permitted disclosure - to defend against (r. 5.1-1 and 5.1-4 - 5.1-6 and
allegations (r. 3.3-4) 28(L) 4.3 commentaries) 82(L) 2
Disclosure - confidential information - Disclosure to client - medical-legal report -
permitted disclosure - to prevent death or 27(R) - duty to client (r. 3.2-9.1 - 3.2-9.3 and 45(R) -
serious bodily harm - TEST [3 factors] 28(L) 4.2 commentary) 46(L) 2.7
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BARRISTER & SOLICITOR – PROFESSIONAL RESPONSIBILITY (2019 INDEX SORTED BY PAGE NUMBER)

Discovery - lawyer’s duties (r. 5.1-3.1) 87(L) 7 competence - professional development

Discrimination - Challenges Faced by Divided loyalties - conflict of interest (r.
Racialized Licensees Working Group 6(R) 5 1.1-1 and 3.4-1) 31(L) 2
Discrimination - definition - s. 6.3.1 6(R) 5.1 Division of fees - fair and reasonable - joint
retainer (r. 3.6-1 and commentary; r. 3.6-4;
Discrimination - direct discrimination 6(R) 5.1 and commentary, 4.1-1) 52(LR) 2.1
Discrimination - indirect/adverse-impact 6(R) - Division of fees - with non-licensee (r. 3.6-
discrimination 7(L) 5.1 5, 3.6-7, 3.6-8 and commentary) 54(R) 3
6(R) - Division of fees (r. 3.6-5, 3.6-7, 3.6-8 and
Discrimination - s. 6.3.1 and commentaries 7(L) 5.1 commentaries)
6(R) - SEE: Fees - division of 54(R) 3
Discrimination - types 7(L) 5.1 Do not use to withdraw funds - Automated
Discrimination and Harassment Counsel Bank Machine (ABM) 112(L) 4.3.2
Program 13(R) 10 Docketing time - computerized 96(R) 4.3
Discussion of client matters in public 29(R) -
Docketing time - manual 96(R) 4.3
(commentary r. 3.3-1) 30(LR) 6.2
61(R) - Docketing time - recording system 96(R) 4.3
Disengagement - relationship with client 62(L) 1.5 Docketing time - time management 96(R) 4.3
61(R) - Document management systems -
Disengagement Letter 62(L) 1.5 technology 97(R) 5.2
Dishonest - conduct of lawyer, paralegal - Document registration agreement (DRA) -
duty to encourage client to report (r. 7.1-4 - undertakings - real estate transaction 76(R) 3.4
7.1-4.3) 73(R) 2.2
Documents - client file - return to client - 48(R) -
Dishonest conduct - tribunal process - (r. what to return 49(R) 3.3
5.1-1 and commentary, and r. 5.1-2(b), (e),
Documents - lawyer’s documents - what to
(f), (g), (j) and (k)) 83(R) 3.4
return to client
Dishonest conduct by client - lawyer’s duty SEE: “Lawyer - duty to client - client files -
(r. 3.2-7 - 3.2-8 and commentary) duty to return files belonging to client at 48(R) -
SEE: “Assisting dishonesty, fraud, crime, 44(R) - end of retainer” 49(R) 3.3
illegal conduct by client” 45(L) 2.4
Documents - prepared for client - returning 48(R) -
Dishonesty, fraud, crime, or illegal activity to client 49(R) 3.3
by client - lawyer’s duty (r. 3.2-7 - 3.2-8
Documents - retained by lawyer after 94(R) -
and commentary)
closing of file 95(L) 3.4
SEE: “Assisting dishonesty, fraud, crime, 44(R) -
illegal conduct by client” 45(L) 2.4 48(R) -
Documents prepared by lawyer for client 49(R) 3.3
Disposing of client files 94(LR) 3.3
Documents prepared by lawyer for client - 48(R) -
Disputes between clients - conflict of duty to keep out of sight 49(R) 3.3
Interest 33(L) 5.1
Documents prepared by lawyer for client -
Disqualification - law firm - lawyer transfer duty to return files belonging to client at 48(R) -
between firms (r. 3.4-20) 37(R) 10.1 end of retainer 49(R) 3.3
Disqualification - law firm - transfer Documents prepared by lawyer for client -
between firms (r. 3.4-20) 37(R) 10.1 duty to return files belonging to client at
Disqualification - transferring lawyer - end of retainer - files belonging to client/to 48(R) -
lawyer transfer between firms - when be returned - definition 49(R) 3.3
transferring lawyer can continue to act (r. 37(R) - Documents prepared by lawyer for client -
3.4-21 - 3.4-22) 38(L) 10.2 duty to return files belonging to client at
Disqualification - transferring lawyer - end of retainer - files belonging to client/to
lawyer transfer between firms - when be returned - lawyer should copy for their 48(R) -
transferring lawyer can discuss past benefit (complaints) 49(R) 3.3
representation with new firm (r. 3.4-21 - 37(R) - Documents prepared by lawyer for client -
3.4-22 and 3.3-7) 38(L) 10.2 duty to return files belonging to client at
Disqualification - transferring lawyer - end of retainer - files belonging to client/to
lawyer transfer between firms (r. 3.4-21 - 37(R) - be returned - lawyer should copy for their 48(R) -
3.4-22) 38(L) 10.2 benefit (complaints) - cost 49(R) 3.3
Diversity of Lawyers-Inclusive client Documents prepared by lawyer for client -
services-quality of legal service 11(R) 8.1 duty to return files belonging to client at
end of retainer - files belonging to client/to 48(R) -
Diversity, equality and inclusion training - 23(R) 1.7.1
be returned - list 49(R) 3.3
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Documents prepared by lawyer for client - mediator

duty to return files belonging to client at Duty - administration of justice - encourage
end of retainer - files belonging to respect for admin of justice 77(L) 5.1
lawyer/need NOT be returned to client -
copy for client on request at lawyer’s 48(R) - Duty - administration of justice - retired 77(R) -
discretion 49(R) 3.3 judges returning to practice 78(R) 5.5
Documents prepared by lawyer for client - Duty - administration of justice - security of
duty to return files belonging to client at court facilities 77(LR) 5.3
end of retainer - files belonging to Duty - administration of justice - seeking
lawyer/need NOT be returned to client - legislative/admin. change 77(L) 5.2
copy for client on request at lawyer’s 48(R) -
Duty - administrative change - seeking
discretion - cost 49(R) 3.3
(r. 5.6-1 - 5.6-2 and commentary) 77(L) 5.2
Documents prepared by lawyer for client -
Duty - advertising - residential real estate
duty to return files belonging to client at
services (r. 4.2-2.1 and commentary) 91(LR) 2.3
end of retainer - files belonging to 48(R) -
lawyer/need NOT be returned to client - list 49(R) 3.3 Duty - advertising fees (r. 4.2-2) 91(L) 2.2
Documents required to verify a client - Duty - advertising legal services (r. 4.2-0- 89(R) -
client is an individual (By-Law 7.1, ss. 4.2-1.1 and commentaries) 90(L) 2.1
22(1)(b), 23(4) - (5), and (7)) 19(L) 3.2.1 Duty - advertising nature of practice (r. 4.3-
Documents required to verify a client - 1 and commentary; By-Law 15) 91(R) 2.4
client is an organization (By-Law 7.1, ss. Duty - advocacy - defence counsel
22(1)(b), 23(4), and (6) - (7)) 19(R) 3.2.2 (commentary r. 5.1-1) 82(LR) 2.1
Documents to be retained by lawyer - By- 94(R) -
Duty - advocacy - lawyer as advocate 81(L) Intro
Law 9 95(L) 3.4
Duty - advocacy - lawyer as defence
Drugs or alcohol - tribunal processes - 83(R) -
counsel (commentary r. 5.1-1) 82(LR) 2.1
shall not (r. 5.1-2(p)) 84(L) 3.6
Duty - advocacy - lawyer as prosecutor (r.
Due diligence - ensure no conflict re non-
5.1-3 and commentary) 82(R) 2.2
lawyer staff transfers between law firms (r.
3.4-23 and commentary) 38(L) 10.3 Duty - advocacy - prosecutor (r. 5.1-3 and
commentary) 82(R) 2.2
Duplicate cash receipts book - 6 years 119(R) 6.4.2
Duty - affiliated entities - delegation - need
Duplicate cash receipts book - 6 years - client’s consent 101(L) 7.6
other record keeping requirements 119(L) 6.4
Duty - agreement on guilty pleas (r. 5.1-7 -
119(R) - 5.1-8) 87(LR)) 8
Duplicate cash receipts book - contains 120(L) 6.4.2
Duty - alcohol, drugs before tribunal
Duplicate cash receipts book (6 years) - process 83(R) -
record keeping requirements 119(R) - 6.4.2 (r. 5.1-2(p)) 84(L) 3.6
120(L)
Sample - Figure 6 - Duplicate Cash Duty - appearances in public (s. 7.5) 77(R) 4.3
Receipt 127 7 Duty - articling students - supervision 99(R) 7
Duplicate deposit slips - general and trust Duty - articling students - supervision (By-
deposit slips - source documents - other Law 4, s. 34) 99(R) 7
record keeping requirements 119(R) 6.4.1
Duty - avoid conflicts of interest (r. 1.1-1
Duress - client instructions - client under and r. 3.4-1)
duress - duty to client 45(LR) 2.6 SEE: conflict of interest 31(R) 3
Duress - client under duress - duty to client 45(LR) 2.6 Duty - balance duty of loyalty +
Duress/undue influence/pressure - client confidentiality to client and duties owed to
under duress - lawyer’s duties 45(LR) 2.6 administration of justice 84(LR) 3.7
Duties - required by professionalism 5(L) 1 Duty - change - seeking legislative or
administrative change (r. 5.6-1 - 5.6-2 and
Duty - Aboriginal or French language commentary) 77(L) 5.2
rights of client (r. 3.2-2A - 3.2-2B and 46(R) -
commentary) 47(L) 2.11 Duty - civility in communications (r. 7.2-5) 75(L) 3.2
Duty - abstain from threatening criminal, Duty - client - ADR (r. 3.2-4 and
quasi-criminal, regulatory proceedings or commentary) 44(L) 2.2
complaint without justification (r. 3.2-5 and Duty - client - advising client, when - list of
commentary) 44(LR) 2.3 duties 43(R) 2
Duty - abuse tribunal process (r. 3.2-5 and 82(R) - Duty - client - Alternative Dispute
commentary, and 5.1-2(a) and(n)) 83(L) 3.1 Resolution (r. 3.2-4 and commentary) 44(L) 2.2
Duty - administration of justice - acting as 77(R) 5.4
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Duty - client - candour and honesty - illegal Duty - client - client property - documents
client expectations (rr. 3.1-2 commentary, 43(R) - prepared by lawyer - duty to keep out of 48(R) -
3.2-2 and commentary) 44(L) 2.1 sight 49(R) 3.3
Duty - client - candour and honesty - Duty - client - client property - documents
lawyer’s opinion - when to provide (rr. 3.1- 43(R) - prepared by lawyer - duty to return files 48(R) -
2 commentary, 3.2-2 and commentary) 44(L) 2.1 belonging to client at end of retainer 49(R) 3.3
Duty - client - candour and honesty - Duty - client - client property - documents
unlawful client expectations (rr. 3.1-2 43(R) - prepared by lawyer - duty to return files
commentary, 3.2-2 and commentary) 44(L) 2.1 belonging to client at end of retainer - files
Duty - client - candour and honesty - belonging to client/to be returned - 48(R) -
unreasonable client expectations (rr. 3.1-2 43(R) - definition 49(R) 3.3
commentary, 3.2-2 and commentary) 44(L) 2.1 Duty - client - client property - documents
48(R) - prepared by lawyer - duty to return files
Duty - client - client documents 49(R) 3.3 belonging to client at end of retainer - files
belonging to client/to be returned - lawyer 48(R) -
Duty - client - client documents - duty to 48(R) - should copy for their benefit (complaints) 49(R) 3.3
preserve 49(R) 3.3
Duty - client - client property - documents
Duty - client - client documents - duty to 48(R) - prepared by lawyer - duty to return files
return 49(R) 3.3 belonging to client at end of retainer - files
Duty - client - client documents - storing, 47(R) - belonging to client/to be returned - lawyer
recording, and tracking 48(L) 3.1 should copy for their benefit (complaints) - 48(R) -
cost 49(R) 3.3
Duty - client - client files
SEE: “Duty - client - client property - 48(R) - Duty - client - client property - documents
documents prepared by lawyer” 49) 3.3 prepared by lawyer - duty to return files
belonging to client at end of retainer - files 48(R) -
Duty - client - client information, regarding
belonging to client/to be returned - list 49(R) 3.3
- attempted seizure by external authority -
privilege (s. 3.5 and commentaries; By- Duty - client - client property - documents
Law 9) 47(LR) 3 prepared by lawyer - duty to return files
belonging to client at end of retainer - files
Duty - client - client information, regarding
belonging to lawyer/need NOT be returned
- claims by third parties - privilege (s. 3.5
to client - copy for client on request at 48(R) -
and commentaries; By-Law 9) 47(LR) 3
lawyer’s discretion 49(R) 3.3
Duty - client - client information, regarding
Duty - client - client property - documents
- duty of care (general) (s. 3.5 and
prepared by lawyer - duty to return files
commentaries; By-Law 9) 47(LR) 3
belonging to client at end of retainer - files
Duty - client - client information, regarding belonging to lawyer/need NOT be returned
- seizure by external authority - privilege to client - copy for client on request at 48(R) -
(s. 3.5 and commentaries; By-Law 9) 47(LR) 3 lawyer’s discretion - cost 49(R) 3.3
Duty - client - client information, regarding Duty - client - client property - documents
- standard of care (general) (s. 3.5 and prepared by lawyer - duty to return files
commentaries; By-Law 9) 47(LR) 3 belonging to client at end of retainer - files
Duty - client - client information, regarding belonging to lawyer/need NOT be returned 48(R) -
(s. 3.5 and commentaries; By-Law 9) 47(LR) 3 to client -- list 49(R) 3.3
Duty - client - client money - receiving, Duty - client - client property - storing, 47(R) -
holding, disbursing client money - recording, and tracking 48(L) 3.1
examples of types of money (s. 3.5 and Duty - client - client property, regarding -
commentaries; By-Law 9) 48(L) 3.2 attempted seizure by external authority -
Duty - client - client money - receiving, privilege (s. 3.5 and commentaries; By-
holding, disbursing client money - Law 9) 47(LR) 3
requirements (s. 3.5 and commentaries; Duty - client - client property, regarding -
By-Law 9) 48(L) 3.2 claims by third parties - privilege (s. 3.5
Duty - client - client money - receiving, and commentaries; By-Law 9) 47(LR) 3
holding, disbursing client money (s. 3.5 Duty - client - client property, regarding -
and commentaries; By-Law 9) 48(L) 3.2 duty of care (general) (s. 3.5 and
Duty - client - client money - trust account commentaries; By-Law 9) 47(LR) 3
(s. 3.5 and commentaries; By-Law 9) 48(L) 3.2 Duty - client - client property, regarding -
Duty - client - client money (s. 3.5 and legal documents - lawyer’s duties in 47(R) -
commentaries; By-Law 9) 48(L) 3.2 safekeeping and recording 48(L) 3.1
Duty - client - client property - documents 48(R) - Duty - client - client property, regarding - 47(R) - 3.1
prepared by lawyer 49(R) 3.3 original client property (e.g. original wills, 48(L)
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trust deeds, etc.) fiduciary duty

Duty - client - client property, regarding - Duty - client - competence - client’s
seizure by external authority - privilege (s. language rights - lawyer providing services
3.5 and commentaries; By-Law 9) 47(LR) 3 in unfamiliar official language (r. 3.2-2A - 46(R) -
Duty - client - client property, regarding - 3.2-2B and commentary) 47(L) 2.11
specific duties regarding receiving, storing, Duty - client - competence - language
and returning client property (s. 3.5 and 47(L) - rights - lawyer providing services in
commentaries; By-Law 9) 48(L) 3 - 3.1 unfamiliar official language (r. 3.2-2A - 3.2- 46(R) -
Duty - client - client property, regarding - 2B and commentary) 47(L) 2.11
standard of care (general) (s. 3.5 and Duty - client - competence - lawyer
commentaries; By-Law 9) 47(LR) 3 providing services in unfamiliar official
Duty - client - client property, regarding - 47(R) - language - client’s language rights (r. 3.2- 46(R) -
storing client property 48(L) 3.1 2A - 3.2-2B and commentary) 47(L) 2.11
Duty - client - client property, regarding - Duty - client - competence - official
storing client property - recording and 47(R) - language rights - lawyer providing services
tracking 48(L) 3.1 in unfamiliar official language (r. 3.2-2A - 46(R) -
3.2-2B and commentary) 47(L) 2.11
Duty - client - client property, regarding - 47(R) -
unrelated to retainer 48(L) 3.1 Duty - client - competence - providing
services in unfamiliar official language -
Duty - client - client property, regarding - client’s language rights (r. 3.2-2A - 3.2-2B 46(R) -
valuable property - valuable property 47(R) - and commentary) 47(L) 2.11
record - definition, contents 48(L) 3.1
Duty - client - confidentiality 25(L) -
Duty - client - client property, regarding - SEE: Confidentiality 26(L) 2 - 2.3
valuable property - valuable property
record - does not include non-negotiable 47(R) - Duty - client - confidentiality - medical-legal
or non-sellable property 48(L) 3.1 reports - disclosure to client (r. 3.2-9.1 - 45(R) -
3.2-9.3 and commentary) 46(L) 2.7
Duty - client - client property, regarding -
valuable property - valuable property Duty - client - confidentiality - medical-legal
record - legal documents and trust money 47(R) - reports (r. 3.2-9.1 - 3.2-9.3 and 45(R) -
excluded 48(L) 3.1 commentary) 46(L) 2.7
Duty - client - client property, regarding - Duty - client - conveyance of real property
valuable property - valuable property 47(R) - - title insurance (r. 3.2-9.4 - 3.2-9.7 and
record - list of property it applies to 48(L) 3.1 commentaries) 46(L) 2.8
Duty - client - client property, regarding - Duty - client - disclosure to client -
valuable property - valuable property medical-legal reports (r. 3.2-9.1 - 3.2-9.3 45(R) -
record - list of property it does NOT apply 47(R) - and commentary) 46(L) 2.7
to 48(L) 3.1 Duty - client - encouraging settlement and
Duty - client - client property, regarding - 47(R) - presenting settlement offers / considering
valuable property 48(L) 3.1 alternative dispute resolution (ADR) (r. 3.2-
4 and commentary)
Duty - client - client property, regarding - 47(R) - SEE: “Duty - settlement/alternative dispute
valuable property - recording requirements 48(L) 3.1 resolution (ADR) - duty to encourage” 44(L) 2.2
Duty - client - client property, regarding - Duty - client - errors and omissions by
valuable property - recording requirements 47(R) - lawyer - conflict of interest (r. 7.8) 46(R) 2.1
- trust moneys separate 48(L) 3.1
Duty - client - errors and omissions by
Duty - client - client property, regarding - 47(R) - lawyer - duty to report (r. 7.8) 46(R) 2.1
valuable property - selling or negotiating 48(L) 3.1
Duty - client - errors and omissions by
Duty - client - client property, regarding - 47(R) - lawyer (r. 7.8) 46(R) 2.1
valuable property - trust money -- definition 48(L) 3.1
Duty - client - fair & reasonable
Duty - client - client property, regarding (s. 47(L) - compensation
3.5 and commentaries; By-Law 9) 48(L) 3 - 3.1 (r. 3.6-1 and commentary; r. 3.6-4; and
Duty - client - client with diminished commentary, 4.1-1)
capacity - minor or disabled client lacking SEE: Fees 52(LR) 2.1
legal capacity (r. 3.2-9 and commentary) 45(L) 2.5 Duty - client - fees 51(R) - 2.1 -
Duty - client - client’s dishonesty, fraud, SEE: Fees 53(R) 2.6
crime, illegal conduct (r. 3.2-7 - 3.2-8 and Duty - client - fiduciary duty 43(LR) 1
commentary)
SEE: “Assisting dishonesty, fraud, crime, 44(R) - Duty - client - fiduciary duty - definition 43(LR) 1
illegal conduct by client” 45(L) 2.4
Duty - client - fiduciary duty - requirements 43(LR) 1
Duty - client - competence - aspect of 43(LR) 1
Duty - client - fiduciary duty - requirements 43(LR) 1
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- minimum standard of competence Duty - client - offers of settlement (r. 3.2-4

98(R) and commentary) 44(L) 2.2
6.1 Duty - client - official language rights
Duty - client - financial responsibilities (r. 76(R) - (French or Aboriginal), advise regarding (r. 46(R) -
7.1-2 and commentary) 77(L) 3.5 3.2-2A - 3.2-2B and commentary) 47(L) 2.11
Duty - client - further retainers required - Duty - client - official language rights
duty to advise client 51(R) 1 (French or Aboriginal), duty to know law
Duty - client - honesty and candour - duty regarding (r. 3.2-2A - 3.2-2B and 46(R) -
to client - content of duty (rr. 3.1-2 commentary) 47(L) 2.11
commentary, 3.2-2 and commentary) 43(R) - Duty - client - official language rights
SEE “Candour and honesty - duty to client” 44(L) 2.1 (French or Indigenous), advise regarding 46(R) -
Duty - client - language rights (French or (r. 3.2-2A - 3.2-2B and commentary) 47(L) 2.11
Aboriginal), advise regarding (r. 3.2-2A - 46(R) - Duty - client - official language rights
3.2-2B and commentary) 47(L) 2.11 (French or Indigenous), duty to know law
Duty - client - language rights (French or regarding (r. 3.2-2A - 3.2-2B and 46(R) -
Aboriginal), duty to know law regarding (r. 46(R) - commentary) 47(L) 2.11
3.2-2A - 3.2-2B and commentary) 47(L) 2.11 Duty - client - omissions and errors by
Duty - client - language rights (French or lawyer - conflict of interest (r. 7.8) 46(R) 2.1
Indigenous), advise regarding (r. 3.2-2A - 46(R) - Duty - client - omissions and errors by
3.2-2B and commentary) 47(L) 2.11 lawyer - duty to report (r. 7.8) 46(R) 2.1
Duty - client - language rights (French or Duty - client - omissions and errors by
Indigenous), duty to know law regarding (r. 46(R) - lawyer (r. 7.8) 46(R) 2.1
3.2-2A - 3.2-2B and commentary) 47(L) 2.11
Duty - client - privilege 25(L) 1
Duty - client - lender client where loan
Duty - client - real estate transaction - title
secured by mortgage on real property -
insurance (r. 3.2-9.4 - 3.2-9.7 and
reporting mortgage transactions - time
commentaries) 46(L) 2.8
frame for providing duplicate mortgage
and final report (r. 3.2-9.8 - 3.2-9.9) 46(LR) 2.9 Duty - client - real property transaction -
title insurance (r. 3.2-9.4 - 3.2-9.7 and
Duty - client - lender client where loan
commentaries) 46(L) 2.8
secured by mortgage on real property -
reporting mortgage transactions (r. 3.2-9.8 Duty - client - refusal to act - threatening
- 3.2-9.9) 46(LR) 2.9 unjustified criminal, quasi-criminal, or
regulatory proceeding (r. 3.2-5 and
Duty - client - lender client where loan
commentary) 44(LR) 2.3
secured by mortgage on real property -
time frame for providing duplicate Duty - client - regarding client property -
mortgage and final report (r. 3.2-9.8 - 3.2- attempted seizure - privilege (s. 3.5 and
9.9) 46(LR) 2.9 commentaries; By-Law 9) 47(LR) 3
Duty - client - loyalty 43(LR) 1 Duty - client - regarding client property -
attempted seizure (s. 3.5 and
Duty - client - loyalty (fiduciary duty) 43(LR) 1 commentaries; By-Law 9) 47(LR) 3
Duty - client - minor client (r. 3.2-9 and Duty - client - regarding client property -
commentary) 45(L) 2.5 duty of care (general) (s. 3.5 and
Duty - client - mortgagee client - mortgage commentaries; By-Law 9) 47(LR) 3
transactions - reporting mortgage Duty - client - regarding client property -
transactions (r. 3.2-9.8 - 3.2-9.9) 46(LR) 2.9 legal documents - lawyer’s duties in 47(R) -
Duty - client - mortgagee client - mortgage safekeeping and recording 48(L) 3.1
transactions - time frame for providing Duty - client - regarding client property -
duplicate mortgage and final report (r. 3.2- original client property (e.g. original wills, 47(R) -
9.8 - 3.2-9.9) 46(LR) 2.9 trust deeds, etc.) 48(L) 3.1
Duty - client - mortgagee client - reporting Duty - client - regarding client property -
mortgage transactions - time frame for seizure - privilege (s. 3.5 and
providing duplicate mortgage and final commentaries; By-Law 9) 47(LR) 3
report (r. 3.2-9.8 - 3.2-9.9) 46(LR) 2.9
Duty - client - regarding client property -
Duty - client - mortgagee client - reporting seizure (s. 3.5 and commentaries; By-Law
mortgage transactions (r. 3.2-9.8 - 3.2-9.9) 46(LR) 2.9 9) 47(LR) 3
Duty - client - mortgagee client- mortgage Duty - client - regarding client property -
transactions - reporting mortgage specific duties regarding receiving, storing,
transactions - time frame for providing and returning client property (s. 3.5 and 47(L) -
duplicate mortgage and final report (r. 3.2- commentaries; By-Law 9) 48(L) 3 - 3.1
9.8 - 3.2-9.9) 46(LR) 2.9
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Duty - client - regarding client property - 47(R) - transaction (r. 3.2-9.4 - 3.2-9.7 and
storing client property 48(L) 3.1 commentaries)
Duty - client - regarding client property - Duty - client - title insurance - real property
storing client property - accounting and 47(R) - transaction (r. 3.2-9.4 - 3.2-9.7 and
tracking 48(L) 3.1 commentaries) 46(L) 2.8
Duty - client - regarding client property - 47(R) - Duty - client - title insurance not mandatory
unrelated to retainer 48(L) 3.1 - real property conveyance - advice to
Duty - client - regarding client property - 47(R) - client (r. 3.2-9.4 - 3.2-9.7 and
valuable property 48(L) 3.1 commentaries) 46(L) 2.8
Duty - client - regarding client property - 47(R) - Duty - client - title insurance not
valuable property - recording requirements 48(L) 3.1 mandatory, advice regarding - conveyance
of real property
Duty - client - regarding client property - (r. 3.2-9.4 - 3.2-9.7 and commentaries) 46(L) 2.8
valuable property - recording requirements 47(R) -
- trust moneys separate 48(L) 3.1 Duty - client - unjustified threatening of
criminal, quasi-criminal, regulatory
Duty - client - regarding client property - 47(R) - proceedings or complaint (r. 3.2-5 and
valuable property - selling or negotiating 48(L) 3.1 commentary) 44(LR) 2.3
Duty - client - regarding client property - 47(R) - Duty - client - when advising client - list of
valuable property - trust money -- definition 48(L) 3.1 duties 43(R) 2
Duty - client - regarding client property - 48(R) -
valuable property - valuable property 47(R) - Duty - client documents - duty to client 49(R) 3.3
record - definition, contents 48(L) 3.1
Duty - client documents - duty to preserve 48(R) -
Duty - client - regarding client property - - duty to client 49(R) 3.3
valuable property - valuable property
record - does not include non-negotiable 47(R) - Duty - client documents - duty to return - 48(R) -
or non-sellable property 48(L) 3.1 duty to client 49(R) 3.3
Duty - client - regarding client property - Duty - client file
valuable property - valuable property SEE: “Duty - client - client property - 48(R) -
record - legal documents and trust money 47(R) - documents prepared by lawyer” 49(R) 3.3
excluded 48(L) 3.1 Duty - client file - closing 94(L) 3.3
Duty - client - regarding client property - Duty - client file - destroying closed file 94(LR) 3.3
valuable property - valuable property 47(R) -
record - list of property it applies to 48(L) 3.1 Duty - client file - documents to be retained 94(R) -
after closing 95(L) 3.4
Duty - client - regarding client property -
valuable property - valuable property Duty - client file - naming 93(LR) 3.2
record - list of property it does NOT apply 47(R) - Duty - client file - opening 93(R) 3.2
to 48(L) 3.1
93(L) -
Duty - client - regarding client property (s. 47(L) - Duty - client file - organization 94(L) 3.2
3.5 and commentaries; By-Law 9) 48(L) 3 - 3.1
Duty - client file - retaining closed file 94(LR) 3.3
Duty - client - representation even if non-
payment of fees 51(R) 1 Duty - client file - retuning documents to
client
Duty - client - retain third party on behalf of
SEE: “Duty - client - client property - 48(R) -
(r. 7.1-2 and commentary) 98(R) 6.1
documents prepared by lawyer” 49(R) 3.3
Duty - client - returning documents to client
SEE: “Duty - client - client property - 48(R) - Duty - client file - role of filing system 93(LR) 3.2
documents prepared by lawyer” 49(R) 3.3 93(L) -
Duty - client - settlement (r. 3.2-4 and Duty - client file - storage 94(L) 3.2
commentary) 44(L) 2.2 Duty - client information - duty to client -
Duty - client - settlement offers (r. 3.2-4 attempted seizure by external authority -
and commentary) 44(L) 2.2 privilege (s. 3.5 and commentaries; By-
Law 9) 47(LR) 3
Duty - client - threatening criminal, quasi-
criminal, regulatory proceedings or Duty - client information - duty to client -
complaint without justification (r. 3.2-5 and claims by third parties - privilege (s. 3.5
commentary) 44(LR) 2.3 and commentaries; By-Law 9) 47(LR) 3
Duty - client - threatening unjustified Duty - client information - duty to client -
criminal, quasi-criminal, or regulatory duty of care (general) (s. 3.5 and
proceeding - refusal to act (r. 3.2-5 and commentaries; By-Law 9) 47(LR) 3
commentary) 44(LR) 2.3 Duty - client information - duty to client - 47(LR) 3
seizure by external authority - privilege (s.
Duty - client - title insurance - real estate 46(L) 2.8
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3.5 and commentaries; By-Law 9) Duty - communication - courtesy, civility

Duty - client information - duty to client - (r. 7.2-4) 75(L) 3.2
standard of care (general) (s. 3.5 and Duty - communication - promptness (r. 7.2-
commentaries; By-Law 9) 47(LR) 3 5) 75(L) 3.2
Duty - client information - duty to client (s. Duty - communication - represented
3.5 and commentaries; By-Law 9) 47(LR) 3 person as witness 85(L) 4.2
Duty - client is organization - report up the Duty - communication - second opinion (r.
ladder (unethical conduct) (r. 3.2-7 - 3.2-8 7.2-7 and commentary) 75(R) 3.3
and commentary) Duty - communication - sympathetic and 85(R) -
SEE: “Assisting dishonesty, fraud, crime, 44(R) - unsympathetic witnesses 86(L) 4.3.2
illegal conduct by client” 45(L) 2.4
Duty - communication - with jurors (r. 5.5-
Duty - client money - duty to client (s. 3.5 1, 5.5-4, and commentaries) 86(R) 5.1
and commentaries; By-Law 9) 48(L) 3.2
Duty - communication - with media (s. 7.5) 77(R) 4.3
Duty - client money - receiving, holding,
disbursing client money - duty to client (s. Duty - communication - with represented
3.5 and commentaries; By-Law 9) 48(L) 3.2 person / organization (r. 7.2-6 - 7.2-7 and
commentaries) 75(LR) 3.3
Duty - client money - trust account - duty
to client (s. 3.5 and commentaries; By-Law Duty - communication - with witness giving
9) 48(L) 3.2 evidence (r. 5.4-2) 85(LR) 4.3
Duty - client money (s. 3.5 and Duty - competence - client service and
commentaries; By-Law 9) communication 22(LR) 1.4
SEE: “Duty - client - client money” 48(L) 3.2 Duty - competence - client’s language
Duty - client property - duty to client - rights - lawyer providing services in
attempted seizure by external authority - unfamiliar official language - duty to client 46(R) -
privilege (s. 3.5 and commentaries; By- (r. 3.2-2A - 3.2-2B and commentary) 47(L) 2.11
Law 9) 47(LR) 3 22(R) -
Duty - client property - duty to client - duty Duty - competence - cultural competence 23(L) 1.5
of care (general) (s. 3.5 and Duty - competence - judgment 22(L) 1.3
commentaries; By-Law 9) 47(LR) 3
Duty - competence - judgment -
Duty - client property - duty to client - deliberation 22(L) 1.3
seizure by external authority - privilege (s.
3.5 and commentaries; By-Law 9) 47(LR) 3 Duty - competence - judgment - intellectual
capacity 22(L) 1.3
Duty - client property - duty to client -
standard of care (general) (s. 3.5 and Duty - competence - knowledge 21(R) 1.1
commentaries; By-Law 9) 47(LR) 3 Duty - competence - language rights -
Duty - client property - duty to client (s. 3.5 lawyer providing services in unfamiliar
and commentaries; By-Law 9) 47(LR) 3 official language - duty to client (r. 3.2-2A - 46(R) -
3.2-2B and commentary) 47(L) 2.11
Duty - client property - duty to client claims
by third parties - privilege (s. 3.5 and Duty - competence - lawyer providing
commentaries; By-Law 9) 47(LR) 3 services in unfamiliar official language -
client’s language rights - duty to client (r. 46(R) -
Duty - client under duress/undue
3.2-2A - 3.2-2B and commentary) 47(L) 2.11
influence/pressure 45(LR) 2.6
Duty - competence - official language
Duty - client under duress/undue
rights - lawyer providing services in
influence/pressure - client’s wishes -
unfamiliar official language - duty to client 46(R) -
voluntariness 45(LR) 2.6
(r. 3.2-2A - 3.2-2B and commentary) 47(L) 2.11
Duty - client under duress/undue
influence/pressure - client’s Duty - competence - practice management 23(L) 1.6
wishes/instructions 45(LR) 2.6 Duty - competence - professional
Duty - client with diminished capacity - development 23(LR) 1.7
minor or disabled client lacking legal Duty - competence - providing services in
capacity (r. 3.2-9 and commentary) 45(L) 2.5 unfamiliar official language - client’s
language rights - duty to client (r. 3.2-2A - 46(R) -
Duty - client, to - list of duties 43(L) Intro
3.2-2B and commentary) 47(L) 2.11
Duty - client’s dishonesty, fraud, crime,
illegal conduct (r. 3.2-7 - 3.2-8 and Duty - competence - quality of service 24(R) 2
commentary) Duty - competence - skills 22(L) 1.2
SEE: “Assisting dishonesty, fraud, crime, 44(R) -
illegal conduct by client” 45(L) 2.4 Duty - competence in providing services in 46(R) - 2.11
unfamiliar official language - client’s 47(L)
Duty - closing client file 94(L) 3.3 language rights - duty to client (r. 3.2-2A -
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3.2-2B and commentary) Duty - disclose juror improper conduct (r.

Duty - confidentiality - client information - 5.5-2 - 5.5-3) 86(R) 5.2
literary works by lawyer (r. 3.3-1, Duty - disclose jurors interest or
commentary 11.1) 29(R) 6.1 connection with case or party (r. 5.5-2 -
Duty - confidentiality - discussion of client 5.5-3) 86(R) 5.2
matters in office or public (commentary r. 29(R) - Duty - disclosure - examinations for
3.3-1) 30(LR) 6.2 discovery
Duty - confidentiality - medical-legal (r. 5.1-3.1) 87(L) 7
reports - disclosure to client (r. 3.2-9.1 - 45(R) - Duty - disclosure to client - medical-legal
3.2-9.3 and commentary) 46(L) 2.7 reports (r. 3.2-9.1 - 3.2-9.3 and 45(R) -
Duty - confidentiality - medical-legal commentary) 46(L) 2.7
reports (r. 3.2-9.1 - 3.2-9.3 and 45(R) - Duty - discovery - lawyer’s obligations (r.
commentary) 46(L) 2.7 5.1-3.1) 87(L) 7
Duty - confidentiality - organization as Duty - dishonest conduct of another
client - engages or intends to engage in lawyer/paralegal - encourage client to
illegal activity - “whistle blowing” (r. 3.2-8 report (r. 7.1-4 - 7.1-4.3) 73(R) 2.2
and 3.3-3 and commentaries) 29(L) 5.1 Duty - dishonesty before tribunals (r. 5.1-1
Duty - confidentiality - r. 3.3-1 and and commentary, and r. 5.1-2(b), (e), (f),
commentary 25(L) - (g), (j) and (k)) 83(R) 3.4
SEE: Confidentiality 26(L) 2 - 2.3
Duty - docketing of time 96(R) 4.3
92(R) - 3.1
Duty - document registration agreement -
Duty - conflict checking - screen for conflict 93(L)
real estate transactions 76(R) 3.4
of interest (r. 3.4-1-3.4-3 and
commentaries) 42(R) 13 Duty - documents to be retained after 94(R) -
closing of file 95(L) 3.4
Duty - conflict of interest (r. 1.1-1 and 3.4-1
and commentary) Duty - drugs, alcohol before tribunal
SEE: conflict of interest 31(L) 2 process 83(R) -
(r. 5.1-2(p)) 84(L) 3.6
Duty - consent - retain third party on behalf
of (r. 7.1-2 and commentary) 98(R) 6.1 Duty - duress - client under duress 45(LR) 2.6
Duty - conveyance of real property - title Duty - duty not to counsel or participate in
insurance advice (r. 3.2-9.4 - 3.2-9.7 and the concealment, destruction, or alteration
commentaries) 46(L) 2.8 of incriminating physical evidence (r. 5.1-
Duty - court facilities - security - duty of 2A and commentary) 84(LR) 3.7
confidentiality (r. 5.6-3 and commentary) 77(LR) 5.3 Duty - encourage client to report dishonest
Duty - courtesy and good faith - duty to conduct of another lawyer/paralegal (r.
lawyers and others (r. 7.2-1 - 7.2-3 and 74(R) - 7.1-4 - 7.1-4.3) 73(R) 2.2
commentary) 75(L) 3.1 Duty - encourage respect for
Duty - courtesy in communications (r. 7.2- administration of justice (r. 5.6-1 and 7.2-1
4) 75(L) 3.2 and commentaries) 77(L) 5.1
Duty - criminal charges, convictions - Duty - encourage settlement and present
report 73(R) - settlement offers / consider alternative
(r. 7.1-4.4 and commentary; By-Law 8, s.2) 74(L) 2.3 dispute resolution (ADR) (r. 3.2-4 and
commentary)
Duty - criminal proceeding - plea bargain SEE: “Duty - settlement/alternative dispute
(r. 5.1-7 - 5.1-8) 87(LR) 8 resolution (ADR) - duty to encourage” 44(L) 2.2
Duty - defence counsel (commentary r. Duty - error by lawyer - report - duty to
5.1-1) 82(LR) 2.1 client (r. 7.8) 46(R) 2.1
Duty - delegation - affiliated entities - client Duty - error or omission - disclose to
consent required 101(L) 7.6 insurer
Duty - delegation - non-lawyers and (s. 7.8) 74(LR) 2.4
support staff (By-Law 7.1, Part I; r.6.1-1 Duty - error or omission - duty to insurer
and commentary) 100(LR) 7.3 (s. 7.8) 74(LR) 2.4
Duty - destroying closed client file 94(LR) 3.3 Duty - error or omission by lawyer - report
Duty - diminished capacity client - minor or - duty to client (r. 7.8) 46(R) 2.1
disabled client lacking legal capacity (r. Duty - errors and omissions by lawyer -
3.2-9 and commentary) 45(L) 2.5 professional liability insurer - duty to report
Duty - disclose confidential information - potential claim (r. 7.8) 46(R) 2.1
where required by law (r. 3.3-1.1) 27(LR) 4.1 Duty - examinations for discovery (r. 5.1- 87(L) 7
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3.1) Duty - insurer - professional liability insurer

Duty - fair & reasonable compensation (r. - errors and omissions by lawyer - duty to
3.6-1 and commentary; r. 3.6-4; and report potential claim (r. 7.8) 46(R) 2.1
commentary, 4.1-1) Duty - interests - outside interests (r. 7.3-1
SEE: Fees 52(LR) 2.1 - 7.3-2 and commentary) 77(L) 4.1
Duty - falsehood to tribunals (r. 5.1-1 and Duty - interviewing represented person 85(L) 4.2
commentary, and r. 5.1-2(b), (e), (f), (g), (j)
and (k)) 83(R) 3.4 Duty - interviewing witnesses (r. 5.3-1) 85(L) 4.1
77(R) -
Duty - fees - advertising (r. 4.2-2) 91(L) 2.2
Duty - judges returning to practice (s. 7.7) 78(R) 5.5
Duty - fees - to client 51(R) - 2.1 -
Duty - jurors - communications jurors (r.
SEE: Fees 53(R) 2.6
5.5-1, 5.5-4, and commentaries) 86(R) 5.1
92(L) -
Duty - jurors - disclose juror improper
Duty - file management 95(L) 3 - 3.4
conduct
Duty - financial obligations (r. 7.1-2 and 76(R) - (r. 5.5-2 - 5.5-3) 86(R) 5.2
commentary) 77(L) 3.5
Duty - jurors - disclose juror interest in or
Duty - financial reporting and compliance connection to case (r. 5.5-2 - 5.5-3) 86(R) 5.2
(By-Laws 8 and 9; Law Society Act, s. 57) 99(L) 6.3
Duty - law firm names (r. 4.2-0-4.2-1.1 and 89(R) -
Duty - financial responsibilities 98(LR) 6 commentaries) 90(L) 2.1
98(R) Duty - Law Society - submit to disciplinary
6.1 authority 72(LR) 1.5
Duty - financial responsibilities - on behalf 76(R) - Duty - law students and paralegal students
of client (r. 7.1-2 and commentary) 77(L) 3.5 - supervision (By-Law 7.1, Part I) 99(R) 7
Duty - financial responsibilities - retain Duty - lawyer - competence - aspect of
third party on behalf of client (r. 7.1-2 and fiduciary duty 43(LR) 1
commentary) 98(R) 6.1
Duty - lawyer - fiduciary duty 43(LR) 1
Duty - firm names (r. 4.2-0-4.2-1.1 and 89(R) -
commentaries) 90(L) 2.1 Duty - lawyer - fiduciary duty - definition 43(LR) 1
Duty - fraud before tribunals (r. 5.1-1 and Duty - lawyer - fiduciary duty -
commentary, and r. 5.1-2(b), (e), (f), (g), (j) requirements 43(LR) 1
and (k)) 83(R) 3.4 Duty - lawyer - fiduciary duty -
Duty - French or Aboriginal language requirements - minimum standard of
rights of client (r. 3.2-2A - 3.2-2B and 46(R) - competence 43(LR) 1
commentary) 47(L) 2.11
Duty - lawyer - loyalty 43(LR) 1
Duty - French or Indigenous language
Duty - lawyer - loyalty (fiduciary duty) to
rights of client (r. 3.2-2A - 3.2-2B and 46(R) -
client 43(LR) 1
commentary) 47(L) 2.11
Duty - good faith and courtesy - duty to Duty - lawyer advising client - list of duties 43(R) 2
lawyers and others (r. 7.2-1 - 7.2-3 and 74(R) - Duty - lawyer as advocate 81(L) Intro
commentary) 75(L) 3.1
Duty - lawyer as advocate (r. 5.1-1 and
Duty - hiring support staff 99(R) 7.1 5.1-4 - 5.1-6 and commentaries) 82(L) 2
Duty - honesty and candour - duty to client Duty - lawyer as defence counsel
- content of duty (rr. 3.1-2 commentary, (commentary r. 5.1-1) 82(LR) 2.1
3.2-2 and commentary)
Duty - lawyer as prosecutor (r. 5.1-3 and
SEE: “Candour and honesty - duty to 43(R) -
commentary) 82(R) 2.2
client” 44(L) 2.1
86(R) -
Duty - Indigenous or French language
Duty - lawyer as witness (s. 5.2) 87(L) 6
rights of client (r. 3.2-2A - 3.2-2B and 46(R) -
commentary) 47(L) 2.11 Duty - lawyer dealing with witnesses 84(R) - 4-
SEE: Duty - witnesses 86(L) 4.3.3
Duty - influencing witnesses (r. 5.1-2(j),
(m), (o), 5.3-1, 7.2-6, and 7.2-8 - 7.2-8.2 Duty - lawyer in public office (r. 7.4-1) 77(LR) 4.2
and commentary) 83(R) 3.5 Duty - lawyer must present all settlement
Duty - insurance - disclose error, offers to client ASAP (r. 3.2-4 and
omissions commentary)
(s. 7.8) 74(LR) 2.4 SEE: “Duty - settlement/alternative dispute
Duty - insurance - duties after error, resolution (ADR) - duty to encourage” 44(L) 2.2
omissions Duty - lawyer, paralegal misconduct - duty
(s. 7.8) 74(LR) 2.4 to report (r. 7.1-3 and commentary) 73(L) 2.1
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Duty - lawyer’s duty in examinations for 4.2-1.1 and commentaries) 90(L)

discovery (r. 5.1-3.1) 87(L) 7
Duty - mediator (s. 5.7 and commentary) 77(R) 5.4
Duty - lawyers and others -
Duty - minor client (r. 3.2-9 and
communications (r. 7.2-4) 75(L) 3.2
commentary) 45(L) 2.5
Duty - lawyers and others -
Duty - misconduct of lawyer, paralegal -
communications with represented
duty to report (r. 7.1-3 and commentary) 73(L) 2.1
persons/organization, providing second
opinions (r. 7.2-6 - 7.2-7 and Duty - mistreating witnesses (r. 5.1-2(j),
commentaries) 75(LR) 3.3 (m), (o), 5.3-1, 7.2-6, and 7.2-8 - 7.2-8.2
and commentary) 83(R) 3.5
Duty - lawyers and others - courtesy and 74(R) -
good faith 75(L) 3.1 Duty - mortgagee client - mortgage
transactions
Duty - lawyers and others - financial 76(R) -
(r. 3.2-9.8 - 3.2-9.9) 46(LR) 2.9
obligations 77(L) 3.5
Duty - mortgagee client - mortgage
Duty - lawyers and others - undertakings
transactions - reporting obligations (r. 3.2-
and trust conditions 76(LR) 3.4
9.8 - 3.2-9.9) 46(LR) 2.9
Duty - legal profession - encourage clients
to report dishonesty 73(R) 2.2 Duty - multi-discipline practices (s. 7.8-1) 77(R) 4.4
Duty - legal profession - report misconduct Duty - naming of client file 93(LR) 3.2
(r. 7.1-3 and commentary) 73(L) 2.1 Duty - nature of practice - advertising (r.
Duty - legal profession - reporting criminal 73(R) - 4.3-1 and commentary; By-Law 15) 91(R) 2.4
charges/convictions 74(L) 2.3 Duty - no duty to assist gathering physical
Duty - legal profession - reporting errors evidence 84(LR) 3.7
and omissions 74(LR) 2.4 Duty - not to influence tribunal (r. 5.1-2(c)
Duty - legal services - marketing, and (d)) 83(LR) 3.3
advertising services (r. 4.2-0-4.2-1.1 and 89(R) - Duty - not to mislead tribunal (r. 5.1-2(e),
commentaries) 90(L) 2.1 (h), (i), and (l)) 83(L) 3.2
Duty - legislative change - seeking (r. 5.6-1 Duty - not to practice - suspension /
- 5.6-2 and commentary) 77(L) 5.2 restriction of license (r. 7.6-1.2 - 7.6-1.4;
Duty - lender client where loan secured by By-Law 7.1, Part II; and By-Law 9, Part
mortgage on real property - reporting II.1) 72(L) 1.4
obligations (r. 3.2-9.8 - 3.2-9.9) 46(LR) 2.9 Duty - not to practice - undertaking not to
Duty - lender client where loan secured by practice (r. 7.6-1.2 - 7.6-1.4; By-Law 7.1,
mortgage on real property (r. 3.2-9.8 - 3.2- Part II; and By-Law 9, Part II.1) 72(L) 1.4
9.9) 46(LR) 2.9 Duty - offering legal services (s. 4.1) 89(R) 2
Duty - liability insurer - professional liability Duty - omissions and errors by lawyer -
- insurer - omissions and errors by lawyer - professional liability insurer - duty to report
duty to report potential claim (r. 7.8) 46(R) 2.1 potential claim (r. 7.8) 46(R) 2.1
Duty - liability insurer - professional liability Duty - omissions by lawyer - report - duty
insurer - errors and omissions by lawyer - to client (r. 7.8) 46(R) 2.1
duty to report potential claim (r. 7.8) 46(R) 2.1
Duty - opening client file 93(R) 3.2
Duty - lie to tribunals (r. 5.1-1 and
commentary, and r. 5.1-2(b), (e), (f), (g), (j) 93(L) -
and (k)) 83(R) 3.4 Duty - organization of client file 94(L) 3.2
Duty - limitation period - to advise client Duty - others - Administration of justice 77(R) -
regarding 93(R) 3.2 SEE: Duty - Administration of Justice 78(L) 5
Duty - limited - scope clients (r. 3.2-1A - Duty - others - Law Society
3.2-1A2 and commentaries) 17(R) 2.5 SEE: Duty - to Law Society 71(L) 1
Duty - loyalty - prohibited use of client Duty - others - lawyer and others
information (commentary r. 3.3-1) 29(R) 6 SEE: Duty - lawyers and others 74(R) 3
Duty - LSO Duty - others - to legal profession
SEE: Duty - to Law Society 71(L) 1 SEE: Duty - legal profession 73(L) 2
Duty - maintaining client file 93(LR) 3.2 Duty - others - uphold integrity of
profession (r. 2.1-1 - 2.1-2)
Duty - making legal services available (s. SEE: Duty - uphold integrity of profession 77(L) 4
4.1) 89(R) 2
Duty - outside interests - cannot interfere
Duty - marketing - residential real estate with lawyer obligations (r. 7.3-1 - 7.3-2 and
services (r. 4.2-2.1 and commentary) 91(LR) 2.3 commentary) 77(L) 4.1
Duty - marketing legal services (r. 4.2-0- 89(R) - 2.1
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Duty - own witness - giving evidence - Duty - practice management - privacy 103(L) - 10 -
communication 85(R) 4.3.1 SEE: Privacy 105(L) 10.2.6
Duty - paralegals - supervision 101(L) 7.5 Duty - practice management - retaining
closed client file 94(LR) 3.3
98(R)
6.1 Duty - practice management - storing 93(L) -
Duty - payments on behalf of client (r. 7.1- 76(R) - client file 94(L) 3.2
2 and commentary) 77(L) 3.5 Duty - practice management - supervision
Duty - plea bargain (r. 5.1-7 - 5.1-8) 87(LR) 8 of support staff (By-Law 7.1, Part I; r.6.1-1
and commentary) 100(LR) 7.3
Duty - practice management - advertising
fees (r. 4.2-2) 91(L) 2.2 Duty - practice management - technology -
advertising, marketing, providing legal
Duty - practice management - advertising services 97(L) 5.1
legal services (r. 4.2-0-4.2-1.1 and 89(R) -
commentaries) 90(L) 2.1 Duty - practice management - technology - 97(R) -
backup 98(L) 5.3
Duty - practice management - advertising
nature of practice (r. 4.3-1 and Duty - practice management - technology - 97(R) -
commentary; By-Law 15) 91(R) 2.4 security measures 98(L) 5.3
Duty - practice management - closing Duty - practice management - technology - 97(R) -
client file 94(L) 3.3 special considerations 98(L) 5.3
92(R) - 3.1 Duty - practice management - technology - 97(R) -
Duty - practice management - conflict 93(L) update 98(L) 5.3
checking (r. 3.4-1-3.4-3 and Duty - practice management - tickler
commentaries) 42(R) 13 system - time management 96(L) 4.2
Duty - practice management - destroying Duty - practice management - time
closed client file 94(LR) 3.3 docketing 96(R) 4.3
Duty - practice management - docketing Duty - practice management - time
time 96(R) 4.3 management 95(L) 4
Duty - practice management - documents 94(R) - Duty - practice management - time
to be retained after closing 95(L) 3.4 planning 95(R) 4.1
Duty - practice management - file 92(L) - Duty - practice management - time
management 95(L) 3 - 3.4 reminder systems 96(L) 4.2
Duty - practice management - financial Duty - practice management - training
reporting and compliance (By-Laws 8 and support staff 100(L) 7.2
9; Law Society Act, s. 57) 99(L) 6.3
Duty - preparing witnesses (r. 5.3-1) 85(L) 4.1
Duty - practice management - financial
responsibilities 98(LR) 6 Duty - pressure - client under pressure 45(LR) 2.6
98(R) Duty - prevent paralegals - unauthorized
Duty - practice management - financial 6.1 practice (r. 7.6-1 and commentary) 71(R) 1.2
responsibilities - on behalf of client (r. 7.1- 76(R) - Duty - prevent unauthorized practice of
2 and commentary) 77(L) 3.5 law, provision of legal services (r. 7.6-1
Duty - practice management - firm names 89(R) - and commentary) 71(R) 1.2
(r. 4.2-0-4.2-1.1 and commentaries) 90(L) 2.1 Duty - privacy 103(L) - 10 -
Duty - practice management - hiring SEE: Privacy 105(L) 10.2.6
support staff 99(R) 7.1 Duty - professional liability insurer - errors
Duty - practice management - maintaining and omissions by lawyer - duty to report
client file 93(LR) 3.2 potential claim (r. 7.8) 46(R) 2.1
Duty - practice management - making Duty - professional liability insurer -
legal services available (s. 4.1) 89(R) 2 omissions and errors by lawyer - duty to
report potential claim (r. 7.8) 46(R) 2.1
Duty - practice management - marketing
legal services (r. 4.2-0-4.2-1.1 and 89(R) - Duty - promises (r. 5.1-6 and 7.2-11 and
commentaries) 90(L) 2.1 commentaries) 76(LR) 3.4
Duty - practice management - naming Duty - promptness in communications (r.
client file 93(LR) 3.2 7.2-5) 75(L) 3.2
Duty - practice management - opening Duty - prosecutor (r. 5.1-3 and
client file 93(R) 3.2 commentary) 82(R) 2.2
Duty - practice management - organizing 93(L) - Duty - providing services in unfamiliar 46(R) - 2.11
client file 94(L) 3.2 official language, competence - client’s 47(L)
language rights (r. 3.2-2A - 3.2-2B and
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commentary) Duty - retaining closed client file 94(LR) 3.3

Duty - public appearance and statements Duty - retired judges returning to practice 77(R) -
(s. 7.5) 77(R) 4.3 (s. 7.7) 78(R) 5.5
Duty - public office (r. 7.4-1) 77(LR) 4.2 Duty - returning documents to client
SEE: “Duty - client - client property - 48(R) -
Duty - quality of service - requirements 24(R) 2
documents prepared by lawyer” 49(R) 3.3
Duty - quality of service to client 24(R) 2 92(R) - 3.1
Duty - real estate transaction - title 93(L)
insurance - duty to client (r. 3.2-9.4 - 3.2- Duty - search for conflict of interest
9.7 and commentaries) 46(L) 2.8 (r. 3.4-1-3.4-3 and commentaries) 42(R) 13
Duty - real estate transactions - document 76(R) - Duty - second opinion (r. 7.2-7 and
registration agreement 77(L) 3.4 commentary) 75(R) 3.3
Duty - real property transaction - title Duty - security of court facilities - duty of
insurance - duty to client (r. 3.2-9.4 - 3.2- confidentiality (r. 5.6-3 and commentary) 77(LR) 5.3
9.7 and commentaries) 46(L) 2.8 Duty - seeking legislative or administrative
Duty - recording devices - not without prior 74(R) - change (r. 5.6-1 - 5.6-2 and commentary) 77(L) 5.2
knowledge 75(L) 3.1 Duty - self-represented litigants, toward (r.
Duty - relationship with judge, tribunal 7.2-9) 42(L) 12.6
member (r. 5.1-2(c) and (d)) 83(LR) 3.3 Duty - settlement/alternative dispute
Duty - reminder systems - time resolution (ADR) - duty to inform client of
management 96(L) 4.2 alternative dispute resolution options
Duty - report errors or omissions by lawyer where appropriate (r. 3.2-4 and
(r. 7.8) 46(R) 2.1 commentary) 44(L) 2.2

Duty - report misconduct of lawyer, Duty - settlement/alternative dispute

paralegal resolution (ADR) - duty to obtain client
(r. 7.1-3 and commentary) 73(L) 2.1 instructions and confirm in writing (r. 3.2-4
and commentary) 44(L) 2.2
Duty - report misconduct of lawyer,
paralegal - confidential information (rr. 3.3- Duty - settlement/alternative dispute
1(c) and 7.1-3 and commentary) 29(R) 5.3 resolution (ADR) - duty to present
settlement offers to client (r. 3.2-4 and
Duty - report own criminal charges, commentary) 44(L) 2.2
convictions 73(R) -
(r. 7.1-4.4 and commentary; By-Law 8, s.2) 74(L) 2.3 Duty - settlement/alternative dispute
resolution (ADR) - encourage settlement
Duty - reporting and compliance - financial and present settlement offers / consider
responsibilities (By-Laws 8 and 9; Law ADR (r. 3.2-4 and commentary) 44(L) 2.2
Society Act, s. 57) 99(L) 6.3
Duty - shall not abuse tribunal process (r.
Duty - reporting mortgage transactions - 3.2-5 and commentary, and 5.1-2(a) 82(R) -
mortgagee client - time frame for providing and(n)) 83(L) 3.1
duplicate mortgage and final report (r. 3.2-
9.8 - 3.2-9.9) 46(LR) 2.9 Duty - shall not appear before tribunal
under influence of alcohol, drugs (r. 5.1- 83(R) -
Duty - reporting mortgage transactions - 2(p)) 84(L) 3.6
mortgagee client (r. 3.2-9.8 - 3.2-9.9) 46(LR) 2.9
Duty - shall not influence tribunal process
Duty - represented person - as witness 85(L) 4.2 (r. 5.1-2(c) and (d)) 83(LR) 3.3
Duty - represented person / org - Duty - shall not influence, mistreat
communications with (r. 7.2-6 - 7.2-7 and witnesses (r. 5.1-2(j), (m), (o), 5.3-1, 7.2-6,
commentary) 75(LR) 3.3 and 7.2-8 - 7.2-8.2 and commentary) 83(R) 3.5
Duty - represented person / organization - Duty - shall not lie to tribunals (r. 5.1-1 and
second opinion (r. 7.2-7 and commentary) 75(R) 3.3 commentary, and r. 5.1-2(b), (e), (f), (g), (j)
Duty - respect for administration of justice - and (k)) 83(R) 3.4
encourage (r. 5.6-1 and 7.2-1 and Duty - shall not mislead tribunal (r. 5.1-
commentaries) 77(L) 5.1 2(e), (h), (i), and (l)) 83(L) 3.2
Duty - respond promptly and completely to 74(R) -
law society (r. 7.1-1) 71(LR) 1.1 Duty - sharp practice - avoid (r. 7.2-2) 75(L) 3.1
Duty - restriction of license - duty not to Duty - statements in public (s. 7.5) 77(R) 4.3
practice (r. 7.6-1.2 - 7.6-1.4; By-Law 7.1,
Part II; and By-Law 9, Part II.1) 72(L) 1.4 93(L) -
Duty - storage of client file 94(L) 3.2
Duty - retain third party on behalf of client
(r. 7.1-2 and commentary) 98(R) 6.1 Duty - submit to discipline by LSO - duty to 72(LR) 1.5
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law society (r. 1.1-1 and 2.1-1 and Duty - time management - reminder
commentary and s. 7.8.2) systems 96(L) 4.2
Duty - successor lawyer - after withdrawal 68(R) - Duty - time management - tickler systems 96(L) 4.2
of services (r. 3.7-10 and commentary) 69(L) 7
Duty - time management - time planning 95(R) 4.1
Duty - supervision 99(R) 7
Duty - time reminder systems 96(L) 4.2
Duty - supervision - articling students (By-
Law 4, s. 34) 99(R) 7 Duty - title insurance - real estate
transaction - duty to client (r. 3.2-9.4 - 3.2-
Duty - supervision - in real estate matters 9.7 and commentaries) 46(L) 2.8
(r. 6.1-1 and commentary and r. 6.1-5 - 100(R) -
6.1-6.2) 101(L) 7.4 Duty - to client - errors and omissions by
lawyer - conflict of interest (r. 7.8) 46(R) 2.1
Duty - supervision - non-lawyers and
support staff (By-Law 7.1, Part I; r.6.1-1 Duty - to client - errors and omissions by
and commentary) 100(LR) 7.3 lawyer - duty to report (r. 7.8) 46(R) 2.1
Duty - supervision - non-licensee 71(R) - Duty - to client - errors and omissions by
employees (r. 7.6-1.1) 72(L) 1.3 lawyer (r. 7.8) 46(R) 2.1

Duty - supervision - paralegals 101(L) 7.5 Duty - to client - list of duties 43(L) Intro
Duty - suspended licence - specific Duty - to client - omissions and errors by
obligations - disclose suspended status (r. lawyer - conflict of interest (r. 7.8) 46(R) 2.1
7.6-1.2 - 7.6-1.4; By-Law 7.1, Part II; and Duty - to disclose incriminating physical
By-Law 9, Part II.1) 72(L) 1.4 evidence - no duty 84(LR) 3.7
Duty - suspension of license - duty not to Duty - to Law Society - license suspended
practice (r. 7.6-1.2 - 7.6-1.4; By-Law 7.1, - cease practicing 72(L) 1.4
Part II; and By-Law 9, Part II.1) 72(L) 1.4 Duty - to Law Society - respond promptly
Duty - suspension of license - lawyer’s and completely 71(LR) 1.1
duties during suspension (r. 7.6-1.2 - 7.6- Duty - to Law Society - working with 71(R) -
1.4; By-Law 7.1, Part II; and By-Law 9, unauthorized persons 72(L) 1.3
Part II.1) 72(L) 1.4
Duty - to Law Society- prevent
Duty - sympathetic and unsympathetic 85(R) - unauthorized practice (r. 7.6-1 and
witnesses - communication 86(L) 4.3.2 commentary) 71(R) 1.2
85(R) -
Duty - training support staff 100(L) 7.2
Duty - sympathetic witness 86(L) 4.3.2
83(R) -
Duty - technology - advertising legal
Duty - tribunal - no drugs or alcohol 84(L) 3.6
services 97(L) 5.1
Duty - tribunal - not counsel or participate
97(R) -
in concealment, destruction, or alteration
Duty - technology - backup 98(L) 5.3
of incriminating physical evidence 84(LR) 3.7
97(R) -
Duty - technology - confidentiality 98(L) 5.3 82(R) -
Duty - tribunal - not to abuse process 83(L) 3.1
Duty - technology - marketing legal
Duty - tribunal - not to engage in dishonest
services 97(L) 5.1
conduct 83(R) 3.4
Duty - technology - providing legal
services 97(L) 5.1 Duty - tribunal - not to influence 83(LR) 3.3
97(R) - Duty - tribunal - not to mislead 83(L) 3.2
Duty - technology - security measures 98(L) 5.3 Duty - tribunal - not to mistreat or influence
97(R) - witnesses 83(R) 3.5
Duty - technology - special considerations 98(L) 5.3 Duty - tribunal processes 82(R) 3
97(R) - Duty - trust conditions (r. 5.1-6 and 7.2-11
Duty - technology - update 98(L) 5.3 and commentaries) 76(LR) 3.4
Duty - technology - use in practice Duty - undertaking not to practice (r. 7.6-
management 97(R) 5.2 1.2 - 7.6-1.4; By-Law 7.1, Part II; and By-
Duty - threaten criminal, quasi-criminal, Law 9, Part II.1) 72(L) 1.4
regulatory proceedings or complaint Duty - undertakings - document 76(R) -
without justification - prohibited (r. 3.2-5 registration agreement 77(L) 3.4
and commentary) 44(LR) 2.3
Duty - undertakings - real estate 76(R) -
Duty - tickler system - time management 96(L) 4.2 transactions 77(L) 3.4
Duty - time docketing 96(R) 4.3 Duty - undertakings (r. 5.1-6 and 7.2-11
and commentaries) 76(LR) 3.4
Duty - time management 95(L) 4
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Duty - undue influence - client subject to Duty of candour and honesty - illegal client
undue influence 45(LR) 2.6 expectations - duty to client (rr. 3.1-2 43(R) -
Duty - uphold integrity of profession - commentary, 3.2-2 and commentary) 44(L) 2.1
multi-discipline practices 77(R) 4.4 Duty of candour and honesty - unlawful
Duty - uphold integrity of profession - client expectations - duty to client (rr. 3.1-2 43(R) -
outside interests 77(L) 4.1 commentary, 3.2-2 and commentary) 44(L) 2.1
Duty - uphold integrity of profession - Duty of candour and honesty -
public appearances and statements (s. unreasonable client expectations - duty to
7.5) 77(R) 4.3 client (rr. 3.1-2 commentary, 3.2-2 and 43(R) -
commentary) 44(L) 2.1
Duty - uphold integrity of profession -
public office 77(LR) 4.2 Duty of honesty and candour - duty to
client - lawyer’s opinion - when to provide
Duty - where opposing side is (rr. 3.1-2 commentary, 3.2-2 and 43(R) -
unrepresented commentary) 44(L) 2.1
(r. 7.2-9) 42(L) 12.6
Duty of honesty and candour - duty to
Duty - witness - unsympathetic 86(L) 4.3.2 client - requirements (rr. 3.1-2 43(R) -
83(R) 3.5 commentary, 3.2-2 and commentary) 44(L) 2.1
Duty of honesty and candour - unlawful
84(R) - 4- client expectations - duty to client (rr. 3.1-2 43(R) -
Duty - witnesses 86(L) 4.3.3 commentary, 3.2-2 and commentary) 44(L) 2.1
Duty - witnesses - communication with Duty of honesty and candour -
witness giving evidence (r. 5.4-2) 85(LR) 4.3 unreasonable client expectations - duty to
Duty - witnesses - giving evidence - client (rr. 3.1-2 commentary, 3.2-2 and 43(R) -
communication with (r. 5.4-2) 85(LR) 4.3 commentary) 44(L) 2.1

Duty - witnesses - interviewing (r. 5.3-1) 85(L) 4.1 Duty of honesty and candour- illegal client
expectations - duty to client (rr. 3.1-2 43(R) -
Duty - witnesses - interviewing commentary, 3.2-2 and commentary) 44(L) 2.1
represented persons (r. 5.3-1, 7.2-6 - 7.2-
6A, and commentaries) 85(L) 4.2 Duty of loyalty - conflict of interest -
transactions with clients 40(L) 11.5
Duty - witnesses - lawyer as witness (s. 86(R) -
5.2) 87(L) 6 Duty of loyalty (r. 1.1-1 and 3.4-1 and
commentary) 31(L) 2
Duty - witnesses - may not permit to
mislead tribunal (r. 5.1-2(j), (m), (o), 5.3-1, Duty to accommodate-client services-
7.2-6, and 7.2-8 - 7.2-8.2 and examples 12(L) 8.1
commentary) 83(R) 3.5 Duty to accommodate-examples-client
services 12(L) 8.1
Duty - witnesses - preparing (r. 5.3-1) 85(L) 4.1
Duty to administration of justice - acting as
Duty - witnesses - represented persons 85(L) 4.2 mediator (s. 5.7 and commentary) 77(R) 5.4
Duty - witnesses - shall not influence or Duty to administration of justice -
mistreat (r. 5.1-2(j), (m), (o), 5.3-1, 7.2-6, encourage respect for administration of
and 7.2-8 - 7.2-8.2 and commentary) 83(R) 3.5 justice (r. 5.6-1 and 7.2-1 and
Duty - witnesses - sympathetic and 85(R) - commentaries) 77(L) 5.1
unsympathetic - communication 86(L) 4.3.2 Duty to administration of justice - retired 77(R) -
Duty - working with or employing judges returning to practice (s. 7.7) 78(R) 5.5
unauthorized persons - duty to law society 71(R) - Duty to administration of justice - security
(r. 7.6-1.1) 72(L) 1.3 of court facilities (r. 5.6-3 and commentary) 77(LR) 5.3
Duty as Employers - barriers in the Duty to administration of justice - seeking
workplace 12(R) 8.2 legislative or administrative changes (r.
Duty as Employers - inclusive workplaces 12(L) 8.2 5.6-1 - 5.6-2 and commentary) 77(L) 5.2
Duty not to act against former client - 48(R) -
conflict of interest (r. 3.4-10-11) 33(R) 6 Duty to client - client documents 49(R) 3.3
Duty of candour and honesty - duty to Duty to client - client documents - duty to 48(R) -
client preserve 49(R) 3.3
(rr. 3.1-2 commentary, 3.2-2 and 43(R) - Duty to client - client documents - duty to 48(R) -
commentary) 44(L) 2.1 return 49(R) 3.3
Duty of candour and honesty - duty to Duty to client - client documents - storing, 47(R) -
client - lawyer’s opinion - when to provide recording, and tracking 48(L) 3.1
(rr. 3.1-2 commentary, 3.2-2 and 43(R) -
Duty to client - client information (s. 3.5
commentary) 44(L) 2.1
and commentaries; By-Law 9) 47(LR) 3
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Duty to client - client information, holding - Duty to client - client property - documents
attempted seizure by external authorities - prepared by lawyer - duty to return files
privilege (s. 3.5 and commentaries; By- belonging to. client at end of retainer - files
Law 9) 47(LR) 3 belonging to client/to be returned - 48(R) -
Duty to client - client information, holding - definition 49(R) 3.3
claims by third parties - privilege (s. 3.5 Duty to client - client property, holding -
and commentaries; By-Law 9) 47(LR) 3 attempted seizure by external authority -
Duty to client - client information, holding - privilege (s. 3.5 and commentaries; By-
duty of care (general) (s. 3.5 and Law 9) 47(LR) 3
commentaries; By-Law 9) 47(LR) 3 Duty to client - client property, holding -
Duty to client - client information, holding - claims by third parties - privilege (s. 3.5
seizure by external authority- privilege (s. and commentaries; By-Law 9) 47(LR) 3
3.5 and commentaries; By-Law 9) 47(LR) 3 Duty to client - client property, holding -
Duty to client - client information, holding - duty of care (general) (s. 3.5 and
standard of care (general) (s. 3.5 and commentaries; By-Law 9) 47(LR) 3
commentaries; By-Law 9) 47(LR) 3 Duty to client - client property, holding -
Duty to client - client money - trust account legal documents - lawyer’s duties in 47(R) -
(s. 3.5 and commentaries; By-Law 9) 48(L) 3.2 safekeeping and recording 48(L) 3.1
Duty to client - client money (s. 3.5 and Duty to client - client property, holding -
commentaries; By-Law 9) 48(L) 3.2 original client property (e.g. original wills, 47(R) -
trust deeds, etc.) 48(L) 3.1
Duty to client - client property - documents 48(R) -
prepared by lawyer 49(R) 3.3 Duty to client - client property, holding -
seizure by external authority - privilege (s.
Duty to client - client property - documents 3.5 and commentaries; By-Law 9) 47(LR) 3
prepared by lawyer - duty to keep out of 48(R) -
sight 49(R) 3.3 Duty to client - client property, holding -
specific duties regarding receiving, storing,
Duty to client - client property - documents and returning client property (s. 3.5 and 47(L) -
prepared by lawyer - duty to return files 48(R) - commentaries; By-Law 9) 48(L) 3 - 3.1
belonging to client at end of retainer 49(R) 3.3
Duty to client - client property, holding -
Duty to client - client property - documents standard of care (general) (s. 3.5 and
prepared by lawyer - duty to return files commentaries; By-Law 9) 47(LR) 3
belonging to client at end of retainer - files
belonging to client/to be returned - lawyer 48(R) - Duty to client - client property, holding - 47(R) -
should copy for their benefit (complaints) 49(R) 3.3 storing client property 48(L) 3.1
Duty to client - client property - documents Duty to client - client property, holding -
prepared by lawyer - duty to return files storing client property - accounting and 47(R) -
belonging to client at end of retainer - files tracking 48(L) 3.1
belonging to client/to be returned - lawyer Duty to client - client property, holding - 47(R) -
should copy for their benefit (complaints) - 48(R) - unrelated to retainer 48(L) 3.1
cost 49(R) 3.3 Duty to client - client property, holding - 47(R) -
Duty to client - client property - documents valuable property 48(L) 3.1
prepared by lawyer - duty to return files Duty to client - client property, holding - 47(R) -
belonging to client at end of retainer - files 48(R) - valuable property - recording requirements 48(L) 3.1
belonging to client/to be returned - list 49(R) 3.3
Duty to client - client property, holding -
Duty to client - client property - documents valuable property - recording requirements 47(R) -
prepared by lawyer - duty to return files - trust moneys separate 48(L) 3.1
belonging to client at end of retainer - files
belonging to lawyer/need NOT be returned Duty to client - client property, holding - 47(R) -
to client - copy for client on request at 48(R) - valuable property - selling or negotiating 48(L) 3.1
lawyer’s discretion 49(R) 3.3 Duty to client - client property, holding - 47(R) -
Duty to client - client property - documents valuable property - trust money -- definition 48(L) 3.1
prepared by lawyer - duty to return files Duty to client - client property, holding -
belonging to client at end of retainer - files valuable property -- valuable property 47(R) -
belonging to lawyer/need NOT be returned record - definition, contents 48(L) 3.1
to client - copy for client on request at 48(R) -
Duty to client - client property, holding -
lawyer’s discretion - cost 49(R) 3.3
valuable property -- valuable property
Duty to client - client property - documents record - does not include non-negotiable 47(R) -
prepared by lawyer - duty to return files or non-sellable property 48(L) 3.1
belonging to client at end of retainer - files
Duty to client - client property, holding - 47(R) - 3.1
belonging to lawyer/need NOT be returned 48(R) -
valuable property -- valuable property 48(L)
to client -- list 49(R) 3.3
record - legal documents and trust money
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excluded Duty to client - holding client property -

Duty to client - client property, holding - specific duties regarding receiving, storing,
valuable property -- valuable property 47(R) - and returning client property (s. 3.5 and 47(L) -
record - list of property it applies to 48(L) 3.1 commentaries; By-Law 9) 48(L) 3 - 3.1
Duty to client - client property, holding - Duty to client - holding client property -
valuable property -- valuable property standard of care (general) (s. 3.5 and
record - list of property it does NOT apply 47(R) - commentaries; By-Law 9) 47(LR) 3
to 48(L) 3.1 Duty to client - holding client property - 47(R) -
Duty to client - client property, holding (s. 47(L) - storing client property 48(L) 3.1
3.5 and commentaries; By-Law 9) 48(L) 3 - 3.1 Duty to client - holding client property -
Duty to client - client with diminished storing client property - accounting and 47(R) -
capacity - minor or disabled client lacking tracking 48(L) 3.1
legal capacity (r. 3.2-9 and commentary) 45(L) 2.5 Duty to client - holding client property -
Duty to client - closed client file - returning 48(R) - unrelate- valuable property - valuable 47(R) -
documents 49(R) 3.3 property record - definition, contents 48(L) 3.1
Duty to client - competence in providing Duty to client - holding client property -
services in unfamiliar official language - unrelate- valuable property - valuable
client’s language rights (r. 3.2-2A - 3.2-2B 46(R) - property record - list of property it applies 47(R) -
and commentary) 47(L) 2.11 to 48(L) 3.1
Duty to client - handling client money - Duty to client - holding client property -
lawyer’s duties (s. 3.5 and commentaries; unrelate- valuable property - valuable
By-Law 9) 48(L) 3.2 property record - list of property it does 47(R) -
NOT apply to 48(L) 3.1
Duty to client - holding client information -
attempted seizure by external authorities - Duty to client - holding client property - 47(R) -
privilege (s. 3.5 and commentaries; By- unrelated to retainer 48(L) 3.1
Law 9) 47(LR) 3 Duty to client - holding client property - 47(R) -
Duty to client - holding client information - valuable property 48(L) 3.1
duty of care (general) (s. 3.5 and Duty to client - holding client property - 47(R) -
commentaries; By-Law 9) 47(LR) 3 valuable property - recording requirements 48(L) 3.1
Duty to client - holding client information - Duty to client - holding client property -
seizure by external authorities - privilege valuable property - recording requirements 47(R) -
(s. 3.5 and commentaries; By-Law 9) 47(LR) 3 - trust moneys separate 48(L) 3.1
Duty to client - holding client information - Duty to client - holding client property - 47(R) -
standard of care (general) (s. 3.5 and valuable property - selling or negotiating 48(L) 3.1
commentaries; By-Law 9) 47(LR) 3 Duty to client - holding client property - 47(R) -
Duty to client - holding client information valuable property - trust money -- definition 48(L) 3.1
(s. 3.5 and commentaries; By-Law 9) 47(LR) 3 Duty to client - holding client property -
Duty to client - holding client information- valuable property - valuable property
claims by third parties - privilege (s. 3.5 record - does not include non-negotiable 47(R) -
and commentaries; By-Law 9) 47(LR) 3 or non-sellable property 48(L) 3.1
Duty to client - holding client property - Duty to client - holding client property -
attempted seizure by external authorities - valuable property - valuable property
privilege (s. 3.5 and commentaries; By- record - legal documents and trust money 47(R) -
Law 9) 47(LR) 3 excluded 48(L) 3.1
Duty to client - holding client property - Duty to client - holding client property (s. 47(L) -
claims by third parties - privilege (s. 3.5 3.5 and commentaries; By-Law 9) 48(L) 3 - 3.1
and commentaries; By-Law 9) 47(LR) 3 Duty to client - language rights (French or
Duty to client - holding client property - Aboriginal), advise regarding (r. 3.2-2A - 46(R) -
duty of care (general) (s. 3.5 and 3.2-2B and commentary) 47(L) 2.11
commentaries; By-Law 9) 47(LR) 3 Duty to client - language rights (French or
Duty to client - holding client property - Aboriginal), duty to know law regarding (r. 46(R) -
legal documents - lawyer’s duties in 47(R) - 3.2-2A - 3.2-2B and commentary) 47(L) 2.11
safekeeping and recording 48(L) 3.1 Duty to client - language rights (French or
Duty to client - holding client property - Indigenous), advise regarding (r. 3.2-2A - 46(R) -
original client property (e.g. original wills, 47(R) - 3.2-2B and commentary) 47(L) 2.11
trust deeds, etc.) 48(L) 3.1 Duty to client - language rights (French or
Duty to client - holding client property - Indigenous), duty to know law regarding (r. 46(R) -
seizure by external authorities - privilege 3.2-2A - 3.2-2B and commentary) 47(L) 2.11
(s. 3.5 and commentaries; By-Law 9) 47(LR) 3
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Duty to client - minor client (r. 3.2-9 and 7.2-4)

commentary) 45(L) 2.5 Duty to lawyers and others - duty to
Duty to client - money, client’s - preserve respond promptly (r. 7.2-5) 75(L) 3.2
(s. 3.5 and commentaries; By-Law 9) 48(L) 3.2 Duty to lawyers and others - good faith
Duty to client - providing services in and courtesy - duty to lawyers and others 74(R) -
unfamiliar official language, competence - (r. 7.2-1 - 7.2-3 and commentary 75(L) 3.1
client’s language rights (r. 3.2-2A - 3.2-2B 46(R) - Duty to lawyers and others - represented
and commentary) 47(L) 2.11 persons or organizations - communication
Duty to client - real estate transaction - title (r. 7.2-6 - 7.2-7 and commentary) 75(LR) 3.3
insurance (r. 3.2-9.4 - 3.2-9.7 and Duty to lawyers and others - undertakings
commentaries) 46(L) 2.8 and trust conditions (r. 5.1-6 and 7.2-11
Duty to client - real property transaction - and commentaries) 76(LR) 3.4
title insurance (r. 3.2-9.4 - 3.2-9.7 and Duty to legal profession - criminal charges,
commentaries) 46(L) 2.8 convictions - report (r. 7.1-4.4 and 73(R) -
Duty to client - receiving, holding, commentary; By-Law 8, s.2) 74(L) 2.3
disbursing client money - examples of Duty to legal profession - dishonest
types of money (s. 3.5 and commentaries; conduct of another lawyer/paralegal -
By-Law 9) 48(L) 3.2 encourage client to report (r. 7.1-4 - 7.1-
Duty to client - receiving, holding, 4.3) 73(R) 2.2
disbursing client money - requirements (s. Duty to legal profession - duty to disclose
3.5 and commentaries; By-Law 9) 48(L) 3.2 error, omissions (s. 7.8) 74(LR) 2.4
Duty to client - receiving, holding, Duty to legal profession - duty to report
disbursing client money (s. 3.5 and own criminal charges, convictions (r. 7.1- 73(R) -
commentaries; By-Law 9) 48(L) 3.2 4.4 and commentary; By-Law 8, s.2) 74(L) 2.3
Duty to client - referral (r. 3.6-6.0) 55(R) 4.2 Duty to legal profession - encourage client
Duty to client - returning documents - 48(R) - to report dishonest conduct of another 73(R) 2.2
closed client file 49(R) 3.3 Duty to legal profession - error or omission
Duty to client - title insurance - LawPRO - - duty to disclose to insurer (s. 7.8) 74(LR) 2.4
TitlePlus program - lawyer’s duty (r. 3.2- Duty to legal profession - lawyer, paralegal
9.4 - 3.2-9.7 and commentaries) 46(L) 2.8 misconduct - duty to report (r. 7.1-3 and
Duty to client - title insurance - real estate commentary) 73(L) 2.1
transaction (r. 3.2-9.4 - 3.2-9.7 and Duty to legal profession - report
commentaries) 46(L) 2.8 misconduct of lawyer, paralegal (r. 7.1-3
Duty to client - title insurance - real and commentary) 73(L) 2.1
property transaction (r. 3.2-9.4 - 3.2-9.7 Duty to not discriminate-lawyer-inclusion 11(L) 8
and commentaries) 46(L) 2.8
Duty to preserve client property - includes 48(R) -
Duty to client - title insurance - TitlePlus client files 49(R) 3.3
program - LawPRO - lawyer’s disclosure
duty (r. 3.2-9.4 - 3.2-9.7 and Duty to uphold integrity of profession -
commentaries) 46(L) 2.8 multi-discipline practices 77(R) 4.4
Duty to client - title insurance - TitlePlus Duty to uphold integrity of profession -
program - LawPRO - lawyer’s duty outside interests (r. 7.3-1 - 7.3-2 and
(r. 3.2-9.4 - 3.2-9.7 and commentaries) 46(L) 2.8 commentary) 77(L) 4.1
Duty to lawyers and others - Duty to uphold integrity of profession -
communication with represented persons public office (r. 7.4-1) 77(LR) 4.2
or organizations (r. 7.2-6 - 7.2-7 and Duty to uphold integrity of profession--
commentary) 75(LR) 3.3 public appearances and statements (s.
Duty to lawyers and others - 7.5) 77(R) 4.3
communications - duty of courtesy and E
civility (r. 7.2-4) 75(L) 3.2
100(R) -
Duty to lawyers and others - E-Reg - supervision of employees 101(L) 7.4
communications - duty to respond
promptly (r. 7.2-5) 75(L) 3.2 Education and training - non-lawyer staff 100(L) 7.2
Duty to lawyers and others - courtesy and Education, licensing, and professional
good faith - duty to lawyers and others (r. 74(R) - development 1(L) 1.2
7.2-1 - 7.2-3 and commentary 75(L) 3.1 Effective use of time 95(R) 4.1
Duty to lawyers and others - duty to 75(L) 3.2 Elected office - lawyer in public office -
communicate with courtesy and civility (r. duty to integrity of profession (r. 7.4-1) 77(LR) 4.2
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Electronic legal research tools 97(R) 5.2 61(L) 1.3

Electronic or Wire transfer - provide details Engagement - or Non-engagement stage - 59(R) - 1.2 -
to sending party - deposit only 113(L) 5 managing client relationship 61(L) 1.3
Electronic registration of title documents - 100(R) - Engagement - terms of engagement /
supervision 101(L) 7.4 retainer change 61(LR) 1.4
Electronic registration of title documents - 100(R) - Engagement letter - contents 22(R) 1.4
supervision of employees 101(L) 7.4 Engagement letter - details re withdrawal
Electronic transfer - By-Law 9 - Exception of services (r. 3.7-1 and commentary) 65(LR) 1
to two-person requirement 112(L) 4.3.2 Enhancing the legal profession - r. 2.1-2
Electronic transfer - trust disbursement and commentary 6(L) 4
journal 117(L) 6.3.2 10(R) -
Electronic transfer - withdrawl - special Equality - client relationship 11(L) 7
requirements 112(L) 4.3.2 10(R) -
Electronic trust transfer Requisition - Equality - employment 11(L) 7
lawyer's records- Form 9A 112(L) 4.3.2 Equality - rules engaging substantive
97(R) - equality - courtesy, civility, and good faith - 10(R) -
Email - technology - duties regarding 98(L) 5.3 rr. 5.1-5 and 7.2-1 and commentary 11(L) 7
Employee - delegation (By-Law 7.1, Part I; Equality - substantive equality - Withler v
r.6.1-1 and commentary) 100(LR) 7.3 Canada (AG) (SCC) 10(R) 7
Employee - hiring support staff 99(R) 7.1 Equality, diversity and inclusion training -
competence - professional development 23(R) 1.7.1
Employee - lawyer represents both
employee and their organization - conflict Equity - initiatives and strategies 13(L) 9
of interest (s. 3.4) 76(L) 3.3.1
Equity initiatives - workplace best practices 13(L) 9
Employee - non-licensee - lawyer’s duty to 71(R) -
Error - in withdrawal from trust account -
supervise (r. 7.6-1.1) 72(L) 1.3
corrections 112(R) 4.3.4
Employee - supervision (By-Law 7.1, Part
Error - lawyer - duties of lawyer - reporting
I; r.6.1-1 and commentary) 100(LR) 7.3
(r. 7.8) 46(R) 2.1
Employee - supervision in real estate 100(R) -
Error - lawyer - duties to client and
matters 101(L) 7.4
professional liability insurer (r. 7.8) 46(R) 2.1
Employee - training 100(L) 7.2 Error by lawyer - duties of lawyer -
Employing unauthorized persons - duty to 71(R) - reporting (r. 7.8) 46(R) 2.1
law Society (r. 7.6-1.1) 72(L) 1.3 Error by lawyer - duties to client and
Employment practices - r. 6.3.1-3 and professional liability insurer (r. 7.8) 46(R) 2.1
commentary 7(R) 5.3 Errors and omissions - duty to insurer (s.
Encourage client - report 7.8) 74(LR) 2.4
lawyer/paralegal’s dishonest conduct (r. Errors and omissions by lawyer - duties to
7.1-4 - 7.1-4.3) 73(R) 2.2 client and insurance implications - (r. 7.8) 46(R) 2.1
Encouraging - respect for administration of Errors or omissions by lawyer - duties of
justice - duty (r. 5.6-1 and 7.2-1 and lawyer - reporting (r. 7.8) 46(R) 2.1
commentaries) 77(L) 5.1
Essential requirements - file management, 92(L) -
Enforcement Departments - Complaints 3(R) 2.4 organization and conflict checking 94(L) 3 - 3.2
Enforcement Departments - Law Society 1(R) 1.3 Estate and real estate matters - joint
61(R) - retainer 35(L) 8
Engagement - disengagement letter 62(L) 1.5 Estate and real estate matters - joint
Engagement - ending or withdrawal of 61(R) - retainer - conflict of interest 35(L) 8
services - disengagement 62(L) 1.5 Estimate of fees (r. 3.6-1 and commentary) 52(R) 2.2
Engagement - lawyer unable to fulfill Ethical behaviour - req. to comply with the
retainer 61(LR) 1.4 Rules 1(R) 2
Engagement - letter 53(R) 2.6 2(R) -
60(L) - Ethical problem - steps for addressing 3(L) 2.2
Engagement - letters - requirements 61(L) 1.3 85(R) -
Engagement - letters and retainer 60(L) - Examination - sympathetic witness 86(L) 4.3.2
agreements 61(L) 1.3 Examination - witness - unsympathetic 86(L) 4.3.2
Engagement - non-engagement - letter 59(R) - 1.2 - Examinations for discovery - lawyer’s 87(L) 7
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duties Fees - appropriation of funds from trust (r.

(r. 5.1-3.1) 3.6-10; By-Law 9) 54(LR) 2.8
Examples of behaviours considered to be Fees - arrangements with other lawyers 54(R) 3
sexual harassment 7(LR) 5.2
Fees - banking fees - trust account 109(R) 4.1
Examples of cultural competence 8(LR) 6.1
Fees - billing - general account 108(R) 3.1
Examples of Source documents 119(LR) 6.4.1
Fees - billing - statement of account (r.
Examples: barriers in the workplace 12(R) 8.2 3.6-3, 3.6-4, 5.1-5, and 3.6-1.1 and 53(R) -
Exception to informed consent - conflict of commentary) 54(L) 2.7
interest - need for independent legal Fees - by stages 51(R) 2
advice (r.1.1-1 and commentary and r. 3.4- 32(R) -
Fees - change to costs estimate (r. 3.6-1
2) 33(L) 4.2
and commentary) 52(R) 2.2
Exception to two-person requirement - By-
Fees - civil society organizations -
Law 9 - electronic transfers 112(L) 4.3.2
prohibited (r. 3.6-1 and 3.6-1.2; By-Law 7,
Exceptions - to restrictions on accepting 113(R) - s.51) 53(L) 2.4
cash - receiving money from clients 114(L) 5.1
Fees - contingency fee agreements (r. 3.6-
Exclusionary Practices-duty to not 2 and commentary) 56(LR) 5
discriminate-inclusion and diversity 11(L) 8
Fees - contingency fees - client under
Expectations - list of client expectations 62(R) 2.1 disability or vulnerable (r. 3.6-2 and
Expectations - managing client commentary) 56(R) 5
expectations - duty of competence 22(R) 1.4 Fees - contingency fees - costs award paid
Expectations - managing clients to lawyer (r. 3.6-2 and commentary) 56(R) 5
expectations Fees - contingency fees - when prohibited
SEE: Client service and communication (family, criminal, quasi-criminal cases) (r.
SEE: Practice management 62(L) 2 3.6-2 and commentary) 56(L) 5
Expert - retain on behalf of client - financial Fees - contingency fees - written
responsibilities (r. 7.1-2 and commentary) 98(R) 6.1 confirmation
(r. 3.6-1.1) 53(R) 2.6
Explination for transfer 117(R) 6.3.4
Fees - contingency fees (r. 3.6-2 and
Express approval - duty to not employ -
commentary) 56(LR) 5
unauthorized persons - unless express
approval of panel of Hearing Division (r. 71(R) - Fees - contingency fees agreements -
7.6-1.1) 72(L) 1.3 formal requirements (r. 3.6-2 and
commentary) 56(LR) 5
External Relations and Communications
Division - Law Society 1(R) 1.4 Fees - cost estimate - changes -
disclosure (r. 3.6-1 and commentary) 52(R) 2.2
F
Fees - cost estimate - disclosure (r. 3.6-1
Fair and reasonable to the client and commentary) 52(R) 2.2
requirement - transactions with clients -
conflicts of interest 38(L) 11 Fees - disagreement with client - right to
have account assessed (r. 3.6-3, 3.6-4,
False evidence - tribunal process - shall 5.1-5, and 3.6-1.1 and commentary) 54(L) 2.7
not lead (r. 5.1-2(e), (h), (i), and (l)) 83(L) 3.2
Fees - disagreement with client (r. 3.6-3,
Falsehood - tribunal process - duties (r. 3.6-4, 5.1-5, and 3.6-1.1 and commentary) 54(L) 2.7
5.1-1 and commentary, and r. 5.1-2(b), (e),
(f), (g), (j) and (k)) 83(R) 3.4 Fees - disbursements 52(L) 2
Family or friend client - conflict of interest - Fees - disbursements - billing - general
other lawyer of firm may represent (r. 3.4- account 108(R) 3.1
1) 40(R) 12.1 Fees - disclose amount charged
Fee billings 116(L) 6.2.3 (statement of account) (r. 3.6-3, 3.6-4, 5.1- 53(R) -
5, and 3.6-1.1 and commentary) 54(L) 2.7
Fee payment - payment by transfer of a
share, participation, or other interest in Fees - disclose amount charged for fees
property or an enterprise (r. 3.4-36) 40(L) 11.6 and disbursements (statement of account)
(r. 3.6-3, 3.6-4, 5.1-5, and 3.6-1.1 and 53(R) -
Fee payment - payment by transfer of commentary) 54(L) 2.7
shares or interest in property (r. 3.4-36) 40(L) 11.6
Fees - discussion of fees during initial
Fees - advertising (r. 4.2-2) 91(L) 2.2 screening stage 59(R) 1.1
Fees - affiliations - cannot share lawyer’s Fees - division of (with another licensee)
revenue, profits (r. 3.6-5, 3.6-7, 3.6-8 and (r. 3.6-5, 3.6-7, 3.6-8 and commentaries) 54(R) 3
commentary) 54(R) 3
Fees - division of (with non-licensee) - 54(R) 3
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exceptions (r. 3.6-5, 3.6-7, 3.6-8 and Fees - pro bono (r. 3.6-1 and commentary;
commentaries) r. 3.6-4; and commentary, 4.1-1) 52(R) 2.1
Fees - division of (with non-licensee) - Fees - receipt of client settlement funds -
prohibited (r. 3.6-5, 3.6-7, 3.6-8 and written confirmation (r. 3.6-1.1) 53(R) 2.6
commentary) 54(R) 3 Fees - receiving money from client - cash - 113(R) -
Fees - estimate - changes - disclosure (r. restrictions 114(L) 5.1
3.6-1 and commentary) 52(R) 2.2 Fees - receiving money from client - 114(R) -
Fees - estimate - disclosure (r. 3.6-1 and clearance periods 115(L) 5.3
commentary) 52(R) 2.2 Fees - receiving money from client - credit
Fees - estimate - in writing (r. 3.6-1 and and debit card payments 114(LR) 5.2
commentary) 52(R) 2.2
Fees - receiving money from clients 113(L) 5
Fees - fair and reasonable requirement
Fees - referral fee - disclosure to client (r.
(r. 3.6-1 and commentary; r. 3.6-4; and
3.6-6.0) 55(R) 4.2
commentary, 4.1-1) 50(LR) 2.1
Fees - referral fee - from title insurer -
Fees - fair, reasonable, disclosed 52(L) 2 prohibited (r. 3.2-9.5) 56(L) 4.4
Fees - fees book (6 years) - record Fees - referral fee - non-licensees -
keeping requirements exceptions
(r. 3.6-7 and commentary) 55(R) 4.4
Sample - Figure 1 - General Receipts 116(L) 6.2.3
Journal, General Disbursements Journal, Fees - referral fee - paid to non-licensee - 55(R) -
and Fees Book 122 7 prohibited (r. 3.6-7 and commentary) 56(L) 4.4
51(R) - Fees - referral fee - received from non-
Fees - generally 52(L) 2 licensee - allowed, with client consent (r.
3.6-7 and commentary) 56(L) 4.4
Fees - hidden fees, prohibition against (r. 52(R) -
3.6-1.1 commentary) 53(L) 2.3 Fees - referral fee - requirements (r. 3.6-
6.1) 55(L) 4.1
Fees - HST (r. 3.6-3, 3.6-4, 5.1-5, and 3.6-
1.1 and commentary) 53(R) 2.7 Fees - referral fee (r. 3.6-6.0) 55(L) 4
Fees - interest - overdue accounts (r. 3.6- Fees - securing payment - mortgage,
1.1) (s. 33 - Solicitors Act - only allowed in charge, lien (r. 3.4-27 - 3.4-29 and 56(R) -
accordance with) 53(LR) 2.5 commentaries) 57(R) 6
Fees - interim billing (r. 3.6-1 and Fees - securing payment (r. 3.4-27 - 3.4- 56(R) -
commentary) 52(R) 2.2 29 and commentaries) 57(R) 6
Fees - interim statement of account (r. 3.6- Fees - splitting (affiliations) (r. 3.6-5, 3.6-7,
1 and commentary) 52(R) 2.2 3.6-8 and commentaries) 54(R) 3
Fees - joint retainer (r. 3.6-1 and Fees - splitting (non-licensee) (r. 3.6-5,
commentary; r. 3.6-4; and commentary, 3.6-7, 3.6-8 and commentaries) 54(R) 3
4.1-1) 52(LR) 2.1 Fees - splitting (with another licensee) (r.
Fees - must be paid by client (r. 3.6-1 and 3.6-5, 3.6-7, 3.6-8 and commentaries) 54(R) 3
commentary) 52(R) 2.2 Fees - splitting (with non-licensee) -
Fees - non-licensees - lawyer may accept exceptions (r. 3.6-5, 3.6-7, 3.6-8 and
reward for referral, with client consent (r. commentaries) 54(R) 3
3.6-7 and commentary) 56(L) 4.4 Fees - splitting (with non-licensee) -
Fees - non-licensees - prohibition of fee prohibited (r. 3.6-5, 3.6-7, 3.6-8 and
division, splitting, sharing (r. 3.6-5, 3.6-7, commentary) 54(R) 3
3.6-8 and commentary) 54(R) 3 Fees - statement of account - lawyer must
Fees - non-payment - optional withdrawal sign
of services - serious prejudice to client (r. (r. 3.6-3, 3.6-4, 5.1-5, and 3.6-1.1 and 53(R) -
3.7-3) 66(L) 2.2 commentary) 54(L) 2.7
Fees - non-payment - optional withdrawal Fees - statement of account (r. 3.6-3, 3.6- 53(R) -
of services (r. 3.7-3) 66(L) 2.2 4, 5.1-5, and 3.6-1.1 and commentary) 54(L) 2.7
Fees - payment by transfer of a share, Fees - timely disclosure to client (r. 3.6-1
participation, or other interest in property and commentary) 52(R) 2.2
or an enterprise (r. 3.4-36) 40(L) 11.6 Fees - to third parties - changes in fees (r.
Fees - payment by transfer of shares or 7.1-2 and commentary) 98(R) 6.1
interest in property (r. 3.4-36) 40(L) 11.6 Fees - to third parties - lawyer’s duty (r.
Fees - payment from trust account (r. 3.6- 7.1-2 and commentary) 98(R) 6.1
10; By-Law 9) 54(LR) 2.8 Fees - trust account - money earmarked 54(R) 2.8
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BARRISTER & SOLICITOR – PROFESSIONAL RESPONSIBILITY (2019 INDEX SORTED BY PAGE NUMBER)

for purpose - cannot be used for fees (r. File - opening 93(R) 3.2
3.6-10; By-Law 9)
93(L) -
51(R) - File - organization 94(L) 3.2
Fees - types 52(L) 2
File - retaining closed client file 94(LR) 3.3
Fees - withdrawal from trust account (r.
3.6-10; By-Law 9) File - role of filing system 93(LR) 3.2
SEE: Trust account - withdrawal 54(LR) 2.8 93(L) -
Fees - written confirmation required (r. 3.6- File - storage 94(L) 3.2
1.1) 53(R) 2.6 File management 92(L) 3
Fees and disbursements - initial
File management - closing client file 94(L) 3.3
discussions - lawyer’s duties before
signing retainer 51(L) Intro 92(R) - 3.1
93(L)
Fees book - 6 years 116(L) 6.2.3 File management - conflict checking (r.
Fees book (6 years) - general account 3.4-1-3.4-3 and commentaries) 42(R) 13
File management - destroying closed client
Sample - Figure 1 - General Receipts 116(L) 6.2.3 file 94(LR) 3.3
Journal, General Disbursements Journal,
and Fees Book 122 7 File management - documents to be 94(R) -
retained after closing 95(L) 3.4
Fees book (6 years) - record keeping
requirements 92(L) -
File management - generally 95(L) 3 - 3.4
Sample - Figure 1 - General Receipts 116(L) 6.2.3 File management - maintaining client file 93(LR) 3.2
Journal, General Disbursements Journal,
and Fees Book 122 7 File management - naming client file 93(LR) 3.2

Fees or billing book 115(R) 6.2 File management - opening client file 93(R) 3.2

Fiduciary - lawyer as 43(LR) 1 93(L) -

File management - organizing client file 94(L) 3.2
Fiduciary - lawyer as - definition 43(LR) 1
File management - retaining closed client
Fiduciary - lawyer as - requirements 43(LR) 1 file 94(LR) 3.3
Fiduciary - lawyer as - requirements - 94(R) -
minimum standard of competence 43(LR) 1 File management - retaining documents 95(L) 3.4
Fiduciary duty - lawyer’s duty to client 43(LR) 1 File management - role of filing system 93(LR) 3.2
Fiduciary duty - lawyer’s duty to client - 93(L) -
definition 43(LR) 1 File management - storing client file 94(L) 3.2
Fiduciary duty - lawyer’s duty to client - Financial institutions - for trust accounts -
requirements 43(LR) 1 By-Law 9 110(R) 4.1.2
Fiduciary duty - lawyer’s duty to client - Financial obligations - lawyer must meet -
requirements - minimum standard of incurred on behalf of client - unless - (r. 76(R) -
competence 43(LR) 1 7.1-2 and commentary) 77(L) 3.5
Fiduciary duty to client - lawyer 43(LR) 1 98(R)
6.1
Fiduciary duty to client - lawyer - definition 43(LR) 1 Financial responsibilities - on behalf of 76(R) -
Fiduciary duty to client - lawyer - client (r. 7.1-2 and commentary) 77(L) 3.5
requirements 43(LR) 1 Financial responsibilities - practice
Fiduciary duty to client - lawyer - management 98(LR) 6
requirements - minimum standard of Financial responsibilities - reporting and
competence 43(LR) 1 compliance requirements (By-Laws 8 and
File - closing 94(L) 3.3 9; Law Society Act, s. 57) 99(L) 6.3
Financial responsibilities - retain third party
File - destroying closed client file 94(LR) 3.3
on behalf of client (r. 7.1-2 and
File - documents - what to return/keep commentary) 98(R) 6.1
SEE: “Duty - client - client property - 48(R) -
Financial responsibilities - to operate a law
documents prepared by lawyer” 49(R) 3.3
practice 99(L) 6.2
File - documents to be retained after 94(R) -
closing 95(L) 3.4 Firm clients 16(L) 1.3

File - maintaining 93(LR) 3.2 Firm culture - barriers to inclusion 12(R) 8.2
Firm members - duty of confidentiality -
File - naming 93(LR) 3.2
owed to all clients 16(L) 1.3
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Firm name - requirements (r. 4.2-0-4.2-1.1 89(R) - 115(L)

and commentaries) 90(L) 2.1
Funds received - from clients - trust 117(L) 6.3.1
Fixed fee - fees 51(R) 2
G
Flat fee - fees 51(R) 2
Gathering physical evidence - no duty 84(LR) 3.7
Follow-up with third party - undeposited
trust cheque 113(L) 4.4 General account 115(R) 6.2
113(R) - General account - all merchant discounts
Foreign Currency - cash 114(L) 5.1 and service charges 114(LR) 5.2
Former clients - acting against - 33(R) - 108(L) -
circumstances where permissible 34(L) 6 - 6.2 General account - By-Law 9 109(L) 3 - 3.2
Former clients - acting against - new General account - clients’ general ledger
matters 34(L) 6.2 (optional) 6.2.4
116(R)
Former clients - acting against - same or Sample - Figure 2 - Clients’ General
related matter (OK with consent) (r. 3.4- Ledger 123 7
10-11) 34(L) 6.1
General account - clients’ general ledger
Former clients - acting against (r. 3.4-10- (optional) - record keeping requirements 6.2.4
11) 116(R)
33(R) - Sample - Figure 2 - Clients’ General
SEE: Conflict of Interest 34(L) 6 - 6.2 Ledger 123 7
Former clients - conflict of interest - duty General account - clients’ trust ledger (10
not to act against 33(R) 6 years) - record keeping requirements 117(R) 6.3.3
Former lawyer - duty not to employ (r. 7.6- 71(R) -
1.1) 72(L) 1.3 Sample - Figure 4 - Clients’ Trust Ledger 125 7
Former paralegal - duty not to employ (r. 71(R) - General account - credit or debit payments
7.6-1.1) 72(L) 1.3 from client - for services rendered 114(LR) 5.2
Fraud - tribunal process - duties (r. 5.1-1 General account - deposit 108(R) 3.1
and commentary, and r. 5.1-2(b), (e), (f),
General Account - deposits - source
(g), (j) and (k)) 83(R) 3.4
document 108(R) 3.1
Fraud, dishonesty etc. by client - lawyer’s
General account - fees book (6 years)
duty
(r. 3.2-7 - 3.2-8 and commentary)
Sample - Figure 1 - General Receipts 116(L) 6.2.3
SEE: “Assisting dishonesty, fraud, crime, 44(R) -
Journal, General Disbursements Journal,
illegal conduct by client” 45(L) 2.4
and Fees Book 122 7
Fraudulent conduct by client - lawyer’s
General account - fees book (6 years) -
duty (r. 3.2-7 - 3.2-8 and commentary)
record keeping requirements
SEE: “Assisting dishonesty, fraud, crime, 44(R) -
illegal conduct by client” 45(L) 2.4
Sample - Figure 1 - General Receipts 116(L) 6.2.3
French or Aboriginal-language speaking Journal, General Disbursements Journal,
clients - official language rights - duty of and Fees Book 122 7
lawyer to advise client and know law (r. 46(R) -
General account - general disbursements
3.2-2A - 3.2-2B and commentary) 47(L) 2.11
journal (6 years)
French or Aboriginal-language speaking
clients - official language rights (r. 3.2-2A - 46(R) - Sample - Figure 1 - General Receipts 116(L) 6.2.2
3.2-2B and commentary) 47(L) 2.11 Journal, General Disbursements Journal,
French or Indigenous-language speaking and Fees Book 122 7
clients - official language rights - duty of General account - general disbursements
lawyer to advise client and know law (r. 46(R) - journal (6 years) - record keeping
3.2-2A - 3.2-2B and commentary) 47(L) 2.11 requirements
French or Indigenous-language speaking
clients - official language rights (r. 3.2-2A - 46(R) - Sample - Figure 1 - General Receipts 116(L) 6.2.2
3.2-2B and commentary) 47(L) 2.11 Journal, General Disbursements Journal,
and Fees Book 122 7
Friend or family client - conflict of interest -
other lawyer of firm may represent (r. 3.4- General account - general receipts journal
1) 40(R) 12.1 (6 years)
Funded by Law Society-Discrimination Sample - Figure 1 - General Receipts 116(L) 6.2.1
Program 13(R) 10 Journal, General Disbursements Journal,
Funds - clearance periods 114(R) - 5.3 and Fees Book 122 7
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General account - general receipts journal General disbursements journal - 6 years 116(L) 6.2.2
(6 years) - record keeping requirements
General disbursements journal - part of
general account 115(R) 6.2
Sample - Figure 1 - General Receipts 116(L) 6.2.1
Journal, General Disbursements Journal, General disbursements journal (6 years) -
and Fees Book 122 7 general account
General account - monthly trust
Sample - Figure 1 - General Receipts 116(L) 6.2.2
comparison (10 years) - record keeping
Journal, General Disbursements Journal,
requirements 118(R) 6.3.5
and Fees Book 122 7
Sample - Figure 5 - Monthly Trust General disbursements journal (6 years) -
Comparison 126 7 record keeping requirements
General account - other record keeping
Sample - Figure 1 - General Receipts 116(L) 6.2.2
requirements - source documents (10
Journal, General Disbursements Journal,
years) 119(LR) 6.4.1
and Fees Book 122 7
General account - record keeping 115(R) - 6.2 -
General ledger - clients - recommended
requirements 116(R) 6.2.5
but not required 115(R) 6.2
General account - record keeping
General ledger - clients’ general ledger
requirements - current, permanent,
(optional) - record keeping requirements 6.2.4
available in paper copy 115(LR) 6 - 6.1
116(R)
General account - required journals and Sample - Figure 2 - Clients’ General
records 115(R) 6.2 Ledger 123 7
General account - trust disbursements General ledger - optional 116(R) 6.2.4
journal - record keeping requirements
General partnership - permitted business
Sample - Figure 3 - Trust Receipts 117(L) 6.3.2 structures (By-Law 7) 89(LR) 1
Journal, Trust Disbursements Journal, and General receeipts journal - part of general
Trust Transfer Record 128 7 account 115(R) 6.2
General account - trust receipts journal (10 General receipts - depositing to general
years) - record keeping requirements account 108(R) 3.1
General receipts journal - 6 years 116(L) 6.2.1
Sample - Figure 3 - Trust Receipts 117(L) 6.3.1
Journal, Trust Disbursements Journal, and General receipts journal (6 years) -
Trust Transfer Record 124 7 general account
General account - vs. trust account 108(L) 2 Sample - Figure 1 - General Receipts 116(L) 6.2.1
General account - withdrawal - HST 109(L) 3.3 Journal, General Disbursements Journal,
and Fees Book 122 7
General account - withdrawal (general 108(R) -
disbursements) 109(L) 3.2 General receipts journal (6 years) - record
keeping requirements
General and trust accounts - other record
keeping requirements - source documents
Sample - Figure 1 - General Receipts 116(L) 6.2.1
- general and trust accounts (10 years) 119(LR) 6.4.1
Journal, General Disbursements Journal,
General and trust accounts - receipts - 119(R) - and Fees Book 122 7
duplicate cash receipts 120(L) 6.4.2
Goal - protect the public - record keeping 115(L) 6
General cash journal - consists of -
general receipts and general Good cause - optional withdrawal of
disbursements journals 115(R) 6.2 services - non-payment of fees - (r. 3.7-3) 66(L) 2.2
General client ledger - clients’ general Good cause - withdrawal of services - (r.
ledger (optional) - record keeping 3.7-1 and commentary)
requirements 6.2.4 SEE: withdrawal of services - good cause 65(LR) 1
116(R) Good cause - withdrawal of services -
Sample - Figure 2 - Clients’ General factors (r. 3.7-1 and commentary) 65(LR) 1
Ledger 123 7 Good cause - withdrawal of services
General client ledger (optional) - general (optional) - serious loss of confidence (r. 65(R) -
account 3.7-2 and commentary) 66(L) 2.1
116(R) 6.2.4
Good character hearings 3(R) 2.4
Sample - Figure 2 - Clients’ General
Ledger 123 7 Good faith - duty to lawyers and others 74(R) -
(r. 7.2-1 - 7.2-3 and commentary) 75(L) 3.1
General disbursements - withdrawing from 108(R) -
general account (general disbursements) 109(L) 3.2 Government - lawyer in government - duty 77(LR) 4.2
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to integrity of profession (r. 7.4-1) HST - collection and remittance of 109(L) 3.3
Government lawyer - transfer between HST - legal fees, disbursements (r. 3.6-3,
government departments - conflict of 3.6-4, 5.1-5, and 3.6-1.1 and commentary) 53(R) 2.7
interest (r. 3.4-17 - 3.4-23 and
commentaries) 37(LR) 10 HST - paid from general account 109(L) 3.3
Guaranteeing debt for client - conflict of HST - statement of account (r. 3.6-3, 3.6-
interest - prohibited with 3 exceptions (r. 4, 5.1-5, and 3.6-1.1 and commentary) 53(R) 2.7
3.4-34 - 3.4-35) 40(LR) 11.7 HST receivable - tracking - fee billings 116(L) 6.2.3
Guarantees - by lawyers for I
borrower/lender clients - prohibited with 3
exceptions (r. 3.4-34 - 3.4-35) 40(LR) 11.7 Identification of a client - when is it
required (By-Law 7.1, ss. 22 and 23(1)) 18(R) 3.1
Guilty pleas - lawyer’s duty (r. 5.1-7 - 5.1-
8) 87(LR) 8 Identification of client - client or third party
is an individual - information required (By-
H Law 7.1, s. 23(1)) 18(R) 3.1.1
Harassment - s. 6.3, commentary r. 6.3.1- Identification of client - client or third party
1, and r. 6.3.1-3 7(LR) 5.2 is an organization - information required -
62(R) - additional info when receipt or transfer of
Hard clients - difficult clients 63(L) 2.2 funds by organization (By-Law 7.1, ss. 20 18(R) -
and 23(1) - (2)) 19(L) 3.1.2
102(R) -
Health - Mental Health - Stigma 102(L) 9.3 Identification of client - client or third party
is an organization - information required
Health - Mental Health and Wellness 102(L) 9 (By-Law 7.1, ss. 20 and 23(1) - (2)) 18(R) 3.1.2
Health - mental health supports and Identification of client - definition of “third
resources 102(R) 9.2 party” (By-Law 7.1, Part III) 18(L) 3
Health - strategies to improve mental 95(R) - Identification of client - exemptions to the
health 96(L) 9.1 requirement (By-Law 7.1, ss. 22(2) - (4)) 18(L) 3
Hearing panel - complaints - Proceedings Identification of client - information
Authorization Committee 3(R) 2.4 required when client or third party is an
Hearing panel - complaints - remedies 3(R) 2.4 individual (By-Law 7.1, s. 23(1)) 18(R) 3.1.1
Hearings - good character 3(R) 2.4 Identification of client - information
required when client or third party is an
Hidden fees - prohibition (r. 3.6-1.1 52(R) - organization (By-Law 7.1, ss. 20 and 23(1)
commentary) 53(L) 2.3 - (2)) 18(R) 3.1.2
Hiring support staff 99(R) 7.1 Identification of client - previous
Hold valuable property - secure place (ie identification and verification (By-Law
safety deposit box) 120(R) 6.4.4 7.1,ss. 23(2.1), (3), and (11) - (12)) 20(L) 3.4
Honesty and candour - duty to client - Identification of client - records (copies of
content of duty (rr. 3.1-2 commentary, 3.2- documents and duration required to keep
2 and commentary) 43(R) - them) (By-Law 7.1,s. 23(13) - (14)) 20(R) 3.5
SEE “Candour and honesty - duty to client” 44(L) 2.1 Identification of client - requirement (client
Honesty and candour - duty to client - and third party) (By-Law 7.1, Part III) 18(L) 3
lawyer’s opinion - when to provide (rr. 3.1- 43(R) - Identification of client - withdrawal during
2 commentary, 3.2-2 and commentary) 44(L) 2.1 identification - client illegal or dishonest
Honesty and candour - duty to client - conduct (By-Law 7.1,s. 24) 20(R) 3.6
lawyer’s opinion on case - when to provide Identification of lawyer in electronic media 97(L) 5.1
(rr. 3.1-2 commentary, 3.2-2 and 43(R) -
commentary) 44(L) 2.1 Identifying information - client identification
- individual (By-Law 7.1, s. 23(1)) 18(R) 3.1.1
Honesty and candour - duty to client -
unlawful client expectations (rr. 3.1-2 43(R) - Identifying information - client identification
commentary, 3.2-2 and commentary) 44(L) 2.1 - organization - additional info when
receipt or transfer of funds by organization 18(R) -
Honesty and candour - duty to client - (By-Law 7.1, ss. 23(1) - (2)) 19(L) 3.1.2
unreasonable client expectations (rr. 3.1-2 43(R) -
commentary, 3.2-2 and commentary) 44(L) 2.1 Identifying information - client identification
- organization (By-Law 7.1, ss. 20 and
Honesty and candour - duty to client- 23(1) - (2)) 18(R) 3.1.2
illegal client expectations (rr. 3.1-2 43(R) -
commentary, 3.2-2 and commentary) 44(L) 2.1 Illegal client expectations - duty of honesty
and candour (rr. 3.1-2 commentary, 3.2-2 43(R) -
Hourly rate - fees 51(R) 2 and commentary) 44(L) 2.1
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Illegal conduct by client - lawyer’s duty (r. transaction with a client - When
3.2-7 - 3.2-8 and commentary) independent legal advice, representation,
SEE: “Assisting dishonesty, fraud, crime, 44(R) - and consent is required
illegal conduct by client” 45(L) 2.4 Independent legal advice, representation,
Implementation stage - client relationship 61(LR) 1.4 and consent - conflict of interest -
transaction with a client - written
Improving Mental Health 102(LR) 9.1 confirmation or written denial by client (r. 38(R) -
In Trust - label - trust cheques 112(R) 4.3.4 3.4-29(b)(i) -3.4-29(b)(v)) 39(L) 11.3.1
In-house lawyer - transfer into/out of Independent legal advice, representation,
position - conflict of interest (r. 3.4-17 - and consent - conflict of interest -
3.4-23 and commentaries) 37(LR) 10 transaction with a client (r. 3.4-29(b)(i) - 38(R) -
3.4-29(b)(v)) 39(L) 11.3.1
Inclusion 11(L) 8
Indica of Stress and Addiction 102(L) 9
Inclusion - accommodation examples 12(L) 8.1
Indigenous language or French speaking
Inclusion - client services 11(R) 8.1 clients - official language rights - lawyer’s
Inclusion - legal practice 13(L) 8.3 duties to advise (r. 3.2-2A - 3.2-2B and 46(R) -
commentary) 47(L) 2.11
Inclusion - practice management examples 11(R) 8.1 Indigenous language or French speaking
Inclusion - qualitative measure 11(L) 8 clients - official language rights - lawyer’s
duty to know law (r. 3.2-2A - 3.2-2B and 46(R) -
Inclusion-client services-cultural
commentary) 47(L) 2.11
competence 11(R) 8.1
Indirect compensation - from title insurer,
Inclusion, equality and diversity training -
agent, or intermediary - prohibited (r. 3.2-
competence - professional development 23(R) 1.7.1
9.4 - 3.2-9.7 and commentaries) 46(L) 2.8
Inclusive Legal Practice 13(L) 8.3 Indirect compensation - lawyer - from title
Inclusive workplaces-employer duties 12(L) 8.2 insurer, agent, or intermediary - prohibited
(r. 3.2-9.4 - 3.2-9.7 and commentaries) 46(L) 2.8
Income Tax Act - acting for title transferor
and transferee - “related persons” - joint Indirect discrimination - duties of lawyer 6(R) 5.1
retainer (r. 3.4-16.7 - 3.4-16.9) 36(LR) 8.3 Indirect transactions with a client -
Independent legal advice - client - error or circumventing the Rules by doing indirectly
omission by lawyer - duty to recommend what cannot do directly (r. 3.4-28.2 and
(r. 7.8) 46(R) 2.1 commentaries) 38(R) 11.2
Independent legal advice - client - Individuals authorized to withdraw from
omission or error by lawyer - duty to trust account 112(L) 4.3.3
recommend (r. 7.8) 46(R) 2.1 Influence - alcohol or drugs - tribunal 83(R) -
Independent legal advice - client consent - process - shall not (r. 5.1-2(p)) 84(L) 3.6
conflict of interest (r.1.1-1 and commentary 32(R) - Influence - tribunal process - shall not (r.
and r. 3.4-2) 33(L) 4.2 5.1-2(c) and (d)) 83(LR) 3.3
Independent legal advice - conflict of Influence - witnesses - duty not to (r. 5.1-
interest - definition (r.1.1-1 and 32(R) - 2(j), (m), (o), 5.3-1, 7.2-6, and 7.2-8 - 7.2-
commentary and r. 3.4-2) 33(L) 4.2 8.2 and commentary) 83(R) 3.5
Independent legal advice - omission or Information - client’s information - duties of
error by lawyer - duty to client - duty to lawyer (s. 3.5 and commentaries; By-Law
recommend independent legal advice (r. 9) 47(LR) 3
7.8) 46(R) 2.1
Information - client’s information - lawyer’s
Independent legal advice - payment of duties (s. 3.5 and commentaries; By-Law
legal fees by transfer of a share, 9) 47(LR) 3
participation, or other interest in property
or an enterprise (r. 3.4-36) 40(L) 11.6 Information required to identify a client -
client or third party is individual (By-Law
Independent legal advice -error or 7.1, s. 23(1)) 18(R) 3.1.1
omission by lawyer - duty to client - duty to
recommend independent legal advice (r. Information required to identify a client -
7.8) 46(R) 2.1 client or third party is organization (By-Law
7.1, ss. 20 and 23(1) - (2)) 18(R) 3.1.2
Independent legal advice, representation,
and consent - conflict of interest - Information that must be protected - 25(R) -
transaction with a client - consent 38(R) - confidentiality 26(L) 2.1
requirement (r. 3.4-29(b)(i) -3.4-29(b)(v)) 39(L) 11.3.1 Informed consent - joint retainer (r. 3.4-5
Independent legal advice, representation, 38(R) - 11.3.1 and 3.4-7 and commentaries) 34(R) 7.1
and consent - conflict of interest - 39(L) Initial screening - client relationship 59(LR) 1.1
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SEE: Stages of Client Relationship Interest - trust account - return to client 110(L) 4.1.1
Institutional client - client’s illegality - Interests - outside interests - duty (r. 7.3-1
lawyer’s duty (r. 3.2-7 - 3.2-8 and - 7.3-2 and commentary) 77(L) 4.1
commentary)
Interim billing, work in progress, or account
SEE: “Assisting dishonesty, fraud, crime, 44(R) -
status reports - fees (r. 3.6-1 and
illegal conduct by client” 45(L) 2.4
commentary) 52(R) 2.2
Institutional/organizational clients 17(LR) 2.4 Interim statement of account - fees (r. 3.6-
Instructions - client is organization / 1 and commentary) 52(R) 2.2
corporation 17(LR) 2.4
Interpreter - client - communications 63(LR) 2.3
Instructions - client service - duty of
Interprovincial law firm - division of fees -
competence 22(R) 1.4
permitted (r. 3.6-5, 3.6-7, 3.6-8 and
Instructions - from authorized commentaries) 54(R) 3
representative (client under disability or
Interprovincial law firm - permitted
Legal Capacity) 17(L) 2.2
business structures and practice
Instructions - from client - cannot instruct arrangements (By-Law 7) 89(LR) 1
lawyer to violate Rules 61(LR) 1.4
Interruptions, control - time management 95(R) 4.1
Instructions - from client - changes to 61(LR) 1.4
Interviewing represented persons (r. 5.3-1,
Instructions - from joint clients 16(R) 2.1 7.2-6-7.2-6A) 85(L) 4.2
Instructions - from organization client 17(LR) 2.4 Interviewing witnesses - represented
person 85(L) 4.2
Instructions - to violate Rules, By-Laws -
mandatory withdrawal of services (r. 3.7-7 Interviewing witnesses (r. 5.3-1) 85(L) 4.1
and commentary) 67(L) 4 Invoices and deposit slips - copies -
Instructions (adequate) - difficulty record-keeping 119(L) 6.4.1
obtaining - serious loss of confidence - 65(R) -
J
optional withdrawal of services 66(L) 2.1
Joint Clients - Conflict - Negotiation -
Instructions from client - diminished
When Lawyer Can Act/Must Withdraw 17(L) 2.1
capacity - lawyer’s duties (r. 3.2-9 and
commentary) 45(L) 2.5 Joint Clients - Contentious Issue -
Negotiation - When Lawyer Can Act/Must
Insurance - duty to report errors,
Withdraw 17(L) 2.1
omissions to liability insurer (s. 7.8) 74(LR) 2.4
Joint clients rr. 3.4-5-3.4-9 and
101(R) -
commentaries 16(R) 2.1
Insurance - liability insurance - required 102(L) 8
Joint provision of services - affiliations -
Insurer - duty of lawyer to report potential
conflict of interest - consent required (r.
claim - error or omission by lawyer (r. 7.8) 46(R) 2.1
3.1-2, 3.4-11.1 - 3.4-11.3 and commentary 40(R) -
Insurer - duty of lawyer to report potential and r. 3.4-16.1.1) 41(L) 12.2
claim - omission or error by lawyer (r. 7.8) 46(R) 2.1
Joint provision of services - affiliations -
Insurer - error or omission by lawyer - duty conflict of interest - consent required (r.
to report potential claim (r. 7.8) 46(R) 2.1 3.4-11.1 - 3.4-11.3 and commentary and r. 40(R) -
Insurer - omission or error by lawyer - duty 3.4-16.1 - 3.4-16.1.1) 41(L) 12.2
to report potential claim (r. 7.8) 46(R) 2.1 Joint provision of services - affiliations -
Intake and Resolution Department 3(R) 2.4 conflict of interest - disclosure obligations
pre-retainer (r. 3.1-2, 3.4-11.1 - 3.4-11.3 40(R) -
Intake and Resolution Department - Law and commentary and r. 3.4-16.1.1) 41(L) 12.2
Society 1(R) 1.3
Joint provision of services - affiliations -
Integrity - r. 2.1-1 - culturally competent conflict of interest - disclosure obligations
practice 5(LR) 2 pre-retainer (r. 3.4-11.1 - 3.4-11.3 and
Integrity - r.2.1-1 and commentary 5(L) 2 commentary and r. 3.4-16.1 - 3.4-16.1.1) 41(L) 12.2
Integrity of profession - duty to uphold (r. Joint provision of services - affiliations -
2.1-1 - 2.1-2) 77(L) 4 conflict of interest - rules apply to non-
lawyer partners and associates (r. 3.1-2,
Integrity of profession - public office - duty 3.4-11.1 - 3.4-11.3 and commentary and r. 40(R) -
to uphold (r. 7.4-1) 77(LR) 4.2 3.4-16.1.1) 41(L) 12.2
Interest - fees - overdue accounts (r. 3.6- Joint provision of services - affiliations -
1.1) (s. 33 - Solicitors Act - only allowed in conflict of interest - rules apply to non-
accordance with) 53(LR) 2.5 lawyer partners and associates (r. 3.4-11.1
Interest - trust account - remittance to LFO 110(L) 4.1.1 - 3.4-11.3 and commentary and r. 3.4-16.1
- 3.4-16.1.1) 41(L) 12.2
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Joint provision of services - affiliations - 9 and 3.7-8 - 3.7-9)

conflict of interest (r. 3.1-2, 3.4-11.1 - 3.4- 40(R) - 34(LR)
11.3 and commentary and r. 3.4-16.1.1) 41(L) 12.2 Joint Retainer - conflict of interest - when 7 - 7.1
Joint provision of services - affiliations - lawyer can act (r. 3.4-5 - 3.4-9 and 16(R) -
conflict of interest (r. 3.4-11.1 - 3.4-11.3 commentaries) 17(L) 2.1
and commentary and r. 3.4-16.1 - 3.4- 40(R) - Joint retainer - conflict of interest -
16.1.1) 41(L) 12.2 withdrawal (contentious issue) (r. 3.4-8 - 34(R) -
Joint provision of services - multi- 3.4-9 and 3.7-8 - 3.7-9) 35(L) 7.2
disciplinary practices/partnerships - conflict Joint retainer - conflict of interest -
of interest - consent required (r. 3.4-11.1 - withdrawal for unresolvable contentious 34(R) -
3.4-11.3 and commentary and r. 3.4-16.1 - 40(R) - issue (r. 3.4-8 - 3.4-9 and 3.7-8 - 3.7-9) 35(L) 7.2
3.4-16.1.1) 41(L) 12.2
Joint retainer - consent in writing 16(R) 2.1
Joint provision of services - multi-
disciplinary practices/partnerships - conflict Joint retainer - consent requirement (r. 3.4-
of interest - consent required(r. 3.1-2, 3.4- 5 and 3.4-7 and commentaries) 34(R) 7.1
11.1 - 3.4-11.3 and commentary and r. 40(R) - Joint retainer - contentious issues -
3.4-16.1.1) 41(L) 12.2 withdrawal (r. 3.4-8 - 3.4-9 and 3.7-8 - 3.7- 34(R) -
Joint provision of services - multi- 9) 35(L) 7.2
disciplinary practices/partnerships - conflict Joint retainer - continuing relationship with
of interest - disclosure obligations pre- one of the clients (r. 3.4-5 and 3.4-7 and
retaine(r. 3.1-2, 3.4-11.1 - 3.4-11.3 and 40(R) - commentaries) 34(R) 7.1
commentary and r. 3.4-16.1.1) 41(L) 12.2
Joint retainer - estate and real estate
Joint provision of services - multi- matters 35(L) 8
disciplinary practices/partnerships - conflict
of interest - disclosure obligations pre- Joint retainer - fees (division) (r. 3.6-1 and
retainer (r. 3.4-11.1 - 3.4-11.3 and commentary; r. 3.6-4; and commentary,
commentary and r. 3.4-16.1 - 3.4-16.1.1) 41(L) 12.2 4.1-1)
SEE: Fees 52(LR) 2.1
Joint retainer 16(R) 2.1
Joint retainer - joint wills for
Joint retainer - acting for borrower and spouses/partners (r. 3.4-5) 35(LR) 8.1
lender - where lender in business of
Joint retainer - must advise clients of (r.
lending money (r. 3.4-12 - 3.4-16 and 35(R) -
3.4-5 - 3.4-9 and commentaries) 34(LR) 7
commentaries) 36(L) 8.2
Joint retainer - old client + new client (r.
Joint retainer - acting for borrower and
3.4-5 and 3.4-7 and commentaries) 34(R) 7.1
lender (r. 3.4-12 - 3.4-16 and 35(R) -
commentaries) 36(L) 8.2 Joint retainer - organization 17(R) 2.4
Joint retainer - acting for both borrower Joint retainer - statement of account (r.
and lender - disclosure of material 3.6-3, 3.6-4, 5.1-5, and 3.6-1.1 and
information (r. 3.4-12 - 3.4-16 and commentary) 53(R) 2.7
commentaries) 36(L) 8.2
Joint retainer - when lawyer can accept 16(R) 2.1
Joint retainer - acting for both borrower
Joint retainer - when lawyer can act (r. 3.4-
and lender - where lender in business of
5, 3.4-7, 3.4-9 and commentaries) 34(LR) 7 - 7.1
lending money (r. 3.4-12 - 3.4-16 and 35(R) -
commentaries) 36(L) 8.2 Joint retainers - conflict of interest - estate
and real estate matters 35(L) 8
Joint retainer - acting for transferor
(vendor) & transferee (purchaser) - Joint retainers - conflict of interest - joint
divergence of interests (r. 3.4-16.7 - 3.4- wills for spouses/partners - written consent
16.9) 36(LR) 8.3 after warning 35(LR) 8.1
Joint retainer - acting for transferor Joint retainers in estate and real estate
(vendor) & transferee (purchaser) (r. 3.4- matters - acting for borrowers and lenders 35(R) -
16.7 - 3.4-16.9) 36(LR) 8.3 (r. 3.4-12 - 3.4-16 and commentaries) 36(L) 8.2
Joint retainer - conflict of interest - acting Joint wills for spouses or partners - joint
for both borrower and lender (r. 3.4-12 - 35(R) - retainer (conflicts of interest) (r. 3.4-5) 35(LR) 8.1
3.4-16 and commentaries) 36(L) 8.2 Joint wills for spouses or partners (r. 3.4-5) 35(LR) 8.1
Joint retainer - conflict of interest - estate Joint wills for spouses/partners - joint
and real estate matters 35(L) 8 retainers - conflict of interest - written
Joint retainer - conflict of interest - joint consent after warning 35(LR) 8.1
wills for spouses/partners (r. 3.4-5) 35(LR) 8.1 Journal - general account - general cash
Joint retainer - conflict of interest - 34(R) - 7.2 journal 115(R) 6.2
resolving contentious issues (r. 3.4-8 - 3.4- 35(L)
Journal - general account - general 116(L) 6.2.2
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disbursements journal (6 years) conflict of interest if lawyer bails him out (r.
3.4-40 - 3.4-41) 42(L)
Sample - Figure 1 - General Receipts Jurors - communications with jurors (r. 5.5-
Journal, General Disbursements Journal, 1, 5.5-4, and commentaries) 86(R) 5.1
and Fees Book 122 7
Jurors - interest or connection with case or
Journal - general account - general party - lawyer’s duty to disclose (r. 5.5-2 -
receipts journal (6 years) 5.5-3) 86(R) 5.2
Sample - Figure 1 - General Receipts 116(L) 6.2.1 Justice, Administration of - duty to 77(R) -
Journal, General Disbursements Journal, SEE: Duty - Administration of justice 78(L) 5
and Fees Book 122 7 Justice, Administration of - encouraging
Journal - trust account - trust respect for (r. 5.6-1 and 7.2-1 and
disbursements journal (10 years) commentaries) 77(L) 5.1
Justified disclosure of confidential info -
Sample - Figure 3 - Trust Receipts 117(L) 6.3.2 required by law
Journal, Trust Disbursements Journal, and SEE: Confidentiality - disclosure - justified
Trust Transfer Record 128 7 disclosure 27(LR) 4.1
Journal - trust account - trust receipts Justified or permitted disclosure of
journal (10 years) confidential information - without client’s 26(R) -
authority 27(L) 4
Sample - Figure 3 - Trust Receipts 117(L) 6.3.1
Journal, Trust Disbursements Journal, and K
Trust Transfer Record 124 7 Knowledge - duty of competence - client’s
Journal - trust account - trust transfer matter 21(R) 1.1
journal (6 years) Knowledge - duty of competence -
substantive law 21(R) 1.1
Sample - Figure 3 - Trust Receipts 117(R) 6.3.4
L
Journal, Trust Disbursements Journal, and
Trust Transfer Record 124 7 Land Registration Reform Act - acting for
title transferor and transferee - joint
Journal - trust disbursements journal (10
retainer (r. 3.4-16.7 - 3.4-16.9) 36(L) 8.3
years) - record keeping requirements
Language rights - Aboriginal or French
Sample - Figure 3 - Trust Receipts 117(L) 6.3.2 language speaking clients (r. 3.2-2A - 3.2- 46(R) -
Journal, Trust Disbursements Journal, and 2B and commentary) 47(L) 2.11
Trust Transfer Record 128 7 Language rights - French or Aboriginal-
Journal - trust receipts journal (10 years) - language speaking clients (r. 3.2-2A - 3.2- 46(R) -
record keeping requirements 2B and commentary) 47(L) 2.11
Language rights - French or Indigenous-
Sample - Figure 3 - Trust Receipts 117(L) 6.3.1 language speaking clients - duty of lawyer
Journal, Trust Disbursements Journal, and to know law (r. 3.2-2A - 3.2-2B and 46(R) -
Trust Transfer Record 124 7 commentary) 47(L) 2.11
Journal - trust transfer journal (6 years) - Language rights - French or Indigenous-
record keeping requirements language speaking clients (r. 3.2-2A - 3.2- 46(R) -
2B and commentary) 47(L) 2.11
Sample - Figure 3 - Trust Receipts 117(R) 6.3.4
Journal, Trust Disbursements Journal, and Language rights - Indigenous or French
Trust Transfer Record 124 7 language speaking clients (r. 3.2-2A - 3.2- 46(R) -
2B and commentary) 47(L) 2.11
Judge - personal relationship with - duty (r.
5.1-2(c) and (d)) 83(LR) 3.3 Law firm - confidentiality - duty to all clients 26(L) 2.3
Judge - retired, returning to practice - duty 77(R) - Law firm - dismantling - withdrawal of
(s. 7.7) 78(R) 5.5 lawyer from client’s matter (r. 3.7-7A and 67(L) -
commentary) 68(L) 5
Judge - returning to practice after
retirement 77(R) - Law firm - dissolution - withdrawal of
(s. 7.7) 78(R) 5.5 lawyer from client’s matter (r. 3.7-7A and 67(L) -
commentary) 68(L) 5
Judicial interim release of accused -
conflict of interest if lawyer bails him out - 41(R) - Law firm - interprovincial - division of fees -
exception for family (r. 3.4-40 - 3.4-41) 42(L) 12.5 permitted (r. 3.6-5, 3.6-7, 3.6-8 and
commentaries) 54(R) 3
Judicial interim release of accused -
conflict of interest if lawyer bails him out - 41(R) - Law Firm - managing partners likely in
reason for prohibition (r. 3.4-40 - 3.4-41) 42(L) 12.5 control - authorized to withdraw 112(L) 4.3.3

Judicial interim release of accused - 41(R) - 12.5 Law firm - name - requirements (r. 4.2-0- 89(R) - 2.1
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4.2-1.1 and commentaries) 90(L) clients - cash - restrictions 114(L)

Law firm disqualification - conflict of Law practice - receiving money from 114(R) -
interest - transfer of lawyer 37(R) 10.1 clients - clearance periods 115(L) 5.3
Law partnership - Ontario and non- Law practice - receiving money from
Canadian lawyers - division of fees clients - credit and debit card payments 114(LR) 5.2
permitted (r. 3.6-5, 3.6-7, 3.6-8 and Law practice - record keeping
commentaries) 54(R) 3 requirements - current, permanent,
Law practice - accounting available in paper copy 115(LR) 6 - 6.1
SEE: Accounting 107(LR) 1 Law practice - record keeping
Law practice - bank account - general requirements - duplicate cash receipts
account 108(LR) 3 book (6 years) 119(R) - 6.4.2
Law practice - bank account - general 108(L) - 120(L)
account - By-Law 9 109(L) 3 - 3.2 Sample - Figure 6 - Duplicate Cash
Receipt 127 7
Law practice - bank account - general
account - deposit 108(R) 3.1 Law practice - record keeping 115(R) - 6.2 -
requirements - general account 116(R) 6.2.5
Law practice - bank account - general
account - withdrawal - HST 109(L) 3.3 Law practice - record keeping
requirements - referral fee records (6
Law practice - bank account - general years) 120(LR) 6.4.3
account - withdrawal (general 108(R) -
disbursements) 109(L) 3.2 Law practice - record keeping 116(R) - 6.3 -
requirements - trust account 119(L) 6.3.5
Law practice - bank account - general vs.
trust 108(L) 2 Law practice - record keeping
requirements - valuable property record
Law practice - bank account - HST 109(L) 3.3 (10 years) 120(R) 6.4.4
Law practice - bank account - trust
account 109(LR) 4 Sample - Figure 7 - Valuable Property
Record 127 7
Law practice - bank account - trust 109(L) -
account - By-Law 9 113(L) 4 - 4.4 Law Society - administrative requirements 101(R) -
of practice - practice management 102(L) 8
Law practice - bank account - trust 110(R) -
account - deposit 111(L) 4.2 101(R) -
Law Society - annual fee (By-Law 5) 102(L) 8
Law practice - bank account - trust
account - financial institutions 110(R) 4.1.2 101(R) -
Law Society - annual report (By-Law 8) 102(L) 8
Law practice - bank account - trust
account - opening, fees 109(R) 4.1 Law Society - bankruptcy and insolvency 101(R) -
(By-Law 8) 102(L) 8
Law practice - bank account - trust
account - sharing with another lawyer or Law Society - certified specialist -
paralegal 110(R) 4.1.3 advertising (r. 4.3-1 and commentary; By-
Law 15) 91(R) 2.4
Law practice - bank account - trust
account - types 110(L) 4.1.1 Law Society - Client Service Centre 1(R) 1.4
Law practice - bank account - trust Law Society - Compensation Fund 1(R) 1.3
account - unclaimed trust funds 113(L) 4.4 Law Society - complaints about a lawyer or
Law practice - bank account - trust 111(L) - 4.3 - paralegal 3(R) 2.4
account - withdrawal 112(R) 4.3.4 Law Society - Complaints and Compliance
Law practice - billing - general account 108(R) 3.1 Department 3(LR) 2.4
Law practice - cash - receiving from clients 113(R) - Law Society - conduct unbecoming a
- restrictions 114(L) 5.1 barrister or solicitor - definition (r. 1.1-1) 72(LR) 1.5
Law practice - financial responsibilities 99(L) 6.2 Law Society - continuing professional 101(R) -
development (By-Law 6.1) 102(L) 8
Law practice - HST 109(L) 3.3
Law Society - discipline - conduct
Law practice - other record keeping unbecoming a barrister or solicitor (r. 1.1-1
requirements - source documents - and 2.1-1 and commentary and s. 7.8.2) 72(LR) 1.5
general and trust accounts (10 years) 119(LR) 6.4.1
Law Society - discipline - duty to submit to
Law practice - privacy (r. 1.1-1 and 2.1-1 and commentary and s.
SEE: Privacy 103(L) 10.1 7.8.2) 72(LR) 1.5
Law practice - receiving money from Law Society - discipline - professional
clients 113(L) 5 misconduct (r. 1.1-1 and 2.1-1 and
Law practice - receiving money from 113(R) - 5.1 commentary and s. 7.8.2) 72(LR) 1.5
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Law Society - duty to 71(L) 1 87(L)

SEE: Duty - to Law Society 71(L) 1 Lawyer - assist accused with interim
Law Society - Enforcement Departments 1(R) 1.3 release from custody - conflict of interest - 41(R) -
exception for family (r. 3.4-40 - 3.4-41) 42(L) 12.5
Law Society - External Relations and
Communications Division 1(R) 1.4 Lawyer - assist accused with interim
release from custody - conflict of interest - 41(R) -
Law Society - Intake and Resolution
reason for prohibition (r. 3.4-40 - 3.4-41) 42(L) 12.5
Department 1(R) 1.3
Lawyer - assist accused with interim
Law Society - Lawyers’ obligation to
release from custody - conflict of interest 41(R) -
respond and communicate with Law
(r. 3.4-40 - 3.4-41) 42(L) 12.5
Society 3(R) 2.4
48(R) -
Law Society - mandate 1(L) 1 Lawyer - client documents - duty to client 49(R) 3.3
Law Society - permission to practice 1(L) 1 Lawyer - client documents - duty to 48(R) -
Law Society - Practice Audits Department 3(L) 2.3 preserve - duty to client 49(R) 3.3
Lawyer - client documents - duty to return - 48(R) -
Law Society - primary functions 1(L) 1
duty to client 49(R) 3.3
Law Society - Professional Development
Lawyer - client money - duty to client (s.
and Competence Division 1(L) 1.2
3.5 and commentaries; By-Law 9) 48(L) 3.2
Law Society - professional liability 101(R) -
Lawyer - client money - trust account -
insurance requirement (By-Law 6) 102(L) 8
duty to client (s. 3.5 and commentaries;
Law society - professional misconduct - By-Law 9) 48(L) 3.2
definition (r. 1.1-1) 72(R) 1.5
Lawyer - client privilege - mediation 77(R) 5.4
Law Society - Professional Regulation
Division 1(R) 1.3 Lawyer - client relationship - confirming it
exists 15(R) 1.2
Law Society - suspensions 4(LR) 2.5
Lawyer - client relationship - cultural 8(R) -
Law Society - Trustee Services competence 9(R) 6.2
Department - administers Unclaimed Trust
Lawyer - client relationship - cultural
Fund (By-Law 10) 113(L) 4.4
competence - cultural homophily 9(R) 6.2
Law Society - Unclaimed Trust Fund 1(R) 1.3 Lawyer - client relationship - cultural
Law Society - Unclaimed Trust Fund (By- competence - microaffirmations 9(LR) 6.2
Law 10) 113(L) 4.4 Lawyer - client relationship - cultural
Law Student - supervision of (By-Law 7.1, competence - microaggressions 9(L) 6.2
Part I) 99(R) 7 Lawyer - client relationship - cultural
LAWPRO - duty to report errors, omissions competence - power 8(R) 6.2
(s. 7.8) 74(LR) 2.4 Lawyer - client relationship - cultural
LAWPRO - duty, error omissions (s. 7.8) 74(LR) 2.4 competence - privilege 8(R) 6.2
LawPRO - TitlePlus program - lawyer’s Lawyer - client relationship - cultural
duty competence - relative power 8(R) 6.2
(r. 3.2-9.4 - 3.2-9.7 and commentaries) 46(L) 2.8 Lawyer - client relationship - equality 10(R) 7
LawPro Protection - counterfeited certified
Lawyer - client relationship - inclusion 11(R) 8.1
cheques/bank drafts 114(R) 5.3
Lawyer - client relationship - inclusion -
Lawyer - acting for employee of client -
accommodation examples 12(L) 8.1
conflict (s. 3.4) 76(L) 3.3.1
Lawyer - client relationship - inclusion -
Lawyer - ADR - duty to client (r. 3.2-4 and
practice management examples 11(R) 8.1
commentary) 44(L) 2.2
Lawyer - advising client - list of duties Lawyer - client services - inclusion 11(R) 8.1
when advising client 43(R) 2 Lawyer - client services - inclusion -
Lawyer - Alternative Dispute Resolution - practice management examples 11(R) 8.1
duty to client (r. 3.2-4 and commentary) 44(L) 2.2 Lawyer - conveyance of property - duty re
title insurance (r. 3.2-9.4 - 3.2-9.7 and
Lawyer - as advocate - duties 81(L) Intro
commentaries) 46(L) 2.8
Lawyer - as mediator - duties (s. 5.7 and
Lawyer - criminal charge or conviction - 73(R) -
commentary) 77(R) 5.4
duty to report 74(L) 2.3
86(R) -
Lawyer - discharged by client - mandatory
Lawyer - as witness - appeals 87(L) 6
withdrawal of services (r. 3.7-7 and
Lawyer - as witness (r. 5.2) 86(R) - 6 commentary) 67(L) 4
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Lawyer - dishonest conduct - encourage (r. 3.2-2A - 3.2-2B and commentary)

client to report (r. 7.1-4 - 7.1-4.3) 73(R) 2.2 Lawyer - duty to client - advise client re
Lawyer - drafts testamentary instrument - French or Aboriginal language rights (r. 46(R) -
instructions in instrument to estate to 3.2-2A - 3.2-2B and commentary) 47(L) 2.11
retain lawyer who drafted instrument - Lawyer - duty to client - advise client re
conflict of interest (r. 3.4-38 - 3.4-39) 41(R) 12.4 French or Indigenous language rights (r. 46(R) -
Lawyer - drafts testamentary instrument - 3.2-2A - 3.2-2B and commentary) 47(L) 2.11
retained to provide services to estate - Lawyer - duty to client - advising client,
conflict of interest - duties of lawyer (r. 3.4- when - list of duties 43(R) 2
38 - 3.4-39) 41(R) 12.4
48(R) -
Lawyer - drafts testamentary instrument - Lawyer - duty to client - client documents 49(R) 3.3
retained to provide services to estate -
conflict of interest (r. 3.4-38 - 3.4-39) 41(R) 12.4 Lawyer - duty to client - client documents - 48(R) -
duty to preserve 49(R) 3.3
Lawyer - drafts testamentary interest - she
or partner/associate receives bequest - Lawyer - duty to client - client documents - 48(R) -
conflict of interest (r. 3.4-38 - 3.4-39) 41(R) 12.4 duty to return 49(R) 3.3
Lawyer - drafts will - instructions in will to 48(R) -
estate to retain lawyer who drafted will - Lawyer - duty to client - client files 49(R) 3.3
conflict of interest (r. 3.4-38 - 3.4-39) 41(R) 12.4 Lawyer - duty to client - client files - duty to 48(R) -
Lawyer - drafts will - lawyer (drafting) or keep out of sight 49(R) 3.3
partner/associate receives bequest - Lawyer - duty to client - client files - duty to 48(R) -
conflict of interest (r. 3.4-38 - 3.4-39) 41(R) 12.4 preserve 49(R) 3.3
Lawyer - drafts will - retained to provide Lawyer - duty to client - client files - duty to
services to estate - conflict of interest - return files belonging to client at end of 48(R) -
duties of lawyer (r. 3.4-38 - 3.4-39) 41(R) 12.4 retainer 49(R) 3.3
Lawyer - drafts will - retained to provide Lawyer - duty to client - client files - duty to
services to estate - conflict of interest (r. return files belonging to client at end of
3.4-38 - 3.4-39) 41(R) 12.4 retainer - files belonging to client/to be 48(R) -
returned - definition 49(R) 3.3
Lawyer - duties to client - summary 43(L) Intro
Lawyer - duty to client - client files - duty to
Lawyer - duties with respect to systemic
return files belonging to client at end of
racism 13(R) 9.1
retainer - files belonging to client/to be
Lawyer - duty - self-represented litigants, returned - lawyer should copy for their 48(R) -
toward (r. 7.2-9) 42(L) 12.6 benefit (complaints) 49(R) 3.3
Lawyer - duty - where opposing side is Lawyer - duty to client - client files - duty to
unrepresented return files belonging to client at end of
(r. 7.2-9) 42(L) 12.6 retainer - files belonging to client/to be
Lawyer - duty as employers - barriers in returned - lawyer should copy for their 48(R) -
the workplace 12(R) 8.2 benefit (complaints) - cost 49(R) 3.3
Lawyer - duty as employers - inclusive Lawyer - duty to client - client files - duty to
workplaces 12(L) 8.2 return files belonging to client at end of
retainer - files belonging to client/to be 48(R) -
Lawyer - duty of honesty and candour -
returned - list 49(R) 3.3
duty to client - content of duty (rr. 3.1-2
commentary, 3.2-2 and commentary) 43(R) - Lawyer - duty to client - client files - duty to
SEE “Candour and honesty - duty to client” 44(L) 2.1 return files belonging to client at end of
retainer - files belonging to lawyer/need
Lawyer - duty re client’s dishonesty, fraud,
NOT be returned to client - copy for client 48(R) -
illegal conduct (r. 3.2-7 - 3.2-8 and
on request at lawyer’s discretion 49(R) 3.3
commentary)
SEE: “Assisting dishonesty, fraud, crime, 44(R) - Lawyer - duty to client - client files - duty to
illegal conduct by client” 45(L) 2.4 return files belonging to client at end of
retainer - files belonging to lawyer/need
Lawyer - duty to avoid threatening
NOT be returned to client - copy for client 48(R) -
criminal, quasi-criminal, regulatory
on request at lawyer’s discretion - cost 49(R) 3.3
proceedings without justification (r. 3.2-5
and commentary) 44(LR) 2.3 Lawyer - duty to client - client files - duty to
return files belonging to client at end of
Lawyer - duty to client - Aboriginal or
retainer - files belonging to lawyer/need 48(R) -
French language rights, duty to advise (r. 46(R) -
NOT be returned to client - list 49(R) 3.3
3.2-2A - 3.2-2B and commentary) 47(L) 2.11
Lawyer - duty to client - client money - 48(L) 3.2
Lawyer - duty to client - Aboriginal or 46(R) - 2.11
receiving, holding, disbursing client money
French language rights, duty to know law 47(L)
- examples of types of money (s. 3.5 and
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commentaries; By-Law 9) law (r. 3.2-2A - 3.2-2B and commentary)

Lawyer - duty to client - client money - Lawyer - duty to client - honesty and
receiving, holding, disbursing client money candour - duty to client - content of duty
- requirements (s. 3.5 and commentaries; (rr. 3.1-2 commentary, 3.2-2 and
By-Law 9) 48(L) 3.2 commentary)
Lawyer - duty to client - client money - SEE: “Candour and honesty - duty to 43(R) -
receiving, holding, disbursing client money client” 44(L) 2.1
(s. 3.5 and commentaries; By-Law 9) 48(L) 3.2 Lawyer - duty to client - Indigenous or
Lawyer - duty to client - client money - French language rights, duty to advise (r. 46(R) -
trust account (s. 3.5 and commentaries; 3.2-2A - 3.2-2B and commentary) 47(L) 2.11
By-Law 9) 48(L) 3.2 Lawyer - duty to client - Indigenous or
Lawyer - duty to client - client money (s. French language rights, duty to know law 46(R) -
3.5 and commentaries; By-Law 9) 48(L) 3.2 (r. 3.2-2A - 3.2-2B and commentary) 47(L) 2.11
Lawyer - duty to client - client under Lawyer - duty to client - language rights (r. 46(R) -
duress/undue influence/pressure 45(LR) 2.6 3.2-2A - 3.2-2B and commentary) 47(L) 2.11
Lawyer - duty to client - client under Lawyer - duty to client - loyalty 43(LR) 1
duress/undue influence/pressure - client’s Lawyer - duty to client - loyalty (fiduciary) 43(LR) 1
instructions/wishes 45(LR) 2.6
Lawyer - duty to client - medical-legal
Lawyer - duty to client - client under reports 45(R) -
pressure/duress/undue influence 45(LR) 2.6 (r. 3.2-9.1 - 3.2-9.3 and commentary) 46(L) 2.7
Lawyer - duty to client - client undue Lawyer - duty to client - minor client (r. 3.2-
influence/duress/pressure 45(LR) 2.6 9 and commentary) 45(L) 2.5
Lawyer - duty to client - client with Lawyer - duty to client - mortgagee client -
diminished capacity - minor or disabled mortgage transactions (r. 3.2-9.8 - 3.2-9.9) 46(LR) 2.9
client lacking legal capacity (r. 3.2-9 and
commentary) 45(L) 2.5 Lawyer - duty to client - official language 46(R) -
rights (r. 3.2-2A - 3.2-2B and commentary) 47(L) 2.11
Lawyer - duty to client - client’s dishonesty,
fraud, illegal conduct (r. 3.2-7 - 3.2-8 and Lawyer - duty to client - real estate
commentary) transaction - title insurance (r. 3.2-9.4 -
SEE: “Assisting dishonesty, fraud, crime, 44(R) - 3.2-9.7 and commentaries) 46(L) 2.8
illegal conduct by client” 45(L) 2.4 Lawyer - duty to client - real property
Lawyer - duty to client - duty to know laws transaction - title insurance (r. 3.2-9.4 -
regarding language rights (r. 3.2-2A - 3.2- 46(R) - 3.2-9.7 and commentaries) 46(L) 2.8
2B and commentary) 47(L) 2.11 Lawyer - duty to client - refusal to act -
Lawyer - duty to client - encourage threatening criminal, quasi-criminal, or
settlement and present settlement offers / regulatory proceeding (r. 3.2-5 and
consider alternative dispute resolution commentary) 44(LR) 2.3
(ADR) (r. 3.2-4 and commentary) Lawyer - duty to client - returning
SEE “Alternative dispute resolution (ADR) documents
& Settlement - duty to encourage” 44(L) 2.2 SEE: “Lawyer - duty to client - client files -
Lawyer - duty to client - fees 51(R) - 2.1 - duty to return files belonging to client at 48(R) -
SEE: Fees 53(R) 2.6 end of retainer” 49(R) 3.3
Lawyer - duty to client - threatening
Lawyer - duty to client - fiduciary 43(LR) 1
criminal, quasi-criminal, regulatory
Lawyer - duty to client - fiduciary - proceedings without justification (r. 3.2-5
definition 43(LR) 1 and commentary) 44(LR) 2.3
Lawyer - duty to client - fiduciary - Lawyer - duty to client - title insurance -
requirements 43(LR) 1 conveyance of real property (r. 3.2-9.4 -
Lawyer - duty to client - fiduciary - 3.2-9.7 and commentaries) 46(L) 2.8
requirements - minimum standard of Lawyer - duty to client - title insurance -
competence 43(LR) 1 real estate transaction (r. 3.2-9.4 - 3.2-9.7
Lawyer - duty to client - French or and commentaries) 46(L) 2.8
Aboriginal language rights, duty to advise 46(R) - Lawyer - duty to client - title insurance -
(r. 3.2-2A - 3.2-2B and commentary) 47(L) 2.11 real property transaction (r. 3.2-9.4 - 3.2-
Lawyer - duty to client - French or 9.7 and commentaries) 46(L) 2.8
Indigenous language rights, duty to advise 46(R) - Lawyer - duty to client - when advising
(r. 3.2-2A - 3.2-2B and commentary) 47(L) 2.11 client - list of duties 43(R) 2
Lawyer - duty to client - French or 46(R) - 2.11 Lawyer - duty to client to advise about title 46(L) 2.8
Indigenous language rights, duty to know 47(L) insurance - conveyance of property (r. 3.2-
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9.4 - 3.2-9.7 and commentaries) Lawyer - leaving law firm - notification

Lawyer - duty to encourage settlement and requirements (r. 3.7-7A and commentary) 67(R) 5
present settlement offers / consider Lawyer - leaving law firm - obligations (r. 67(L) -
alternative dispute resolution (ADR) 3.7-7A and commentary) 68(L) 5
(r. 3.2-4 and commentary) Lawyer - leaving law firm - remaining 67(L) -
SEE “Alternative dispute resolution (ADR) lawyers (r. 3.7-7A and commentary) 68(L) 5
& Settlement - duty to encourage” 44(L) 2.2
Lawyer - leaving law firm - withdrawal of
Lawyer - duty to lawyers and others lawyer from client’s matter (r. 3.7-7A and 67(L) -
SEE: Duty - lawyers and others 74(R) 3 commentary) 68(L) 5
Lawyer - Duty to not discriminate 11(L) 8 Lawyer - lending to client - conflict of
Lawyer - duty to preserve client money (s. interest
3.5 and commentaries; By-Law 9) 48(L) 3.2 SEE: “Client - lending to” 39(LR) 11.4
Lawyer - duty to report - criminal charge or 73(R) - Lawyer - loan or mortgage transactions
conviction 74(L) 2.3 with client (r. 3.4-33.1 and commentary,
3.4-33.2 - 3.4-33.3)
Lawyer - duty to report error, omission (r.
SEE: “Client - lending to” 39(LR) 11.4
7.8) 46(R) 2.1
Lawyer - misconduct - duty to report
Lawyer - duty to report omission, error (r.
(r. 7.1-3 and commentary) 73(L) 2.1
7.8) 46(R) 2.1
Lawyer - mortgage transactions - duty to
Lawyer - duty to report on mortgage
client - lender client where loan secured by
transactions - lender client where loan is
mortgage on real property- duty to report
secured by mortgage on real property (r.
on mortgage transactions (r. 3.2-9.8 - 3.2-
3.2-9.8 - 3.2-9.9) 46(LR) 2.9
9.9) 46(LR) 2.9
Lawyer - duty to report on mortgage
Lawyer - mortgage transactions - duty to
transactions - mortgagee client - time
client - mortgagee client -duty to report on
frame for providing duplicate mortgage
mortgage transactions (r. 3.2-9.8 - 3.2-9.9) 46(LR) 2.9
and final report (r. 3.2-9.8 - 3.2-9.9) 46(LR) 2.9
86(R) -
Lawyer - duty to report on mortgage
Lawyer - necessary witness 87(L) 6
transactions - mortgagee client (r. 3.2-9.8 -
3.2-9.9) 46(LR) 2.9 Lawyer - new lawyer enters firm - conflicts
check 42(R) 13
Lawyer - error or omission - duties to client
and professional liability insurer - reporting Lawyer - no longer licensed - duty not to 71(R) -
(r. 7.8) 46(R) 2.1 employ (r. 7.6-1.1) 72(L) 1.3
Lawyer - error or omission - duties to client Lawyer - not competent to handle matter -
and professional liability insurer (r. 7.8) 46(R) 2.1 mandatory withdrawal of services (r. 3.7-7
and commentary) 67(L) 4
Lawyer - fiduciary duty - lawyer’s 43(LR) 1
Lawyer - offer of settlement - duty to client
Lawyer - fiduciary duty - lawyer’s - (r. 3.2-4 and commentary) 44(L) 2.2
definition 43(LR) 1
Lawyer - office - sharing arrangements
Lawyer - fiduciary duty - lawyer’s - with other lawyers - confidentiality 29(R) -
requirements 43(LR) 1 (commentary r. 3.3-1) 30(LR) 6.2
Lawyer - fiduciary duty - lawyer’s - Lawyer - omission or error - duties to client
requirements - minimum standard of and professional liability insurer (r. 7.8) 46(R) 2.1
competence 43(LR) 1
Lawyer - opinion on case - duty of honesty
Lawyer - former - duty not to employ, work 71(R) - and candour - provide opinion to client (rr. 43(R) -
with (r. 7.6-1.1) 72(L) 1.3 3.1-2 commentary, 3.2-2 and commentary) 44(L) 2.1
Lawyer - friend or family relationship with Lawyer - opinion on case - when to
client - conflict of interest (commentary, r. provide to client - duty of honesty and
3.4-1) 40(R) 12.1 candour (rr. 3.1-2 commentary, 3.2-2 and 43(R) -
Lawyer - guarantees for borrower/lender commentary) 44(L) 2.1
clients - prohibited with 3 exceptions (r. Lawyer - outside interests - conflict of
3.4-34 - 3.4-35) 40(LR) 11.7 interest
Lawyer - inclusive workplaces 12(L) 8.2 (r. 7.3 - 7.4) 41(LR) 12.3
Lawyer - leaving law firm - affected client Lawyer - outside interests - duty (r. 7.3-1 -
(r. 3.7-7A and commentary) 67(R) 5 7.3-2 and commentary) 77(L) 4.1
Lawyer - leaving law firm - government, Lawyer - personal guarantees for
Crown corporation, or in-house counsel - borrower/lender clients - prohibited with 3
withdrawal of lawyer from client’s matter (r. 67(L) - exceptions (r. 3.4-34 - 3.4-35) 40(LR) 11.7
3.7-7B) 68(L) 5 Lawyer - personal, sexual, or intimate 40(R) 12.1
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relationship with client - conflict of interest disbursing client money - duty to client (s.
(commentary, r. 3.4-1) 3.5 and commentaries; By-Law 9)
Lawyer - practice management - inclusive Lawyer as advocate - duties (r. 5.1-1, 5.1-
workplaces 12(L) 8.2 3, and 5.1-4 - 5.1-6 and commentaries) 82(L) 2
Lawyer - professional development - time Lawyer competence - duty of - judgment 22(L) 1.3
management 95(R) 4.1
Lawyer competence - duty of - judgment -
Lawyer - public office - conflict of interest deliberation 22(L) 1.3
(r. 7.3 - 7.4) 41(LR) 12.3
Lawyer competence - duty of - judgment -
Lawyer - real estate transaction - title intellectual capacity 22(L) 1.3
insurance - duty to client (r. 3.2-9.4 - 3.2-
9.7 and commentaries) 46(L) 2.8 Lawyer competence - duty of - skills 22(L) 1.2
Lawyer - real property transaction - title Lawyer competence - knowledge - client’s
insurance - duty to client (r. 3.2-9.4 - 3.2- matter - how to accomplish 21(R) 1.1
9.7 and commentaries) 46(L) 2.8 Lawyer competence - knowledge - general
Lawyer - reporting on mortgage legal knowledge 21(R) 1.1
transactions - time frame for providing Lawyer competence - knowledge - legal
duplicate mortgage and final report to principles 21(R) 1.1
lender client (r. 3.2-9.8 - 3.2-9.9) 46(LR) 2.9 Lawyer competence - knowledge -
Lawyer - reporting on mortgage substantive law 21(R) 1.1
transactions - time frame for providing Lawyer misconduct - duty to report -
duplicate mortgage and final report to confidential information (rr. 3.3-1(c) and
mortgagee client (r. 3.2-9.8 - 3.2-9.9) 46(LR) 2.9 7.1-3 and commentary) 29(R) 5.3
Lawyer - reporting on mortgage Lawyer misconduct - duty to report (r. 7.1-
transactions (r. 3.2-9.8 - 3.2-9.9) 46(LR) 2.9 3 and commentary) 73(L) 2.1
Lawyer - retained by employee - for Lawyer transfer between law firms -
purpose of sheltering factual info - disqualification of new firm - reasonable
forbidden s. 3.4 76(L) 3.3.1 measures to protect info & and avoid
Lawyer - retired judge returning to practice 77(R) - disqualification (r. 3.4-20) 37(R) 10.1
(s. 7.7) 78(R) 5.5 Lawyer transfer between law firms -
Lawyer - security for debts - disqualification of new firm (r. 3.4-20) 37(R) 10.1
borrower/lender clients - prohibited with 3 Lawyer transfer between law firms -
exceptions (r. 3.4-34 - 3.4-35) 40(LR) 11.7 transferring lawyer disqualification - when
Lawyer - settlement - duty to client (r. 3.2-4 transferring lawyer can continue to act (r. 37(R) -
and commentary) 44(L) 2.2 3.4-21 - 3.4-22) 38(L) 10.2
Lawyer - settlement offer - duty to client (r. Lawyer transfer between law firms -
3.2-4 and commentary) 44(L) 2.2 transferring lawyer disqualification - when
Lawyer - statement of account - must sign transferring lawyer can discuss past
(r. 3.6-3, 3.6-4, 5.1-5, and 3.6-1.1 and 53(R) - representation with new firm (r. 3.4-21 - 37(R) -
commentary) (s. 2(1) Solicitors Act) 54(L) 2.7 3.4-22 and 3.3-7) 38(L) 10.2
Lawyer - successor lawyer - duty after Lawyer transfer between law firms -
withdrawal of services (r. 3.7-10 and 68(R) - transferring lawyer disqualification (r. 3.4- 37(R) -
commentary) 69(L) 7 21 - 3.4-22) 38(L) 10.2
Lawyer - suspended - duty not to employ, 71(R) - Lawyer transfer between law firms - when
work with (r. 7.6-1.1) 72(L) 1.3 new firm can act (consent or reasonable
measures) (r. 3.4-20) 37(R) 10.1
Lawyer - title insurance - real estate
transaction - duty to client (r. 3.2-9.4 - 3.2- Lawyer- client relationship - cultural
9.7 and commentaries) 46(L) 2.8 competence - dominant culture 9(L) 6.2
Lawyer - title insurance - real property Lawyer- client relationship - cultural
transaction - duty to client (r. 3.2-9.4 - 3.2- competence - dominant social group 9(L) 6.2
9.7 and commentaries) 46(L) 2.8 Lawyer- client relationship - cultural
Lawyer - title insurance not mandatory - competence - unconscious bias 9(L) 6.2
duty with conveyance of property (r. 3.2- Lawyer-client privilege - evidentiary rule -
9.4 - 3.2-9.7 and commentaries) 46(L) 2.8 vs. confidentiality (r. 3.3-1 and
Lawyer - tribunal process 3 commentary) 25(L) 1
SEE: Duty - tribunal 82(R) 3 Lawyer-client relationship -
communications - material breakdown -
Lawyer - unable to fulfill retainer 61(LR) 1.4
serious loss of confidence - optional 65(R) -
Lawyer -client money - receiving, holding, 48(L) 3.2 withdrawal of services 66(L) 2.1
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Lawyer-client relationship - fees - non- Lawyers accepting cash LSO imposed

payment - optional withdrawal of services restrictions 113(R) 5.1
(r. 3.7-3) 66(L) 2.2 Lawyers and the Ontario Human Rights
Lawyer-client relationship - formation 15(R) 1.2 Code -r.2.1-1 and commentary and ss.
6.3-6.3.1 6(LR) 5
Lawyer-client relationship - informal/formal 15(R) -
formation 16(L) 1.2 Ledger - client trust ledger (10 years) 117(R) 6.3.3
Lawyer-client relationship - instructions -
Sample - Figure 4 - Clients’ Trust Ledger 125 7
difficulty obtaining - serious loss of
confidence - optional withdrawal of 65(R) - Ledger - clients’ general ledger (optional) -
services 66(L) 2.1 record keeping requirements 6.2.4
116(R)
Lawyer-client relationship - mandatory
Sample - Figure 2 - Clients’ General
withdrawal of services 67(L) 4
Ledger 123 7
Lawyer-client relationship - non-payment
Ledger - clients’ trust ledger (10 years) -
of fees - optional withdrawal of services (r.
record keeping requirements 117(R) 6.3.3
3.7-3) 66(L) 2.2
Lawyer-client relationship - retainer - Sample - Figure 4 - Clients’ Trust Ledger 125 7
explaining termination / withdrawal 65(LR) 1
Ledger - general client ledger (optional)
Lawyer-client relationship - serious loss of 65(R) - 116(R) 6.2.4
confidence - examples 66(L) 2.1 Sample - Figure 2 - Clients’ General
Lawyer-client relationship - serious loss of 65(R) - Ledger 123 7
confidence - r. 3.7-2 and commentary 66(L) 2.1 Legal advice about lawyer’s proposed
Lawyer-client relationship - withdrawal conduct - permitted disclosure of
from - general 65(L) Intro confidential info (r. 3.3-6) 28(R) 4.5
Lawyer-client relationship - withdrawal Legal capacity - Authorized
from - good cause and reasonable notice - Representative 17(L) 2.2
r.3.7-1 and commentary 65(LR) 1 Legal capacity - client - Authorized
Lawyer-client relationship - withdrawal Representative 17(L) 2.2
from - optional withdrawal 65(R) 2 Legal capacity - individuals lacking -
Lawyer-client relationship - withdrawal authorized representative (r. 3.2-9 and
from - serious loss of confidence - r. 3.7-2 65(R) - commentary) 45(L) 2.5
and commentary 66(L) 2.1 Legal capacity - minor or disabled client
Lawyer-client relationship - withdrawal lacking legal capacity - duty to client (r.
from criminal proceedings - sufficient 3.2-9 and commentary) 45(L) 2.5
interval 66(LR) 3 Legal capacity - vulnerability - client under
Lawyer-client relationship - withdrawal of duress/undue influence/pressure - client’s
services - criminal - permission of the court 67(L) 3.3 wishes 45(LR) 2.6
Lawyer-client relationship - withdrawal of Legal capacity-client-authorized
services - manner of withdrawal 68(LR) 6 representative 17(L) 2.2
Lawyer's records - electronic trust transfer Legal documents - held by lawyer -
requisition - Form 9A 112(L) 4.3.2 lawyer’s duties in safekeeping and 47(R) -
recording 48(L) 3.1
Lawyer's Staff - reluctant to accept recepit
of cash 120(L) 6.4.2 Legal practice - financial responsibilities 99(L) 6.2
Lawyer’s general account - record keeping Legal Practice - inclusion 13(L) 8.3
requirements (s. 3.5 and commentaries; Legal profession - duty to
By-Law 9) 48(L) 3.2 SEE: Duty - legal profession 73(L) 2
Lawyer’s opinion on case - duty of honesty Legal Profession - systemic racism-
and candour - provide opinion to client (rr. 43(R) - addressing 13(R) 9.1
3.1-2 commentary, 3.2-2 and commentary) 44(L) 2.1
Lawyer’s opinion on case - when to Legal research - electronic methods 97(R) 5.2
provide to client - duty of honesty and Legal services - making available (s. 4.1) 89(R) 2
candour (rr. 3.1-2 commentary, 3.2-2 and 43(R) -
Legal services - marketing, advertising
commentary) 44(L) 2.1
services (r. 4.2-0-4.2-1.1 and 89(R) -
Lawyer’s own interests - recognizing commentaries) 90(L) 2.1
conflict of interest (r. 1.1-1 and 3.4-1 and
commentary) 31(LR) 2 Legal services - technology 97(L) 5.1

Lawyers - who are employees 6(R) 5 Legal system - improvements - duties 77(L) 5.2

Lawyers - who are employers 6(R) 5 Legally required disclosure (justified) - 27(LR) 4.1
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confidential information (r. 3.3-1.1) and By-Law 9, Part II.1)

Legislative change - seeking - duty (r. 5.6- License suspension or restriction - duty not
1 - 5.6-2 and commentary) 77(L) 5.2 to practice (r. 7.6-1.2 - 7.6-1.4; By-Law
Legislative office - lawyer’s duty to integrity 7.1, Part II; and By-Law 9, Part II.1) 72(L) 1.4
of profession (r. 7.4-1) 77(LR) 4.2 Lie - tribunal process - duties (r. 5.1-1 and
Lender client - loan secured by real commentary, and r. 5.1-2(b), (e), (f), (g), (j)
property - duty to client - reporting on and (k)) 83(R) 3.4
mortgage (r. 3.2-9.8 - 3.2-9.9) 46(LR) 2.9 Lien - on client file - lawyer withdrawal (r.
Lender client - loan secured by real 3.7-8 - 3.7-9 and commentary) 68(L) 6
property - duty to client (r. 3.2-9.8 - 3.2- Lien - on client’s property - securing
9.9) 46(LR) 2.9 payment of fees (r. 3.4-27 - 3.4-29 and 56(R) -
Lender client where loan secured by real commentaries) 57(R) 6
property - duty to client - reporting on Lifestyle strategies - improving Mental
mortgage (r. 3.2-9.8 - 3.2-9.9) 46(LR) 2.9 Health 102(LR) 9.1
Lender client where loan secured by real Limit Access - trust cheques 112(R) 4.3.3
property - duty to client (r. 3.2-9.8 - 3.2-
Limit Access - withdrawl - methods -
9.9) 46(LR) 2.9
withdrawl - trust 112(L) 4.3.2
Lending to client (r. 3.4-33.1 and
Limitation period - duty to advise client
commentary, 3.4-33.2 - 3.4-33.3)
regarding 93(R) 3.2
SEE: “Client - lending to” 39(LR) 11.4
Limited liability partnerships - permitted
Lending to or borrowing from client,
business structures (By-Law 7) 89(LR) 1
defined as transaction with client (r. 3.4-27
- 3.4-28) 38(L) 11 Limited scope clients - r. 3.2-1A-3.3-1A.2
Commentaries 17(R) 2.5
Letter - closing, reporting - termination of 61(R) -
relationship with client 62(L) 1.5 Limited scope retainer 17(R) 2.5
61(R) - Limited scope retainer - disengagement 61(R) -
Letter - disengagement with client 62(L) 1.5 letter 62(L) 1.5
Letter - engagement / retainer - details re Limited, short term legal services (pro
withdrawal of services (r. 3.7-1 and bono) - conflicts of interest - declining to
commentary) 65(LR) 1 act (r. 3.4-16.2 - 3.4-16.6 and
59(R) - 1.2 - commentary) 37(L) 9
Letter - engagement and non-engagement 61(L) 1.3 Limited, short term legal services (pro
61(R) - bono) - conflicts of interest (r. 3.4-16.2 - 36(R) -
Letter - termination of client relationship 62(L) 1.5 3.4-16.6 and commentary) 37(L) 9
Level of risk - conflict of interest (r. 1.1-1 Listing of money in trust accounts -
and 3.4-1 and commentary) 31(L) 1 comparison 117(R) 6.3.5
Literary works - confidentiality - client info
LFO - interest from trust accounts 110(L) 4.1.1
(r. 3.3-1, commentary 11.1) 29(R) 6.1
Liabilities - client liabilities - trust account 118(R) 6.3.5(b) Litigant - unrepresented - conflict of
Liability insurance - duty to report errors, interest - duties of lawyer (r. 7.2-9) 42(L) 12.6
omissions (s. 7.8) 74(LR) 2.4 Litigation guardian - capacity - minor or
101(R) - disabled client lacking legal capacity - duty
Liability insurance - required 102(L) 8 to client - efforts to confirm capacity (r. 3.2-
Liability insurer - duty of lawyer to report 9 and commentary) 45(L) 2.5
potential claim - error or omission by Litigation guardian - capacity - minor or
lawyer (r. 7.8) 46(R) 2.1 disabled client lacking legal capacity - duty
Liability insurer - duty of lawyer to report to client (r. 3.2-9 and commentary) 45(L) 2.5
potential claim - omission or error by Litigation guardian/authorized
lawyer (r. 7.8) 46(R) 2.1 representative - clients with diminished
Liability insurer - error or omission by capacity - lawyer’s duties (r. 3.2-9 and
lawyer - duty to report potential claim (r. commentary) 45(L) 2.5
7.8) 46(R) 2.1 Loan / mortgage transaction - conflict of
Liability insurer - omission or error by interest - transaction with client (r. 3.4-33.1
lawyer - duty to report potential claim (r. and commentary, 3.4-33.2 - 3.4-33.3)
7.8) 46(R) 2.1 SEE: “Client - lending to” 39(LR) 11.4
License suspension - duty during 72(L) 1.4 Loan transaction - acting for borrower and 35(R) - 8.2
suspension lender - where lender in business of 36(L)
(r. 7.6-1.2 - 7.6-1.4; By-Law 7.1, Part II; lending money (r. 3.4-12 - 3.4-16 and
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commentaries) Management - practice management -

Loan transaction - acting for borrower and finances 23(L) 1.6
lender (r. 3.4-12 - 3.4-16 and 35(R) - Management - practice management -
commentaries) 36(L) 8.2 staff 23(L) 1.6
Loyalty - divided - conflict of interest 31(L) 2 Management - practice management -
time 23(L) 1.6
Loyalty - duty of - lawyer’s 43(LR) 1
Management strategies - Mental Health
Loyalty - duty of - lawyer’s - definition 43(LR) 1 and Wellness 102(LR) 9.1
Loyalty - duty of - lawyer’s - requirements 43(LR) 1 Managing administrative and business 101(R) -
Loyalty - duty of - lawyer’s - requirements - aspects of practice 102(L) 8
minimum standard of competence 43(LR) 1 Managing client expectations 62(L) 2
Loyalty - duty of - prohibits use or Managing client relationship 59(L) 1
disclosure of client info other than to serve
client (commentary r. 3.3-1) Managing client relationship - client
SEE: Confidentiality - prohibited use or expectations 62(L) 2
disclosure of client information 29(R) 6 63(LR) -
Loyalty - duty of lawyer to client - fiduciary Managing client relationship -
duty - requirements 43(LR) 1 communications with client 64(LR) 2.3
LSO - administrative requirements - 101(R) - Managing client relationship - difficult 62(R) -
practice management 102(L) 8 clients 63(L) 2.2
101(R) - Managing client relationship - 61(R) -
LSO - annual fee (By-Law 5) 102(L) 8 disengagement 62(L) 1.5
101(R) - Managing client relationship - engagement 59(R) - 1.2 -
LSO - annual report (By-Law 8) 102(L) 8 or non-engagement - letters 61(L) 1.3
LSO - bankruptcy and insolvency (By-Law 101(R) - Managing client relationship -
8) 102(L) 8 implementation stage 61(LR) 1.4
LSO - conduct unbecoming a barrister or Managing client relationship - initial
solicitor - definition (r. 1.1-1) 72(R) 1.5 screening 59(LR) 1.1
LSO - continuing professional 101(R) - 61(R) -
development (By-Law 6.1) 102(L) 8 Managing client relationship - termination 62(L) 1.5
LSO - discipline - conduct unbecoming a 31(R) -
barrister or solicitor (r. 1.1-1 and 2.1-1 and Managing conflicts of interest 32(L) 4
commentary and s. 7.8.2) 72(LR) 1.5 Managing financial responsibilities 98(LR) 6
LSO - discipline - duty to submit to (r. 1.1-1 Managing Mental Health 102(L) 9
and 2.1-1 and commentary and s. 7.8.2) 72(LR) 1.5
Managing supervisory responsibilities -
LSO - discipline - professional misconduct Practice management (s. 6.1 - 6.2; By-Law
(r. 1.1-1 and 2.1-1 and commentary and s. 4, s. 34; By-Law 7.1, Part I) 99(R) 7
7.8.2) 72(LR) 1.5
Managing undertakings (r. 5.1-6 and 7.2-
LSO - discipline - review of conduct in 11 and commentaries) 76(LR) 3.4
professional/personal sphere 72(R) 1.5
Mandatory disclosure - confidential
LSO - duty to information - legally required (justified) (r.
SEE: Duty - to Law Society 71(L) 1 3.3-1.1) 27(LR) 4.1
LSO - professional liability insurance 101(R) - Mandatory disclosure of confidential info -
requirement (By-Law 6) 102(L) 8 for security of court facilities (r. 5.6-3 and
LSO - professional misconduct - definition commentary) 29(LR) 5.2
(r. 1.1-1) 72(R) 1.5 Mandatory termination - conflict of interest
M (r. 3.4-1, 3.4-3, and 3.7-7) 33(L) 4.3
Maintaining client file 93(LR) 3.2 Mandatory withdrawal - conflict of interest
(r. 3.4-1, 3.4-3, and 3.7-7) 33(L) 4.3
Maintaining source documents - other
record keeping requirements 119(L) 6.4 Mandatory withdrawal (law firm) -
confidential information - conflict of interest
Making legal services available (s. 4.1) 89(R) 2 - lawyer transfer between firms (r. 3.4-20) 37(R) 10.1
Management - file management - 92(L) - Mandatory withdrawal (law firm) - conflict
generally 95(L) 3 - 3.4 of interest - confidential information -
Management - practice management - lawyer transfer between firms (r. 3.4-20) 37(R) 10.1
client information 23(L) 1.6 Mandatory withdrawal of services - list of 67(L) 4
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circumstances (r. 3.7-7 and commentary) guardian (r. 3.2-9 and commentary)
Mandatory withdrawal of services - Minor client - capacity - duty to client -
obligations efforts to confirm capacity (r. 3.2-9 and
(r. 3.7-7 and commentary) 67(L) 4 commentary) 45(L) 2.5
Manner of withdrawal of services - Minor client - capacity - duty to client (r.
obligations (r. 3.7-8 - 3.7-9 and 3.2-9 and commentary) 45(L) 2.5
commentary) 68(LR) 6 Minor client - lawyer’s duty (r. 3.2-9 and
MAP - Mental Health - support and commentary) 45(L) 2.5
resources 102(R) 9.2 Misappropriated valuable property - risk -
Marketing - legal services - second opinion lawyer safekeeping 120(R) 6.4.4
(r. 4.2-1, 4.2-1.2 and commentaries) 90(LR) 2.1.1 Misappropriation of trust funds - trust
Marketing - residential real estate services account 111(R) 4.3
(r. 4.2-2.1 and commentary) 91(LR) 2.3 Misconduct - by lawyer, paralegal - duty to
Marketing - technology 97(L) 5.1 report (r. 7.1-3 and commentary) 73(L) 2.1
Marketing legal services (r. 4.2-0-4.2-1.1 89(R) - Misconduct - duty to report - confidential
and commentaries) 90(L) 2.1 information (rr. 3.3-1(c) and 7.1-3 and
commentary) 29(R) 5.3
Marketing practices - contraventions (r.
4.2-1, 4.2-1.2 and commentaries) 90(LR) 2.1.1 Mislead tribunal process - shall not (r. 5.1-
2(e), (h), (i), and (l)) 83(L) 3.2
Marketing practices - unprofessional (r. 90(R) -
4.1-2 and commentary) 91(L) 2.1.2 Missing information on trust cheque -
never sign 112(R) 4.3.3
Marketing prohibitions (r. 4.2-1, 4.2-1.2
and commentaries) 90(LR) 2.1.1 Mistreat - witnesses - duty not to (r. 5.1-
2(j), (m), (o), 5.3-1, 7.2-6, and 7.2-8 - 7.2-
McKercher - Bright Line Rule - cannot act
8.2 and commentary) 83(R) 3.5
for concurrent clients that are adverse in
interest 33(LR) 5.2 Misused or misapplied funds - trust 114(R) -
account overdrawn or short 115(L) 5.3
Media - communication - public statements
- duty to uphold integrity of profession (s. Mixed trust account - cleared before
7.5) 77(R) 4.3 disbursement 114(R) 5.3
Mediator - duties (s. 5.7 and commentary) 77(R) 5.4 Mixed trust account - deposits - ensure 114(R) -
funds cleared before disbursement 115(L) 5.3
Medical-legal reports - duty to client -
disclosure to client (r. 3.2-9.1 - 3.2-9.3 and 45(R) - Mixed trust account - deposits (trust 110(R) -
commentary) 46(L) 2.7 receipts) 111(L) 4.2
Medical-legal reports - duty to client (r. 3.2- Mixed trust account - trust account 110(L) 4.1.1
9 and (r. 3.2-9.1 - 3.2-9.3 and 45(R) - Money - client money - lawyer’s duties
commentary) 46(L) 2.7 SEE: ““Duty - client - client money” 48(L) 3.2
Meeting client expectations 52(LR) 2 - 2.1 Money - receiving from client - cash - 113(R) -
Member Assistance Program - Mental restrictions 114(L) 5.1
Health 102(R) 9.2 Money - receiving from client - clearance 114(R) -
periods 115(L) 5.3
Mental Health and Wellness 102(L) 9
Money - receiving from client - credit and
102(R) -
debit card payments 114(LR) 5.2
Mental Health and Wellness - Stigma 102(L) 9.3
Mental Health and Wellness - Strategies Money - receiving from clients 113(L) 5
for improvement 102(LR) 9.1 Money retainer - charity 51(R) 1
Mental Health and Wellness - supports Money retainer - not-for-profit 51(R) 1
and resources 102(R) 9.2
Money retainer - trust account - permitted
51(R) - withdrawal to pay fees (r. 3.6-10; By-Law
Methods - for billing / client fees 52(L) 2 9) 54(LR) 2.8
Methods - for depositing to trust account 111(L) 4.2.1 Money retainers - circumstances where
Methods - of receiving payment from prohibited 51(R) 1
clients 113(L) 5 Money retainers - definition and usage 51(LR) 1
111(R) - Money that may be withdrawn from trust
Methods - withdrawal from trust account 112(L) 4.3.2 accounts (r. 3.6-10; By-Law 9) 54(L) 2.8
Minimum requirements - records 115(L) 6 Monies disbursed by lawyer/firm - other
Minor client - capacity - duty to client - 45(L) 2.5 than trust funds for clients 116(L) 6.2.2
authorized representative/litigation
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Monies recieved - belonging to lawyer/firm Mortgage transactions - duty to client -

- other than monies in trust for clients 116(L) 6.2.1 mortgagee client (r. 3.2-9.8 - 3.2-9.9) 46(LR) 2.9
118(R) - Mortgage transactions - duty to client -
Monthly trust comparison 119(L) 6.3.5(c) mortgagee client - duty to report on
mortgage transactions (r. 3.2-9.8 - 3.2-9.9) 46(LR) 2.9
Monthly trust comparison - 10 years 117(R) 6.3.5
Mortgagee - client - duty to client -
Monthly trust comparison - trust account 116(R) 6.3 reporting on mortgage (r. 3.2-9.8 - 3.2-9.9) 46(LR) 2.9
Monthly trust comparison (10 years) - Mortgagee - client - duty to client (r. 3.2-
record keeping requirements 118(R) 6.3.5 9.8 - 3.2-9.9) 46(LR) 2.9
Sample - Figure 5 - Monthly Trust Mortgagee client - duty to client - reporting
Comparison 126 7 on mortgage (r. 3.2-9.8 - 3.2-9.9) 46(LR) 2.9
Monthly trust comparison (10 years) - trust Mortgagee client - duty to client (r. 3.2-9.8
account 118(R) 6.3.5 - 3.2-9.9) 46(LR) 2.9
Mortgagor and mortgagee - acting for both
Sample - Figure 5 - Monthly Trust - where lender in business of lending
Comparison 126 7 money (r. 3.4-12 - 3.4-16 and 35(R) -
commentaries) 36(L) 8.2
Monthly trust reconciliation - trust account 118(LR) 6.3.5(a)
Mortgagor and mortgagee - acting for both 35(R) -
Mortgage - against client’s property -
(r. 3.4-12 - 3.4-16 and commentaries) 36(L) 8.2
securing payment of fees (r. 3.4-27 - 3.4- 56(R) -
29 and commentaries) 57(R) 6 Multi-discipline partnership - permitted
practice arrangement (By-Law 7) 89(LR) 1
Mortgage - lender client where loan
secured by real property - duty to client - Multi-discipline practice - conflict of interest
reporting on mortgage (r. 3.2-9.8 - 3.2-9.9) 46(LR) 2.9 (r. 3.1-2, 3.4-11.1 - 3.4-11.3 and 40(R) -
commentary and r. 3.4-16.1.1) 41(L) 12.2
Mortgage - lender client where loan
secured by real property - duty to client (r. Multi-discipline practice - conflict of interest
3.2-9.8 - 3.2-9.9) 46(LR) 2.9 (r. 3.4-11.1 - 3.4-11.3 and commentary 40(R) -
and r. 3.4-16.1 - 3.4-16.1.1) 41(L) 12.2
Mortgage - mortgagee client - duty to client
- reporting on mortgage (r. 3.2-9.8 - 3.2- Multi-discipline practice - conflict of interest
9.9) 46(LR) 2.9 - consent required (r. 3.1-2, 3.4-11.1 - 3.4- 40(R) -
11.3 and commentary and r. 3.4-16.1.1) 41(L) 12.2
Mortgage - mortgagee client - duty to client
(r. 3.2-9.8 - 3.2-9.9) 46(LR) 2.9 Multi-discipline practice - conflict of interest
- consent required (r. 3.4-11.1 - 3.4-11.3
Mortgage / loan transaction - conflict of
and commentary and r. 3.4-16.1 - 3.4- 40(R) -
interest - transaction with client (r. 3.4-33.1
16.1.1) 41(L) 12.2
and commentary, 3.4-33.2 - 3.4-33.3)
SEE: “Client - lending to” 39(LR) 11.4 Multi-discipline practice - conflict of interest
- disclosure obligations pre-retainer
Mortgage transaction - acting for borrower
(r. 3.1-2, 3.4-11.1 - 3.4-11.3 and 40(R) -
and lender - where lender in business of
commentary and r. 3.4-16.1.1) 41(L) 12.2
lending money (r. 3.4-12 - 3.4-16 and 35(R) -
commentaries) 36(L) 8.2 Multi-discipline practice - conflict of interest
- disclosure obligations pre-retainer
Mortgage transaction - acting for borrower
(r. 3.4-11.1 - 3.4-11.3 and commentary
and lender (r. 3.4-12 - 3.4-16 and 35(R) -
and r. 3.4-16.1 - 3.4-16.1.1) 41(L) 12.2
commentaries) 36(L) 8.2
Multi-discipline practice - conflict of interest
Mortgage transactions - duty to client -
- rules apply to non-lawyer partners and
lender client where loan secured by
associates (r. 3.1-2, 3.4-11.1 - 3.4-11.3 40(R) -
mortgage on real property - duty to report
and commentary and r. 3.4-16.1.1) 41(L) 12.2
on mortgage transactions (r. 3.2-9.8 - 3.2-
9.9) 46(LR) 2.9 Multi-discipline practice - conflict of interest
- rules apply to non-lawyer partners and
Mortgage transactions - duty to client -
associates (r. 3.4-11.1 - 3.4-11.3 and
lender client where loan secured by real
commentary and r. 3.4-16.1 - 3.4-16.1.1) 41(L) 12.2
property - duty to report on mortgage
transactions - time frame for providing Multi-discipline Practice - division of fees -
duplicate mortgage and final report (r. 3.2- permitted where partnership agreement
9.8 - 3.2-9.9) 46(LR) 2.9 provides (r. 3.6-5, 3.6-7, 3.6-8 and
commentaries) 54(R) 3
Mortgage transactions - duty to client -
mortgagee client - duty to report on Multi-discipline practice - duty to others (s.
mortgage transactions - time frame for 7.8-1) 77(R) 4.4
providing duplicate mortgage and final Multi-discipline practice - fee splitting OK
report (r. 3.2-9.8 - 3.2-9.9) 46(LR) 2.9 where partnership agreement provides (r.
3.6-5, 3.6-7, 3.6-8 and commentaries) 54(R) 3
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Multi-discipline practice - permitted (r. 3.7-1 and commentary)

practice arrangement (By-Law 7) 89(LR) 1
O
Multi-discipline practice (s. 7.8-1) 77(R) 4.4
Obligations - discovery (r. 5.1-3.1) 87(L) 7
N Obligations - third parties (conflicts of
Name - client file 93(LR) 3.2 interest) - prospective client (r.3.4-1 and
commentary) 31(R) 3
Name - firm name - requirements (r. 4.2-0- 89(R) -
4.2-1.1 and commentaries) 90(L) 2.1 Occupational Health and Safety Act - r.
6.3.1-3 - workplace violence and
Nature of practice - advertising (r. 4.3-1
harassment - lawyers’ duties 7(R) 5.3
and commentary; By-Law 15) 91(R) 2.4
Offer of settlement - duty to present to
Negative balance - general disbursement
client (r. 3.2-4 and commentary) 44(L) 2.2
journal 116(R) 6.2.4
Negative balance - general receipts journal Offering legal services (s. 4.1) 89(R) 2
- meaning 116(R) 6.2.4 Office - public office - duty (r. 7.4-1) 77(LR) 4.2
Negotiation - Joint Clients - Conflict - Office of the Privacy Commissioner -
When Lawyer Can Act/Must Withdraw 17(L) 2.1 PIPEDA 103(L) 10.1
Never sign - trust cheque with missing Official language rights - French or
information 112(R) 4.3.3 Aboriginal-language speaking clients (r. 46(R) -
New matters - acting against former client 3.2-2A - 3.2-2B and commentary) 47(L) 2.11
(r. 3.4-10-11) 34(L) 6.2 Official language rights - French or
No longer licenced - lawyer or paralegal - Indigenous-language speaking clients -
no longer licensed - duty not to employ (r. 71(R) - duty of lawyer to know law (r. 3.2-2A - 3.2- 46(R) -
7.6-1.1) 72(L) 1.3 2B and commentary) 47(L) 2.11
Non-billable vs. billable hours - time Official language rights - French or
docketing 96(R) 4.3 Indigenous-language speaking clients (r. 46(R) -
3.2-2A - 3.2-2B and commentary) 47(L) 2.11
Non-contentious matter - joint clients -
representation (r. 3.4-5 - 3.4-9 and Omission - duty to insurer (s. 7.8) 74(LR) 2.4
commentaries) 34(LR) 7 - 7.1 Omissions - lawyer - duties of lawyer -
Non-engagement - letter - required 59(R) - reporting (r. 7.8) 46(R) 2.1
contents 60(L) 1.2 Omissions - lawyer - duties to client and
Non-lawyer employees - supervision in 100(R) - professional liability insurer (r. 7.8) 46(R) 2.1
real estate matters 101(L) 7.4 Omissions and errors by lawyer - duties to
Non-lawyer employees - supervision, client and insurance implications - (r. 7.8) 46(R) 2.1
delegation (By-Law 7.1, Part I; r.6.1-1 and Omissions by lawyer - duties of lawyer -
commentary) 100(LR) 7.3 reporting (r. 7.8) 46(R) 2.1
Non-lawyer staff - transfer between law Omissions by lawyer - duties to client and
firms - lawyer duty of due diligence professional liability insurer (r. 7.8) 46(R) 2.1
regarding transfer and confidentiality rules
compliance (r. 3.4-23 and commentary) 38(L) 10.3 Omissions or errors by lawyer - duties of
lawyer - reporting (r. 7.8) 46(R) 2.1
Non-lawyers - education and training 100(L) 7.2
Ontario Human Rights Code - lawyers’
Non-licensee - employee - lawyer’s duty to 71(R) - rights and obligations 6(R) 5
supervise (r. 7.6-1.1) 72(L) 1.3
Ontario Human Rights Code - Purpose 6(LR) 5
Non-licensee - prohibition of fee division,
splitting, sharing (r. 3.6-5, 3.6-7, 3.6-8 and Opening - client file 93(R) 3.2
commentary) 54(R) 3 Opening - trust account 109(R) 4.1
Non-negotiable cheques - trust account 113(L) 4.4 Operate a law practice - financial
Non-payment of fees - optional withdrawal responsibilities 99(L) 6.2
of services (r. 3.7-3) 66(L) 2.2 Opponents of current clients, representing
Non-payment of fees - withdrawal of - conflict of interest - impermissible (r. 3.4-
services optional (r. 3.7-3) 66(L) 2.2 1, 3.4-3, and 3.7-7) 33(L) 5.1
Non-sufficient funds (NSF) - receiving 114(R) - Opponents of former clients, representing - 33(R) -
money from client - clearance periods 115(L) 5.3 conflict of interest - consent 34(L) 6 - 6.2
Not-for-profit - money retainer 51(R) 1 Opposing parties - conflict of interest -
lawyer cannot act even with consent of all
Not-for-profit - money retainer prohibited 51(R) 1 parties 33(L) 5.1
Notice - withdrawal of services - good 65(LR) 1 Optional withdrawal of services 65(R) 2
cause
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SEE: Withdrawal of services - optional commentary)

Optional withdrawal of services - non- Outside Interest - public office of lawyer -
payment of fees - risk of serious prejudice conflict of interest (r. 7.3 - 7.4) 41(LR) 12.3
(r. 3.7-3) 66(L) 2.2 Overdrawn - client trust ledger account - 114(R) -
Optional withdrawal of services - non- insufficient funds in trust account 115(L) 5.3
payment of fees (r. 3.7-3) 66(L) 2.2 114(R) -
Optional withdrawal of services - serious Overdrawn - trust account 115(L) 5.3
loss of confidence (r. 3.7-2 and 65(R) - Overdue accounts - interest - fees (r. 3.6-
commentary) 66(L) 2.1 1.1) ) (s. 33 - Solicitors Act - only allowed
Order from law enforcement - exception to in accordance with) 53(LR) 2.5
7500 limit - accepting cash 113(R) 5.1
P
Order from public body - exception to 7500
Paralegal - dishonest conduct - encourage
limit 113(R) 5.1
client to report (r. 7.1-4 - 7.1-4.3) 73(R) 2.2
Organization - as client 17(LR) 2.4 Paralegal - former - duty not to employ, 71(R) -
Organization - as client - client’s illegality, work with (r. 7.6-1.1) 72(L) 1.3
fraud, dishonesty, or criminal conduct - Paralegal - lawyer’s duty to prevent
lawyer’s duty / special obligations (r. 3.2-7 unauthorized practice of law (r. 7.6-1 and
- 3.2-8 and commentary) commentary) 71(R) 1.2
SEE: “Assisting dishonesty, fraud, crime, 44(R) -
illegal conduct by client” 45(L) 2.4 Paralegal - misconduct - duty to report
(r. 7.1-3 and commentary) 73(L) 2.1
Organization - as client - instructions 17(LR) 2.4
Paralegal - no longer licensed - duty not to 71(R) -
Organization - as client - joint retainer 17(R) 2.4 employ, work with (r. 7.6-1.1) 72(L) 1.3
Organization - joint retainer 17(R) 2.4 Paralegal - supervision of 101(L) 7.5
Organization - lawyer represents both org Paralegal - suspended - duty not to 71(R) -
and its employees - conflict of interest (s. employ, work with (r. 7.6-1.1) 72(L) 1.3
3.4) 76(L) 3.3.1 Paralegal student - supervision of (By-Law
Organization - represented - 75(L) - 3.3 - 7.1, Part I) 99(R) 7
communication with - rr. 7.2-6 - 7.2-8.2 76(L) 3.3.1 Partnership - represented -
Organization - represented - communications with - duty (r. 7.2-8 - 7.2- 75(R) -
communications with - duty (r. 7.2-8 - 7.2- 75(R) - 8.2 and commentary) 76(L) 3.3.1
8.2 and commentary) 76(L) 3.3.1 Paying a fine or penalty - exception to
Organization - represented - second 7500 limit - accepting cash 113(R) 5.1
opinion (r. 7.2-7 and commentary) 75(R) 3.3 Payment - cash - receiving from clients - 113(R) -
Organization-client or third party- restrictions 114(L) 5.1
verification (By-Law 7.1, ss. 22(1)(b), Payment - duty to make payments on
23(4), and (6) - (7)) 19(R) 3.2.2 behalf of client (r. 7.1-2 and commentary) 77(L) 3.5
Organization-identification-of client or third Payment - on behalf of client (r. 7.1-2 and
party (By-Law 7.1, ss. 20 and 23(1) - (2)) 18(R) 3.1.2 commentary) 98(R) 6.1
Organization-is client or third party-
Payment - receiving money from clients 113(L) 5
identification (By-Law 7.1, ss. 20 and 23(1)
- (2)) 18(R) 3.1.2 Payment - receiving money from clients - 113(R) -
cash 114(L) 5.1
Organization-verification-client or third
party (By-Law 7.1, ss. 22(1)(b), 23(4), and Payment - receiving money from clients - 114(R) -
(6) - (7)) 19(R) 3.2.2 clearance periods 115(L) 5.3
Organizations as clients - r. 3.2-3 and Payment - receiving money from clients -
commentary 17(LR) 2.4 credit and debit cards 114(LR) 5.2
93(L) - Payment for legal fees by transfer of a
Organizing of client file 94(L) 3.2 share, participation, or other interest in
property or an enterprise (r. 3.4-36) 40(L) 11.6
Other record keeping requirements 119(L) 6.4
Payment for legal fees by transfer of
Other record keeping requirements - shares or interest in property (r. 3.4-36) 40(L) 11.6
source documents - general and trust
accounts (10 years) 119(LR) 6.4.1 Payment of lawyer - contingency fee
arrangement - need for retainer 51(R) 1
Outside Interest - conflict of interest (7.3 -
7.4) 41(LR) 12.3 Payment of lawyer - expenses - use of
retainer 51(LR) 1
Outside interest - duty - cannot interfere 77(L) 4.1
with obligations (r. 7.3-1 - 7.3-2 and Payment of lawyer - non-payment - 51(R) 1
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BARRISTER & SOLICITOR – PROFESSIONAL RESPONSIBILITY (2019 INDEX SORTED BY PAGE NUMBER)

lawyer’s duties to represent of interest - other member of firm may

represent (commentary, r. 3.4-1)
Payment of lawyer - retainer use 51(LR) 1
Personal relationships with client - conflict
Payments - hidden - prohibition (r. 3.6-1.1 52(R) -
of interest (commentary, r. 3.4-1) 40(R) 12.1
commentary) 53(L) 2.3
Physical evidence - lawyer not to counsel
Permissible transaction with clients -
or participate in the concealment,
required action by lawyer 38(R) 11.3
destruction, or alteration of (r. 5.1-2A and
Permission of trial judge - withdrawal of commentary) 84(LR) 3.7
services (r. 3.7-6 and commentary) 67(L) 3.3
PIPEDA - access to personal information 104(R) 10.2.4
4
103(R) -
Permitted (not required) disclosure of 27(R) - 4.2 - PIPEDA - personal information - collection 104(L) 10.2.2
confidential info - without client’s authority 28(R) 4.6 PIPEDA - personal information - 104(R) -
Permitted business structures and practice outsourcing 105(L) 10.2.5
arrangements (By-Law 7) 89(LR) 1 PIPEDA - personal information - 104(R) -
Permitted disclosure of confidential info - transparency in storing 105(L) 10.2.5
to collect fees (r. 3.3-5) 28(L) 4.4 PIPEDA - personal information - use and 104(L) -
Permitted disclosure of confidential info - disclosure 105(R) 10.2.3
to defend against allegations (r. 3.3-4) 28(L) 4.3 PIPEDA - Personal Information Protection
Permitted disclosure of confidential info - and Electronic Documents Act
to detect and resolve conflicts of interests SEE: Privacy 103(L) 10.1
(r. 3.3-7 and commentary) 28(R) 4.6 PIPEDA - s.9(3) 104(R) 10.2.4
Permitted disclosure of confidential info - 104(R) -
to prevent death or serious bodily harm - 27(R) - PIPEDA - safeguarding requirements 105(L) 10.2.5
TEST [3 factors] 28(L) 4.2
104(L) -
Permitted disclosure of confidential info - PIPEDA - ss. (5) and (7(3)) 105(R) 10.2.3
to prevent death or serious bodily harm (r. 27(R) -
3.3-3) 28(L) 4.2 Planning - time planning 95(R) 4.1
Permitted disclosure of confidential info - Plea bargain - lawyer’s duty (r. 5.1-7 - 5.1-
to secure legal advice about lawyer’s 8) 87(LR) 8
proposed conduct (r. 3.3-6) 28(R) 4.5 Point of sale (POS) machines - credit and
Permitted disclosure of confidential info - debit card payment from clients 114(LR) 5.2
with client authority (r. 3.3-1) 26(R) 3 Potential/prospective clients - conflict of
Person - represented - communications interest (r.3.4-1 and commentary) 31(R) 3
with - duty (r. 7.2-6 - 7.2-7 and Power of attorney - law practice 101(R) -
commentary) 75(LR) 3.3 contingency plan 102(L) 8
Person - represented - second opinion (r. 101(R) -
7.2-7 and commentary) 75(R) 3.3 Power of attorney - law practice continuity 102(L) 8
Personal guarantees - by lawyers for Powers of attorney - documents held by 47(R) -
borrower/lender clients - prohibited with 3 lawyer - recording requirements 48(L) 3.1
exceptions (r. 3.4-34 - 3.4-35) 40(LR) 11.7 Practice - advertising nature (r. 4.3-1 and
Personal information - access to 104(R) 10.2.4 commentary; By-Law 15) 91(R) 2.4
103(R) - Practice arrangements - non-licensees
Personal information - collection of 104(L) 10.2.2 (By-Law 7) 89(LR) 1
Personal information - destruction of 105(L) 10.2.6 Practice arrangements - permitted (By-
Law 7) 89(LR) 1
104(R) -
Personal information - retention of 105(L) 10.2.5 Practice arrangements and business
structures - permitted (By-Law 7) 89(LR) 1
104(R) -
Personal information - security of 105(L) 10.2.5 Practice Audit Programs 3(L) 2.3
Personal information - use and disclosure 104(L) - Practice Audits Department 3(L) 2.3
of - 105(R) 10.2.3 Practice management - administrative 101(R) -
Personal Management Guideline - Mental requirements of law society 102(L) 8
Health and Wellness - CPD progams 102(R) 9.2 Practice management - advertising fees (r.
Personal relationships with client - conflict 4.2-2) 91(L) 2.2
of interest - family or friends (commentary, Practice management - advertising legal
r. 3.4-1) 40(R) 12.1 services - technology 97(L) 5.1
Personal relationships with client - conflict 40(R) 12.1
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BARRISTER & SOLICITOR – PROFESSIONAL RESPONSIBILITY (2019 INDEX SORTED BY PAGE NUMBER)

Practice management - advertising legal learning - law students and paralegal

services (r. 4.2-0-4.2-1.1 and 89(R) - students (By-Law 7.1, Part I)
commentaries) 90(L) 2.1 92(L) -
Practice management - advertising nature Practice management - file management 95(L) 3 - 3.4
of practice (r. 4.3-1 and commentary; By- Practice management - file organization 93(L) -
Law 15) 91(R) 2.4 and storage 94(L) 3.2
Practice management - advertising
Practice management - finances 23(L) 1.6
residential real estate services (r. 4.2-2.1
and commentary) 91(LR) 2.3 Practice management - financial
responsibilities 98(LR) 6
Practice management - affiliated entities -
delegation to and supervision of 101(L) 7.6 98(R)
Practice management - financial 6.1
Practice management - articling students -
responsibilities - on behalf of client (r. 7.1- 76(R) -
supervision (By-Law 4, s. 34) 99(R) 7
2 and commentary) 77(L) 3.5
Practice management - client file - closing 94(L) 3.3 Practice management - financial
Practice management - client file - responsibilities - operating a law practice 99(L) 6.2
destroying file 94(LR) 3.3 Practice management - financial
Practice management - client file - 94(R) - responsibilities - retain third party on
documents to be retained after closing 95(L) 3.4 behalf of client (r. 7.1-2 and commentary) 98(R) 6.1
Practice management - client file - Practice management - firm names (r. 4.2- 89(R) -
maintaining 93(LR) 3.2 0-4.2-1.1 and commentaries) 90(L) 2.1
Practice management - client file - naming 93(LR) 3.2 Practice management - general 89(L) Intro
Practice management - client file - opening 93(R) 3.2 Practice management - hiring support staff 99(R) 7.1
Practice management - client file - 93(L) - Practice Management - inclusive
organization 94(L) 3.2 workplaces 12(L) 8.2
Practice management - client file - Practice management - maintaining client
retaining closed file 94(LR) 3.3 file 93(LR) 3.2
93(L) - Practice management - making legal
Practice management - client file - storage 94(L) 3.2 services available (s. 4.1) 89(R) 2
Practice management - client information 23(L) 1.6 Practice Management - managing
administrative and business aspects of 101(R) -
Practice management - client service -
practice 102(L) 8
reasonable cost 23(L) 1.6
Practice management - Managing
Practice management - client service -
supervisory responsibilities (s. 6.1 - 6.2;
timely manner 23(L) 1.6
By-Law 4, s. 34; By-Law 7.1, Part I) 99(R) 7
Practice management - closing client file 94(L) 3.3 Practice management - marketing legal
92(R) - 3.1 services (r. 4.2-0-4.2-1.1 and 89(R) -
93(L) commentaries) 90(L) 2.1
Practice management - conflict checking Practice management - marketing legal
(r. 3.4-1-3.4-3 and commentaries) 42(R) 13 services technology 97(L) 5.1
Practice management - contingency plans 101(R) -
Practice Management - Mental Health 102(L) 9
- power of attorney 102(L) 8
Practice Management - Mental Health and 102(R) -
Practice management - continuity plans - 101(R) -
Wellness - stigma 102(L) 9.3
power of attorney 102(L) 8
Practice Management - Mental Health
Practice management - delegation to
supports and resources 102(R) 9.2
affiliated entities 101(L) 7.6
Practice management - delegation to Practice management - naming client file 93(LR) 3.2
support staff (By-Law 7.1, Part I; r.6.1-1 Practice management - opening client file 93(R) 3.2
and commentary) 100(LR) 7.3
Practice management - organization of 93(L) -
Practice management - destroying closed client file 94(L) 3.2
client file 94(LR) 3.3
Practice management - paralegals -
Practice management - docketing of time 96(R) 4.3 supervision 101(L) 7.5
Practice management - documents to be 94(R) - Practice management - permitted business
retained after closing of file 95(L) 3.4 structures (By-Law 7) 89(LR) 1
Practice management - duty of Practice management - permitted practice
competence 23(L) 1.6 arrangements (By-Law 7) 89(LR) 1
Practice management - experiential 99(R) 7 Practice management - PIPEDA 103(L) 10.1
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BARRISTER & SOLICITOR – PROFESSIONAL RESPONSIBILITY (2019 INDEX SORTED BY PAGE NUMBER)

Practice management - privacy 103(L) 10.1 Practice management - technology - 97(R) -

security measures 98(L) 5.3
Practice management - privacy - access to
personal info upon written request 104(R) 10.2.4 Practice management - technology - 97(R) -
special considerations 98(L) 5.3
Practice management - privacy -
application of PIPEDA 103(R) 10.2.1 Practice management - technology - 97(R) -
update 98(L) 5.3
Practice management - privacy - collection 103(R) -
of personal information 104(L) 10.2.2 Practice management - technology - use
to assist practice management 97(R) 5.2
Practice management - privacy -
destruction of personal info 105(L) 10.2.6 Practice management - tickler system
(reminders) 96(L) 4.2
Practice management - privacy - 104(R) -
destruction of personal information 105(L) 10.2.5 Practice management - time 23(L) 1.6
Practice Management - privacy - personal 104(R) - Practice management - time docketing 96(R) 4.3
information - outsourcing 105(L) 10.2.5
Practice management - time management 95(L) 4
Practice management - privacy - privacy
policy 103(R) 10.2.1 95(R) -
Practice management - time planning 96(L) 4.1
Practice management - privacy - retention 104(R) -
of personal info 105(L) 10.2.5 Practice management - time reminder
systems 96(L) 4.2
Practice management - privacy - security 104(R) -
of personal info 105(L) 10.2.5 Practice management - training support
staff 100(L) 7.2
Practice management - privacy - use and 104(L) -
disclosure of personal information 105(R) 10.2.3 96(R) -
Practice management - use of technology 98(L) 5 - 5.3
Practice management - providing legal
services - technology 97(L) 5.1 Practice Management Helpline 3(L) 2.3
Practice management - recording time Practice Management Review 3(L) 2.3
(docketing) 96(R) 4.3 Practice management systems-inclusive
Practice management - reminder systems 96(L) 4.2 client services-examples 11(R) 8.1
Practice management - retaining closed Practice of law - unauthorized - duty to law
client file 94(LR) 3.3 society (r. 7.6-1 and commentary) 71(R) 1.2
Practice management - role of filing Preparing witnesses (r. 5.3-1) 85(L) 4.1
system 93(LR) 3.2 Pressure - client under pressure - duty to
Practice management - staff 23(L) 1.6 client 45(LR) 2.6
Practice management - storage of client 93(L) - Pressure - duty to client - client under
file 94(L) 3.2 pressure 45(LR) 2.6
Practice Management - strategies to Prevention of death or serious harm -
improve Mental Health and Wellness 102(LR) 9.1 permitted disclosure of confidential info (r. 27(R) -
3.3-3) 28(L) 4.2
Practice management - supervision in real
estate matters (r. 6.1-1 and commentary 100(R) - Previous identification and verification of
and r. 6.1-5 - 6.1-6.2) 101(L) 7.4 client (By-Law 7.1,ss. 23(2.1), (3), and (11)
- (12)) 20(L) 3.4
Practice management - supervision of
affiliated entities 101(L) 7.6 Price advertising - residential real estate
services (r. 4.2-2.1 and commentary) 91(LR) 2.3
Practice management - supervision of
articling students (By-Law 4, s. 34) 99(R) 7 Prior identification and verification of client
(By-Law 7.1,ss. 23(2.1), (3), and (11) -
Practice management - supervision of
(12)) 20(L) 3.4
paralegals 101(L) 7.5
Practice management - supervision of Privacy 103(L) 10.1
support staff (By-Law 7.1, Part I; r.6.1-1 Privacy - access to personal information 104(R) 10.2.4
and commentary) 100(LR) 7.3
Privacy - application of PIPEDA 103(R) 10.2.1
Practice management - technology -
advertise legal services 97(L) 5.1 103(R) -
Privacy - collection of personal information 104(L) 10.2.2
Practice management - technology - 97(R) -
backup 98(L) 5.3 Privacy - disclosure of personal info - no
consent exception (PIPEDA, ss. 7(3)(c.1) 104(L) -
Practice management - technology - (iii)) 105(R) 10.2.3
market legal services 97(L) 5.1
Privacy - personal information - destruction 105(L) 10.2.6
Practice management - technology -
provide legal services 97(L) 5.1 Privacy - personal information - 104(R) - 10.2.5
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BARRISTER & SOLICITOR – PROFESSIONAL RESPONSIBILITY (2019 INDEX SORTED BY PAGE NUMBER)

outsourcing 105(L) (r. 3.4-16.2 - 3.4-16.6 and commentary)

Privacy - personal information - record of Pro bono legal services (limited, short
destroyed files 105(L) 10.2.6 term) - conflict of interest (r. 3.4-16.2 - 3.4- 36(R) -
Privacy - personal information - 104(R) - 16.6 and commentary) 37(L) 9
transparency 105(L) 10.2.5 Procedure - closing a file 94(L) 3.3
Privacy - PIPEDA - 10 principles 103(L) 10.1 Procedure - opening a client file 93(R) 3.2
Privacy - PIPEDA and law practice 103(L) 10.1 Profession - legal profession - duty to
SEE: Duty - legal profession 73(L) 2
Privacy - PIPEDA s.9(3) 104(R) 10.2.4
Profession, integrity of - duty to uphold (r.
Privacy - privacy officer 103(R) 10.2.1 2.1-1 - 2.1-2) 77(L) 4
Privacy - privacy policy required 103(R) 10.2.1 Professional corporation - permitted
103(R) - business structures (By-Law 7) 89(LR) 1
Privacy - referrals from other lawyers 104(L) 10.2.2 Professional development - adapting to
Privacy - refusing access to personal change 23(LR) 1.7
information 104(R) 10.2.4 Professional development - annual
Privacy - retention and security of personal 104(R) - requirements 23(LR) 1.7
info 105(L) 10.2.5 Professional development - By-law 6.1 -
Privacy - security and retention of personal 104(R) - annual requirements 23(LR) 1.7
info 105(L) 10.2.5 Professional development - equality,
Privacy - security of private information - 104(R) - diversity and inclusion training 23(R) 1.7.1
reasonable measures 105(L) 10.2.5 101(R) -
Privacy - use and disclosure of personal 104(L) - Professional development - required 102(L) 8
info (PIPEDA, ss. 7(3) and (5)) 105(R) 10.2.3 Professional development - requirement -
Privilege - claims of client’s information competency 23(LR) 1.7
held by lawyer - lawyer’s duties (rules s. Professional development - requirement
3.5 and commentaries; By-Law 9) for accreditation by LSO 23(R) 1.7
SEE: “Bailment - client property - lawyer’s
duties - seizure” 47(LR) 3 Professional development - time planning 95(R) 4.1
Privilege - claims of client’s property held Professional Development and
by lawyer - lawyer’s duties (rules s. 3.5 Competence Division - Law Society 1(L) 1.2
and commentaries; By-Law 9) Professional integrity - conduct in private
SEE: “Bailment - client property - lawyer’s or personal capacity - Law Society will
duties - seizure” 47(LR) 3 review if brings into question professional
integrity or impair trust (r. 1.1-1 and 2.1-1
Privilege - mediation 77(R) 5.4
and commentary and s. 7.8.2) 72(R) 1.5
Privilege - presence of third parties 25(R) 2 101(R) -
Privilege - seizure of client’s information Professional liability insurance - required 102(L) 8
held by lawyer - lawyer’s duties (rules s. Professional liability insurer - duty of
3.5 and commentaries; By-Law 9) lawyer to report potential claim - error or
SEE: “Bailment - client property - lawyer’s omission by lawyer (r. 7.8) 46(R) 2.1
duties - seizure” 47(LR) 3
Professional liability insurer - duty of
Privilege - seizure of client’s property held lawyer to report potential claim - omission
by lawyer - lawyer’s duties (rules s. 3.5 or error by lawyer (r. 7.8) 46(R) 2.1
and commentaries; By-Law 9)
SEE: “Bailment - client property - lawyer’s Professional liability insurer - error or
duties - seizure” 47(LR) 3 omission by lawyer - duty to report
potential claim (r. 7.8) 46(R) 2.1
Privilege - vs. confidentiality 25(L) 1
Professional liability insurer - omission or
Privileged communication - duty to protect 25(LR) 2 error by lawyer - duty to report potential
Pro bono - advancing/ enhancing the legal claim (r. 7.8) 46(R) 2.1
profession 6(L) 4 Professional misconduct - definition (r. 1.1-
Pro bono - fees (r. 3.6-1 and commentary; 1) 72(R) 1.5
r. 3.6-4; and commentary, 4.1-1) 50(R) 2.1 Professional misconduct - failure to
Pro bono legal services - conflict of withdraw 67(L) 4
interest - declining to act when there is 36(R) - Professional regulation 1(R) 1.3
actual knowledge of conflict 37(L) 9
Professional Regulation Division - Law
Pro bono legal services (limited, short 37(L) 9 Society 1(R) 1.3
term) - conflict of interest - declining to act
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BARRISTER & SOLICITOR – PROFESSIONAL RESPONSIBILITY (2019 INDEX SORTED BY PAGE NUMBER)

Professionalism - duties of a professional 5(L) 1 3.5 and commentaries; By-Law 9)

Professionalism - standards of the legal Property - client’s property - lawyer’s 47(R) -
profession 5(L) 1 duties - storing client property 48(L) 3.1
Prohibition - acting against former client Property - client’s property - lawyer’s
(without consent) (r. 3.4-10-11) duties - storing client property - accounting 47(R) -
SEE: Former Clients and tracking 48(L) 3.1
SEE: Conflict of Interest 33(R) 6 Property - client’s property - lawyer’s 47(R) -
Prohibition - borrowing from clients (r. 3.4- duties - unrelated to retainer 48(L) 3.1
27 and 3.4-28.1) 38(LR) 11.1 Property - client’s property - lawyer’s 47(R) -
Prohibition - client information - use or duties - valuable property 48(L) 3.1
disclosure of (commentary r. 3.3-1) 29(R) 6 Property - client’s property - lawyer’s
Prohibition - contingency fees (family, duties - valuable property - recording 47(R) -
criminal, quasi-criminal cases) (r. 3.6-2 requirements 48(L) 3.1
and commentary) 56(L) 5 Property - client’s property - lawyer’s
Prohibition - fee division, splitting, sharing - duties - valuable property - recording 47(R) -
non-licensees (r. 3.6-5, 3.6-7, 3.6-8 and requirements - trust moneys separate 48(L) 3.1
commentary) 54(R) 3 Property - client’s property - lawyer’s
Prohibition - hidden fees (r. 3.6-1.1 52(R) - duties - valuable property - selling or 47(R) -
commentary) 53(L) 2.3 negotiating 48(L) 3.1
Prohibition against licensee in a civil Property - client’s property - lawyer’s
society organization (r. 3.6-6.1; By-Law 7, duties - valuable property - trust money -- 47(R) -
Part VI) 55(R) 4.3 definition 48(L) 3.1
Promises - duty to uphold (r. 5.1-6 and Property - client’s property - lawyer’s
7.2-11 and commentaries) 76(LR) 3.4 duties - valuable property - valuable 47(R) -
property record - definition, contents 48(L) 3.1
Promoting equity & diversity-model
policies 13(L) 9 Property - client’s property - lawyer’s
duties - valuable property - valuable
Prompt and complete response - duty to
property record - does not include non- 47(R) -
law Society (r. 7.1-1) 71(LR) 1.1
negotiable or non-sellable property 48(L) 3.1
Promptness - in communications - duty (r.
Property - client’s property - lawyer’s
7.2-5) 75(L) 3.2
duties - valuable property - valuable
Proper Accounting - lawyer obligations to property record - legal documents and 47(R) -
report CRA, HST, liability insurance, Law trust money excluded 48(L) 3.1
Society 115(R) 6
Property - client’s property - lawyer’s
Property - client’s property - duties of duties - valuable property - valuable
lawyer (s. 3.5 and commentaries; By-Law property record - list of property it applies 47(R) -
9) 47(LR) 3 to 48(L) 3.1
Property - client’s property - lawyer’s Property - client’s property - lawyer’s
duties - attempted seizure by external duties - valuable property - valuable
authority - privilege (s. 3.5 and property record - list of property it does 47(R) -
commentaries; By-Law 9) 47(LR) 3 NOT apply to 48(L) 3.1
Property - client’s property - lawyer’s Property - client’s property - lawyer’s
duties - duty of care (general) (s. 3.5 and duties (s. 3.5 and commentaries; By-Law 47(L) -
commentaries; By-Law 9) 47(LR) 3 9) 48(L) 3 - 3.1
Property - client’s property - lawyer’s Property - client’s property - money -
duties - legal documents - lawyer’s duties 47(R) - lawyer’s duty (s. 3.5 and commentaries;
in safekeeping and recording 48(L) 3.1 By-Law 9)
Property - client’s property - lawyer’s SEE: “Duty - client - client money” 48(L) 3.2
duties - original client property (e.g. 47(R) - Property - property of client - lawyer’s
original wills, trust deeds, etc.) 48(L) 3.1 duties - attempted seizure - privilege (s.
Property - client’s property - lawyer’s 3.5 and commentaries; By-Law 9) 47(LR) 3
duties - seizure - privilege (s.3.5 and Property - property of client - lawyer’s
commentaries; By-Law 9) 47(LR) 3 duties - attempted seizure (s. 3.5 and
Property - client’s property - lawyer’s commentaries; By-Law 9) 47(LR) 3
duties - seizure (s. 3.5 and commentaries; Property - property of client - lawyer’s
By-Law 9) 47(LR) 3 duties - duty of care (general) (s. 3.5 and
Property - client’s property - lawyer’s 47(L) - 3 - 3.1 commentaries; By-Law 9) 47(LR) 3
duties - specific duties regarding receiving, 48(L) Property - property of client - lawyer’s 47(R) - 3.1
storing, and returning client property (s. duties - legal documents - lawyer’s duties 48(L)
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in safekeeping and recording

Property - property of client - lawyer’s Sample - Figure 7 - Valuable Property
duties - original client property (e.g. 47(R) - Record 127 7
original wills, trust deeds, etc.) 48(L) 3.1 Property - valuable client property - 47(R) -
Property - property of client - lawyer’s lawyer’s duty 48(L) 3.1
duties - seizure - privilege (s.3.5 and 47(R) -
commentaries; By-Law 9) 47(LR) 3 Property - valuable property - definition 48(L) 3.1
Property - property of client - lawyer’s Property conveyance - title insurance -
duties - seizure (s. 3.5 and commentaries; lawyer’s duties to advise (r. 3.2-9.4 - 3.2-
By-Law 9) 47(LR) 3 9.7 and commentaries) 46(L) 2.8
Property - property of client - lawyer’s Property of client - lawyer’s duties (s.3.5
duties - specific duties regarding receiving, and commentaries; By-Law 9) 47(LR) 3
storing, and returning client property (s. 47(L) - Property unrelated to the retainer - client 47(R) -
3.5 and commentaries; By-Law 9) 48(L) 3 - 3.1 property 48(L) 3.1
Property - property of client - lawyer’s 47(R) - Prosecutor - duties (r. 5.1-3 and
duties - storing client property 48(L) 3.1 commentary) 82(R) 2.2
Property - property of client - lawyer’s Prospective client - conflict of interest -
duties - storing client property - accounting 47(R) - conflict checking system 42(R) 13
and tracking 48(L) 3.1
59(R) -
Property - property of client - lawyer’s 47(R) - Prospective client - non-engagement 60(L) 1.2
duties - unrelated to retainer 48(L) 3.1
Prospective client - risk of unintentional
Property - property of client - lawyer’s clients 16(L) 1.2
duties - valuable property - valuable 47(R) -
property record - definition, contents 48(L) 3.1 Prospective client - screen for conflict of
interest (r.3.4-1 and commentary) 31(R) 3
Property - property of client - lawyer’s
duties - valuable property - valuable Prospective client-definition 15(LR) 1.1
property record - does not include non- 47(R) - Prospective clients - duty of confidentiality 26(L) 2.2
negotiable or non-sellable property 48(L) 3.1
Protecting confidential information - lawyer
Property - property of client - lawyer’s transferring between firms - conflict of
duties - valuable property - valuable interest (r. 3.4-17 - 3.4-23) 37(LR) 10
property record - legal documents and 47(R) -
trust money excluded 48(L) 3.1 Protecting confidential information -
transferring between firms - conflict of
Property - property of client - lawyer’s interest (r. 3.4-17 - 3.4-23 and
duties - valuable property - valuable commentaries) 37(LR) 10
property record - list of property it applies 47(R) -
to 48(L) 3.1 Protection of confidential information - civil
society organizations 26(LR) 2.4
Property - property of client - lawyer’s
duties - valuable property - valuable Protection of confidential information -
property record - list of property it does 47(R) - when duty arises and duration of duty 26(L) 2.2
NOT apply to 48(L) 3.1 Public appearances and statements - duty
Property - property of client - lawyer’s 47(R) - (s. 7.5) 77(R) 4.3
duties -valuable property 48(L) 3.1 Public confidence in legal profession 73(L) 2
Property - property of client - lawyer’s Public office - held by lawyer - outside
duties -valuable property - recording 47(R) - interests of lawyers - conflict of interest (r.
requirements 48(L) 3.1 7.3 - 7.4) 41(LR) 12.3
Property - property of client - lawyer’s Public office - integrity of profession - duty
duties -valuable property - recording 47(R) - (r. 7.4-1) 77(LR) 4.2
requirements - trust moneys separate 48(L) 3.1
Publications by lawyer - confidentiality -
Property - property of client - lawyer’s client info (r. 3.3-1, commentary 11.1) 29(R) 6.1
duties -valuable property - selling or 47(R) -
negotiating 48(L) 3.1 Purchasing/selling real properties - cash
restrictions - 7500 limit applies 113(R) 5.1
Property - property of client - lawyer’s
duties -valuable property - trust money -- 47(R) - Purchasing/selling securities - cash
definition 48(L) 3.1 restrictions 113(R) 5.1
Property - property of client - lawyer’s Purpose - trust transfer record 117(R) 6.3.4
duties (s. 3.5 and commentaries; By-Law 47(L) - Q
9) 48(L) 3 - 3.1
Quality of service - communication with
Property - record keeping requirements - 120(R) 6.4.4 client 24(R) 2
valuable property record (10 years)
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Quality of service - duty - r. 3.2-1 and Reasonable requests - duty of courtesy 74(R) -
commentary 24(R) 2 and good faith - rr. 7.2-1-7.2-3 75(L) 3.1
Quality of service - managing client Reasons for withdrawal from trust account
expectations 24(R) 2 - five reasons 111(R) 4.3.1
Quality of service - meeting deadlines 24(R) 2 Receipts - general receipts journal (6
years) - record keeping requirements
Quality of service - no prejudice 24(R) 2
Quality of service - requirements 24(R) 2 Sample - Figure 1 - General Receipts 116(L) 6.2.1
Journal, General Disbursements Journal,
Quasi-criminal proceeding - threaten and Fees Book 122 7
without justification - Rules of Professional
Conduct (r. 3.2-5 and commentary) 44(LR) 2.3 Receipts - money received other than trust
for clients 116(L) 6.2.1
R
Receipts - trust disbursements journal (10
Racism - legal profession-addressing 13(R) 9.1 years) - record keeping requirements
Real estate - residential - advertising (r.
4.2-2.1 and commentary) 91(LR) 2.3 Sample - Figure 3 - Trust Receipts 117(L) 6.3.2
Journal, Trust Disbursements Journal, and
Real estate conveyance - duty to client - Trust Transfer Record 128 7
title insurance (r. 3.2-9.4 - 3.2-9.7 and
commentaries) 46(L) 2.8 Receipts - trust receipts journal (10 years)
- record keeping requirements
Real estate conveyance - title insurance -
duty to client (r. 3.2-9.4 - 3.2-9.7 and Sample - Figure 3 - Trust Receipts 117(L) 6.3.1
commentaries) 46(L) 2.8 Journal, Trust Disbursements Journal, and
Real estate matters - acting for borrowers Trust Transfer Record 124 7
and lenders (r. 3.4-12 - 3.4-16 and 35(R) - Receipts book - duplicate cash receipts
commentaries) 36(L) 8.2 book (6 years) - record keeping
Real estate matters - document 76(R) - requirements 119(R) - 6.4.2
registration agreement - undertakings 77(L) 3.4 120(L)
Real estate matters - supervision of 100(R) - Sample - Figure 6 - Duplicate Cash
employees 101(L) 7.4 Receipt 127 7
Real estate transaction - duty to client - Receipts journal - trust account
title insurance (r. 3.2-9.4 - 3.2-9.7 and
commentaries) 46(L) 2.8
Sample - Figure 3 - Trust Receipts 117(L) 6.3.1
Real estate transaction - title insurance - Journal, Trust Disbursements Journal, and
duty to client (r. 3.2-9.4 - 3.2-9.7 and Trust Transfer Record 124 7
commentaries) 46(L) 2.8
Receipts journal (6 years) - general
Real property conveyance - duty to client - account
title insurance (r. 3.2-9.4 - 3.2-9.7 and
commentaries) 46(L) 2.8 Sample - Figure 1 - General Receipts 116(L) 6.2.1
Real property conveyance - title insurance Journal, General Disbursements Journal,
- duty to client (r. 3.2-9.4 - 3.2-9.7 and and Fees Book 122 7
commentaries) 46(L) 2.8 113(R) -
Real property transaction - duty to client - Receiving cash from clients - restrictions 114(L) 5.1
title insurance (r. 3.2-9.4 - 3.2-9.7 and
Receiving money from clients 113(L) 5
commentaries) 46(L) 2.8
Receiving money from clients - cash - 113(R) -
Real property transaction - title insurance -
restrictions 114(L) 5.1
duty to client (r. 3.2-9.4 - 3.2-9.7 and
commentaries) 46(L) 2.8 Receiving money from clients - clearance 114(R) -
periods 115(L) 5.3
Reasonable measures & consent
(avoiding disqualification) - lawyer transfer Receiving money from clients - credit and
between law firms - conflict of interest - debit card payments 114(LR) 5.2
confidentiality (r. 3.4-20) 37(R) 10.1 Recognizing conflict of interest 31(LR) 2
Reasonable notice - non-payment of fees - Recognizing conflict of interest - lawyer’s
optional withdrawal of services (r. 3.7-3) 66(L) 2.2 own interests (r. 1.1-1 and 3.4-1 and
Reasonable notice - withdrawal of services commentary) 31(LR) 2
- (r. 3.7-1 and commentary) 65(LR) 1
Reconciliation - 7 steps 118(L) 6.3.5(a)
Reasonable notice - withdrawal of services
- serious loss of confidence - (r. 3.7-2 and 65(R) - Reconciliation - trust account 118(LR) 6.3.5(a)
commentary) 66(L) 2.1 Reconciliation - trust account - steps in 118(L) 6.3.5(a)
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process requirement
Reconciliation - trust bank account Record keeping - trust account 116(R) 6.3
statement 118(L) 6.3.5(a)
Record keeping - trust transfer record - 6
Reconciliation shows errors, forgotten years 117(R) 6.3.4
posts and oustanding items 118(L) 6.3.5(a)
Record keeping - valuable property record
Reconcilied bank blances - required in - details 120(R) 6.4.4
monthly trust comparison 117(R) 6.3.5
Record keeping - valuable property record
Record - valuable property - requirements 120(R) 6.4.4 - requirements 120(R) 6.4.4
Record keeping - 10 years, plus current Record keeping - valuable property record
year 117(L) 6.3 - risks of holding property 120(R) 6.4.4
109(L) Record keeping - valuable property record
- value indicator 120(R) 6.4.4
Record keeping - 6 year requirement (plus Record keeping requirements - bank
current year) 124 6.2 accounts - current, permanent, available in
113(R) - paper copy 115(LR) 6 - 6.1
Record keeping - accepting cash 114(L) 5.1 Record keeping requirements - clients’
Record keeping - By-Law 9 requirements 115(R) 6.1 general ledger (optional) 6.2.4
116(R)
Record keeping - cheques and electronic
Sample - Figure 2 - Clients’ General
images - copies 119(L) 6.4.1
Ledger 123 7
Record keeping - client bills copy -
Record keeping requirements - clients’
recommendationss 116(L) 6.2.3
trust ledger (10 years) 117(R) 6.3.3
Record keeping - clients’ general ledger -
purpose 116(R) 6.2.4 Sample - Figure 4 - Clients’ Trust Ledger 125 7
Record keeping - clients’ general ledger - Record keeping requirements - duplicate
requirements 116(R) 6.2.4 cash receipts book (6 years) 119(R) - 6.4.2
Record keeping - copies of source 120(L)
documents 119(L) 6.4.1 Sample - Figure 6 - Duplicate Cash
Receipt 127 7
Record keeping - daily upkeep 115(R) 6.1
Record keeping requirements - fees book
Record keeping - duplicate cash receipts - (6 years)
accounting requirements 120(L) 6.4.2
Record keeping - duplicate cash receipts Sample - Figure 1 - General Receipts 116(L) 6.2.3
book - items 120(L) 6.4.2 Journal, General Disbursements Journal,
and Fees Book 122 7
Record keeping - duplicate cash receipts
book - lawyers’ staff 120(L) 6.4.2 Record keeping requirements - general 115(R) - 6.2 -
account 116(R) 6.2.5
Record keeping - duplicate cash receipts
book - risks of cash 120(L) 6.4.2 Record keeping requirements - general
account - clients’ general ledger (optional) 6.2.4
Record keeping - duplicate cash receipts
116(R)
book - signature requirement 120(L) 6.4.2
Sample - Figure 2 - Clients’ General
Record keeping - fees book - requirements 116(L) 6.2.3 Ledger 123 7
Record keeping - general disbursements Record keeping requirements - general
journal - requirements 116(L) 6.2.2 account - fees book (6 years)
Record keeping - general receipts journal -
requirements 116(L) 6.2.1 Sample - Figure 1 - General Receipts 116(L) 6.2.3
Journal, General Disbursements Journal,
Record keeping - other requirements 119(L) 6.4 and Fees Book 122 7
Record keeping - paper copy requirement 115(R) 6.1 Record keeping requirements - general
Record keeping - referral fee records - 6 account - general disbursements journal (6
year requirement 120(L) 6.4.3 years)

Record keeping - referral fee records - Sample - Figure 1 - General Receipts 116(L) 6.2.2
permanent and current req’s 120(R) 6.4.3 Journal, General Disbursements Journal,
Record keeping - referral fee records - and Fees Book 122 7
staff requirements 120(R) 6.4.3 Record keeping requirements - general 116(L) 6.2.1
Record keeping - referral feel records - account - general receipts journal (6 years)
date and time requirements 120(L) 6.4.3 122 7
Sample - Figure 1 - General Receipts
Record keeping - suggested printing 115(R) 6.1
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Journal, General Disbursements Journal, Record keeping requirements - trust

and Fees Book account - trust transfer record (6 years)
Record keeping requirements - general
disbursements journal (6 years) Sample - Figure 3 - Trust Receipts 117(R) 6.3.4
Journal, Trust Disbursements Journal, and
Sample - Figure 1 - General Receipts 116(L) 6.2.2 Trust Transfer Record 124 7
Journal, General Disbursements Journal, Record keeping requirements - trust
and Fees Book 122 7 disbursements journal (10 years)
Record keeping requirements - general
receipts journal (6 years) Sample - Figure 3 - Trust Receipts 117(L) 6.3.2
Journal, Trust Disbursements Journal, and
Sample - Figure 1 - General Receipts 116(L) 6.2.1 Trust Transfer Record 128 7
Journal, General Disbursements Journal, Record keeping requirements - trust
and Fees Book 122 7 receipts journal (10 years)
Record keeping requirements - monthly
trust comparison (10 years) 118(R) 6.3.5 Sample - Figure 3 - Trust Receipts 117(L) 6.3.1
Journal, Trust Disbursements Journal, and
Sample - Figure 5 - Monthly Trust Trust Transfer Record 124 7
Comparison 126 7 Record keeping requirements - trust
Record keeping requirements - other transfer journal (6 years)
record keeping requirements - source
documents - general and trust accounts Sample - Figure 3 - Trust Receipts 117(R) 6.3.4
(10 years) 119(LR) 6.4.1 Journal, Trust Disbursements Journal, and
Trust Transfer Record 124 7
Record keeping requirements - referral fee
records (6 years) 120(LR) 6.4.3 Record keeping requirements - trust
transfer record (6 years)
Record keeping requirements - trust 116(R) - 6.3 -
account 119(L) 6.3.5 Sample - Figure 3 - Trust Receipts 117(R) 6.3.4
Record keeping requirements - trust Journal, Trust Disbursements Journal, and
account - client trust listing 118(R) 6.3.5(b) Trust Transfer Record 124 7
Record keeping requirements - trust Record keeping requirements - valuable
account - clients’ trust ledger (10 years) 117(R) 6.3.3 property record (10 years) 120(R) 6.4.4

Sample - Figure 4 - Clients’ Trust Ledger 125 7 Sample - Figure 7 - Valuable Property
Record 127 7
Record keeping requirements - trust
account - monthly trust comparison (10 Record keeping requirements - withdrawl -
years) 118(R) 6.3.5 methods 111(R) 4.3.2
Record of error - financial instituion - trust
Sample - Figure 5 - Monthly Trust account 112(R) 4.3.4
Comparison 126 7
Recording devices - duty not to use 74(R) -
Record keeping requirements - trust without prior knowledge 75(L) 3.1
account - trust disbursements journal (10
years) Recording systems - time docketing 96(R) 4.3
Recording time (docketing) 96(R) 4.3
Sample - Figure 3 - Trust Receipts 117(L) 6.3.2
Journal, Trust Disbursements Journal, and Recordkeeping - By-Law 9 - client money -
Trust Transfer Record 128 7 lawyer’s duties (s. 3.5 and commentaries;
By-Law 9) 48(L) 3.2
Record keeping requirements - trust
account - trust receipts journal (10 years) Recordkeeping - client documents - duties 47(R) -
of lawyer 48(L) 3.1
Sample - Figure 3 - Trust Receipts 117(L) 6.3.1 Recordkeeping - client money - lawyer’s
Journal, Trust Disbursements Journal, and duties (s. 3.5 and commentaries; By-Law
Trust Transfer Record 124 7 9) 48(L) 3.2
Record keeping requirements - trust Recordkeeping - client property - duties of 47(R) -
account - trust reconciliation 118(LR) 6.3.5(a) lawyer 48(L) 3.1
Record keeping requirements - trust Recordkeeping - client property - lawyer’s
account - trust transfer journal (6 years) duties (s. 3.5 and commentaries; By-Law
9)
Sample - Figure 3 - Trust Receipts 117(R) 6.3.4 SEE: “Bailment - client property - lawyer’s
Journal, Trust Disbursements Journal, and duties” 47(LR) 3
Trust Transfer Record 124 7
Recordkeeping - duties of lawyer - client 47(R) - 3.1
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documents 48(L) Referral fees - received from non-licensee

Recordkeeping - duties of lawyer - client - allowed, with client consent (r. 3.6-7 and
money (s. 3.5 and commentaries; By-Law commentary) 56(L) 4.4
9) 48(L) 3.2 Referral fees - record keeping
Recordkeeping - duties of lawyer - client 47(R) - requirements - referral fee records (6
property 48(L) 3.1 years) 120(LR) 6.4.3
Recordkeeping - lawyer’s duties - client Referral fees - requirements (r. 3.6-6.1) 55(L) 4.1
money - (s. 3.5 and commentaries; By- Reform - legislative or administrative
Law 9) 48(L) 3.2 change - duties 77(L) 5.2
Records - accounting records - must be 94(R) - 113(R) -
maintained by lawyer - By-Law 9 95(L) 3.4 Refund - to client - cash payment 114(L) 5.1
Records - client documents - duties of 47(R) - Refusal to act - lawyer’s duties - client
lawyer 48(L) 3.1 asking to threaten unjustifiable criminal,
Records - client money - lawyer’s duties quasi-criminal, or regulatory proceeding or
(s. 3.5 and commentaries; By-Law 9) 48(L) 3.2 complaint (r. 3.2-5 and commentary) 44(LR) 2.3
47(R) - Refuse to act - conflict of interest (r. 3.4-1,
Records - client property - duties of lawyer 48(L) 3.1 3.4-3, and 3.7-7) 33(L) 4.3
Records - duties of lawyer - client 47(R) - Regular Review - client's trust ledger 113(L) 4.4
documents 48(L) 3.1 Regulated lender - definition
Records - duties of lawyer - client money SEE: “Borrowing from clients - prohibited,
(s. 3.5 and commentaries; By-Law 9) 48(L) 3.2 exceptions (r. 3.4-27 and 3.4-28.1) 38(LR) 11.1
Records - identification and verification of Regulated lender definition - conflict of
client - length of time required to keep interest - borrowing from client 38(LR) 11.1
documents (By-Law 7.1,s. 23(13) - (14)) 20(R) 3.5 Regulating the legal professions in the
Records - identification and verification of public interest 1(R) 2
client - need copies of documents (By-Law Regulatory proceeding - threaten without
7.1,s. 23(13) - (14)) 20(R) 3.5 justification - Rules of Professional
Records - identification and verification of Conduct (r. 3.2-5 and commentary) 44(LR) 2.3
client (By-Law 7.1,s. 23(13) - (14)) 20(R) 3.5 Related person - definition
Records - lawyer’s duties - client money SEE: “Borrowing from clients - prohibited,
(s. 3.5 and commentaries; By-Law 9) 48(L) 3.2 exceptions (r. 3.4-27 and 3.4-28.1) 38(LR) 11.1
Records - minimum requirements 115(L) 6 Related person definition - conflict of
interest - borrowing from client 38(LR) 11.1
Records - trust disbursement journal - all
withdrawls 111(R) 4.3 Relations with jurors - improper conduct -
discussion forbidden 86(LR) 5
103(R) -
Referral - privacy concerns 104(L) 10.2.2 63(LR) -
Relationship with client - communication
Referral fee - disclosure to client (r. 3.6- with 64(LR) 2.3
6.0) 55(R) 4.2
62(R) -
Referral fee agreement - lawyer to retain Relationship with client - difficult clients 63(L) 2.2
documnets 120(R) 6.4.3
61(R) -
Referral fee records - other record keeping Relationship with client - disengagement 62(L) 1.5
requirmenets 119(L) 6.4
Relationship with client - engagement or 59(R) - 1.2 -
Referral fee records (6 years) - record non-engagement - letters 61(L) 1.3
keeping requirements 120(LR) 6.4.3
Relationship with client - friend or relative -
Referral fees - civil society organizations - conflict of interest (commentary, r. 3.4-1) 40(R) 12.1
prohibited 55(R) 4.3
Relationship with client - implementation
Referral fees - exceptions to prohibition on stage 61(LR) 1.4
non-licensee fee sharing (r. 3.6-8 and
commentary) 55(R) 4.4 Relationship with client - initial screening 59(LR) 1.1
Referral fees - from title insurer - Relationship with client - managing 59(L) 1
prohibited
Relationship with client - managing
(r. 3.2-9.5) 56(L) 4.4
expectations 62(L) 2
Referral fees - generally (r. 3.6-6.0) 55(L) 4 Relationship with client - mandatory
Referral fees - indirect (r. 3.6-6.0) 55(L) 4 withdrawal of services 67(L) 4
Referral fees - paid to non-licensee (r. 3.6- 55(R) - Relationship with client - non-payment of 66(L) 2.2
7 and commentary) 56(L) 4.4 fees - optional withdrawal of services (r.
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BARRISTER & SOLICITOR – PROFESSIONAL RESPONSIBILITY (2019 INDEX SORTED BY PAGE NUMBER)

3.7-3) mortgagee client - lawyer’s duty (r. 3.2-9.8

Relationship with client - retainer - - 3.2-9.9)
explaining termination / withdrawal 65(LR) 1 Reporting - omissions and errors by lawyer
Relationship with client - serious loss of 65(R) - - duty of lawyer (r. 7.8) 46(R) 2.1
confidence - examples 66(L) 2.1 Representation - fees - nonpayment -
Relationship with client - serious loss of 65(R) - optional withdrawal of services (r. 3.7-3) 66(L) 2.2
confidence - r. 3.7-2 and commentary 66(L) 2.1 Representation - lawyer’s duties - non-
Relationship with client - sexual, intimate, payment of fees 51(R) 1
friend, or relative - conflict of interest - Representation - mandatory withdrawal of
other member of firm may represent services 67(L) 4
(commentary, r. 3.4-1) 40(R) 12.1 Representation - non-payment of fees -
Relationship with client - sexual, intimate, lawyer’s duties 51(R) 1
friend, or relative - conflict of interest Representation - retainer - non-payment -
(commentary, r. 3.4-1) 40(R) 12.1 optional withdrawal of services (r. 3.7-3) 66(L) 2.2
61(R) - Representation - serious loss of 65(R) -
Relationship with client - termination 62(L) 1.5 confidence - examples 66(L) 2.1
Relationship with client - withdrawal from -
Representation - withdrawal from - general 65(L) Intro
good cause and reasonable notice 65(LR) 1
Representation - withdrawal from - good
Relationship with client - withdrawal from -
cause and reasonable notice - r. 3.7-1 and
optional withdrawal 65(R) 2
commentary 65(LR) 1
Relationship with client - withdrawal from -
Representation - withdrawal from -
r. 3.7-1 and commentary 65(LR) 1
optional withdrawal 65(R) 2
Relationship with client - withdrawal from
Representation - withdrawal from - serious
representation - general 65(L) Intro
loss of confidence - r. 3.7-2 and 65(R) -
Relationship with client - withdrawal of commentary 66(L) 2.1
services - manner of withdrawal 68(LR) 6
Representation - withdrawal of services -
Reminder systems - practice management 96(L) 4.2 criminal - permission of the court 67(L) 3.3
Reminder systems - time management 96(L) 4.2 Representation - withdrawal of services -
manner of withdrawal 68(LR) 6
Replenishing clients' retainer 117(R) 6.3.3
Represented person - non-party 85(L) 4.2
Report, medical-legal - duty to client -
disclosure to client (r. 3.2-9.1 - 3.2-9.3 and 45(R) - Represented person - potential witness 85(L) 4.2
commentary) 46(L) 2.7
Represented person - witnesses 85(L) 4.2
Report, medical-legal - duty to client (r. 45(R) -
Represented person / organization -
3.2-9.1 - 3.2-9.3 and commentary) 46(L) 2.7
communications with - duty (r. 7.2-6 - 7.2-7
Reporting - and compliance - financial and commentary) 75(LR) 3.3
responsibilities (By-Laws 8 and 9; Law
Represented person / organization -
Society Act, s. 57) 99(L) 6.3
second opinion (r. 7.2-7 and commentary) 75(R) 3.3
Reporting - criminal charges/convictions -
Representing joint clients - same side of
duty to report self (r. 7.1-4.4 and 73(R) -
dispute (r. 3.4-5 - 3.4-9 and commentaries) 34(LR) 7 - 7.1
commentary; By-Law 8, s.2) 74(L) 2.3
Representing joint clients - same side or
Reporting - dishonest conduct of lawyer,
both sides of non-contentious (r. 3.4-5 -
paralegal - encourage client to report (r.
3.4-9 and commentaries) 34(LR) 7 - 7.1
7.1-4 - 7.1-4.3) 73(R) 2.2
Representing more than one side in a
Reporting - errors and omissions (s. 7.8) 74(LR) 2.4 dispute -impermissible (r. 3.4-1, 3.4-3, and
Reporting - errors or omissions by lawyer - 3.7-7) 33(L) 4.3-5.1
duty of lawyer (r. 7.8) 46(R) 2.1 Representing opponents of former clients - 33(R) -
Reporting - letter - termination of 61(R) - prohibited, without consent (r. 3.4-10-11) 34(L) 6 - 6.2
relationship with client 62(L) 1.5 Representing opponents of former clients 33(R) -
Reporting - misconduct of lawyer, (informed consent) 34(L) 6 - 6.2
paralegal Requirements for business entities (By-
(r. 7.1-3 and commentary) 73(L) 2.1 Law 7) 89(LR) 1
Reporting - mortgage transaction - Respect for administration of justice - duty
mortgagee client - lawyer’s duty - time (r. 5.6-1 and 7.2-1 and commentaries) 77(L) 5.1
frame for providing duplicate mortgage
and final report (r. 3.2-9.8 - 3.2-9.9) 46(LR) 2.9 Respond promptly and completely - duty to
Law Society (r. 7.1-1) 71LR) 1.1
Reporting - mortgage transaction - 46(LR) 2.9
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Responsibilities - financial - law practice 99(L) 6.2 Retainer - fees - non-payment - optional
withdrawal of services (r. 3.7-3) 66(L) 2.2
Responsibility - delegation to non-lawyer
employees 100(LR) 7.3 Retainer - further retainers required -
lawyer’s duties to advise 51(R) 1
Restriction of license - duty not to practice
(r. 7.6-1.2 - 7.6-1.4; By-Law 7.1, Part II; Retainer - joint clients 16(R) 2.1
and By-Law 9, Part II.1) 72(L) 1.4
Retainer - lawyer unable to fulfill 61(LR) 1.4
Restrictions on accepting cash from clients 113(R) -
Retainer - lawyer’s duties - client
(By-Law 9) 114(L) 5.1
information (s. 3.5 and commentaries; By-
Restrictions on accepting cash from clients 113(R) - Law 9) 47(LR) 3
(By-Law 9) - exceptions 114(L) 5.1
Retainer - lawyer’s duties - client property
Retainer - agreements and engagement 60(L) - (s. 3.5 and commentaries; By-Law 9) 47(LR) 3
letters 61(L) 1.3
Retainer - lawyer’s duties - prior to signing 51(L) Intro
Retainer - billing method - written
confirmation (r. 3.6-1.1) 53(R) 2.6 Retainer - limited scope 17(R) 2.5
Retainer - change to terms of engagement Retainer - limited scope - disengagement 61(R) -
/ retainer 61(LR) 1.4 letter 62(L) 1.5
Retainer - charity 51(R) 1 Retainer - money retainer - determining
amount 51(R) 1
Retainer - client information - duties of
lawyer (s. 3.5 and commentaries; By-Law Retainer - money retainers 51(LR) 1
9) 47(LR) 3 Retainer - non-payment - optional
Retainer - client information - lawyer’s withdrawal of services (r. 3.7-3) 66(L) 2.2
duties (s. 3.5 and commentaries; By-Law Retainer - not-for-profit 51(R) 1
9) 47(LR) 3
Retainer - prior to signing - lawyer’s duties 51(L) Intro
Retainer - client money - lawyer’s duties
(s. 3.5 and commentaries; By-Law 9) 48(L) 3.2 61(R) -
Retainer - termination of client relationship 62(L) 1.5
Retainer - client property - duties of lawyer
(s. 3.5 and commentaries; By-Law 9) 47(LR) 3 Retainer - use 51(LR) 1
Retainer - client property - lawyer’s duties Retainer agreement - contents 22(R) 1.4
(s. 3.5 and commentaries; By-Law 9) 47(LR) 3
Retainer agreement - definition 51(L) 1
Retainer - client service - explaining to
client 22(R) 1.4 Retention - of closed client file 94(LR) 3.3
Retainer - communications 22(R) 1.4 Retention - of documents after closing of 94(R) -
file 95(L) 3.4
Retainer - contingency fee arrangement 51(R) 1
Retention - of file - length of time 94(LR) 3.3
Retainer - definition - act of retaining 51(L) 1
Retention - of personal information - 104(R) -
Retainer - definition - money/monetary privacy 105(L) 10.2.5
retainer 51(L) 1
77(R) -
Retainer - details re withdrawal of services Retired judges returning to practice (s. 7.7) 78(R) 5.5
(r. 3.7-1 and commentary) 65(LR) 1
48(R) -
Retainer - determining amount 51(R) 1 Return of client documents - duty to client 49(R) 3.3
Retainer - duties of lawyer - client 48(R) -
information (s. 3.5 and commentaries; By- Returning client documents - duty to client 49(R) 3.3
Law 9) 47(LR) 3 48(R) -
Retainer - duties of lawyer - client property Returning documents - closed client file 49(R) 3.3
(s. 3.5 and commentaries; By-Law 9) 47(LR) 3
Review records - regularely 115(L) 5.3
Retainer - end - copy of file for lawyer
Revoked licence - lawyer or paralegal - no
SEE: “Lawyer - duty to client - client files -
longer licensed - duty not to employ (r. 7.6- 71(R) -
duty to return files belonging to client at 48(R) -
1.1) 72(L) 1.3
end of retainer” 49(R) 3.3
Retainer - end - return of client documents Risk of cash - duplicare cash receipt book 120(L) 6.4.2
SEE: “Lawyer - duty to client - client files - Romantic (sexual or intimate) relationship
duty to return files belonging to client at 48(R) - with client - conflict of interest
end of retainer” 49(R) 3.3 (commentary, r. 3.4-1) 40(R) 12.1
Retainer - engagement letter (r. 3.6-1.1) 53(R) 2.6 Rule 1.1-1 - definition of client 15(L) 1
Retainer - explaining to client - client Rule 1.1-1 - definitions - conduct
service 22(R) 1.4 unbecoming a barrister or solicitor 72(R) 1.5
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Rule 1.1-1 - definitions - professional Rule 3.2-7 and commentary - duty to client
misconduct 72(R) 1.5 - assisting dishonesty, fraud, crime, illegal
Rule 1.1-1 Commentary - civil society 23(R) - conduct by client is prohibited
organizations- competence 24(L) 1.8 SEE: “Rule 3.2-7 to 3.2-8 and 44(R) -
commentary” 45(L) 2.4
Rule 2.1-1 - duty to act honourably and
with integrity 77(L) 4 Rule 3.2-7 to 3.2-8 and commentary - duty
to client - assisting dishonesty, fraud, 44(R) -
Rule 2.1-1 - integrity 5(L) 2 crime, illegal conduct by client is prohibited 45(L) 2.4
Rule 2.1-2 - advancement of the legal Rule 3.2-7.3 - Trust account - used only for
profession 6(L) 4 purposes related to provision of legal
Rule 2.1-2 - duty to uphold standards and services 109(LR) 4
reputation of the profession 77(L) 4 Rule 3.2-8 and commentary - “whistle
Rule 3.1-1 - 3.1-2 - Duty of competence 21(L) 1 blowing” SEE also r. 3.3-3 29(L) 5.1
Rule 3.2-8 and commentary - duty to client
Rule 3.1-1(i) - practice management 89(L) Intro - assisting dishonesty, fraud, crime, illegal
Rule 3.1-2 - civil society organizations - 23(R) - conduct by client is prohibited
competence 24(L) 1.8 SEE: “Rule 3.2-7 to 3.2-8 and 44(R) -
Rule 3.1-2 - duty of confidentiality to commentary” 45(L) 2.4
clients of civil society organizations 26(LR) 2.4 Rule 3.2-9 and commentary - duty to client
Rule 3.1-2 - multi-discipline practice - - client with diminished capacity 45(L) 2.5
conflict of interest - disclosure obligations Rule 3.2-9.1 and commentary - duty to 45(R) -
pre-retainer client - medical-legal reports 46(L) 2.7
SEE: “Rule 3.1-2, 3.4-11.1 - 3.4-11.3 and 40(R) - Rule 3.2-9.1 to 3.2-9.3 and commentary - 45(R) -
commentary and r. 3.4-16.1.1” 41(L) 12.2 duty to client - medical-legal reports 46(L) 2.7
Rule 3.1-2 commentary - candour and Rule 3.2-9.2 and commentary - duty to 45(R) -
honesty - duty to client client - medical legal-reports 46(L) 2.7
SEE: “Rule 3.1-2 commentary, 3.2-2 and 43(R) -
commentary” 44(L) 2.1 Rule 3.2-9.3 and commentary - duty to 45(R) -
client - medical-legal reports 46(L) 2.7
Rule 3.1-2, 3.4-11.1 - 3.4-11.3 and
commentary and r. 3.4-16.1.1 - multi- Rule 3.2-9.4 and commentaries - duty to
discipline practice - conflict of interest - 40(R) - client - title insurance rules
disclosure obligations pre-retainer 41(L) 12.2 SEE: “Rule 3.2-9.4 to 3.2-9.7 and
commentaries” 46(L) 2.8
Rule 3.2-1 - civil society organizations - 23(R) -
competence 24(L) 1.8 Rule 3.2-9.4 to 3.2-9.7 and commentaries
- duty to client - title insurance rules 46(L) 2.8
Rule 3.2-1 and commentary - quality of
service 24(R) 2 Rule 3.2-9.5 - prohibition against accepting
compensation from a title insurer for
Rule 3.2-2 commentary - candour and 43(R) - recommending a specific insurance
honesty - duty to client 44(L) 2.1 product to clients 56(L) 4.4
Rule 3.2-2A and commentary - official Rule 3.2-9.5 and commentaries - duty to
language rights - French or Indigenous- client - title insurance rules
language speaking clients SEE: “Rule 3.2-9.4 to 3.2-9.7 and
SEE: “Rule 3.2-2A to 3.2-2B and 46(R) - commentaries” 46(L) 2.8
commentary” 47(L) 2.11
Rule 3.2-9.6 and commentaries - duty to
Rule 3.2-2B and commentary - Official client - title insurance rules
language rights - French or Indigenous- SEE: “Rule 3.2-9.4 to 3.2-9.7 and
language speaking clients commentaries” 46(L) 2.8
SEE: “Rule 3.2-2A to 3.2-2B and 46(R) -
commentary” 47(L) 2.11 Rule 3.2-9.7 and commentaries - duty to
client - title insurance rules
Rule 3.2-3 - organizations-as clients 17(LR) 2.4 SEE: “Rule 3.2-9.4 to 3.2-9.7 and
Rule 3.2-4 and commentary - duty to client commentaries” 46(L) 2.8
- duty to encourage settlement, present Rule 3.2-9.8 to 3.2-9.9 - duty to mortgagee
settlement offers, and consider alternative client - reporting on mortgage transactions 46(LR) 2.9
dispute resolution (ADR) 44(L) 2.2
Rule 3.2-9.8- duty to mortgagee client -
Rule 3.2-5 - duty not to threaten penal or 82(R) - reporting on mortgage transactions
regulatory proceedings 83(L) 3.1 SEE: “Rule 3.2-9.8 to 3.2-9.9” 46(LR) 2.9
Rule 3.2-5 and commentary - duty to client Rule 3.2-9.9 - duty to mortgagee client -
- unjustifiably threatening penal or reporting on mortgage transactions
regulatory proceedings on client’s behalf is SEE: “Rule 3.2-9.8 to 3.2-9.9” 46(LR) 2.9
prohibited 44(LR) 2.3
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Rule 3.2.9 - Authorized Representatives 17(L) 2.2 disclosure obligations pre-retainer

Rule 3.3-1 - confidentiality upon Rule 3.4-11.3 and commentary - multi-
withdrawal 68(R) 6.1 discipline practice - conflict of interest -
disclosure obligations pre-retainer
Rule 3.3-1 and commentary - duty of 25(L) -
SEE: “Rule 3.4-11.1 to 3.4-11.3 and 40(R) -
confidentiality 27(L) 1 - 4.1
commentary, 3.4-16.1 to 3.4-16.1.1” 41(L) 12.2
Rule 3.3-1(c) and commentary - duty to
Rule 3.4-12 and commentaries - joint
report misconduct SEE also r. 7.1-3 29(R) 5.3
retainers, acting for borrower and lender 35(R) -
Rule 3.3-3 - Permitted disclosure of “SEE Rule 3.4-12 to 3.4-16” 36(L) 8.2
confidential information, to prevent death 27(R) -
Rule 3.4-12 to 3.4-16 and commentaries -
or serious bodily harm 28(L) 4.2
joint retainers, acting for borrower and 35(R) -
Rule 3.3-3 and commentary - “whistle lender 36(L) 8.2
blowing” SEE also r. 3.2-8 29(L) 5.1
Rule 3.4-13 and commentaries - joint
Rule 3.3-4 - permitted disclosure, to retainers, acting for borrower and lender 35(R) -
defend against allegations 28(L) 4.3 “SEE Rule 3.4-12 to 3.4-16” 36(L) 8.2
Rule 3.3-5 - permitted disclosure, to Rule 3.4-14 and commentaries - joint
establish or collect fees 28(L) 4.4 retainers, acting for borrower and lender 35(R) -
Rule 3.3-6 - permitted disclosure, to “SEE Rule 3.4-12 to 3.4-16” 36(L) 8.2
secure legal advice about lawyer’s Rule 3.4-15 and commentaries - joint
proposed conduct 28(R) 4.5 retainers, acting for borrower and lender 35(R) -
Rule 3.3-7 - conflict of interest - lawyer “SEE Rule 3.4-12 to 3.4-16” 36(L) 8.2
transfers between law firms - transferring Rule 3.4-16 and commentaries - joint
lawyer disqualification - exception to retainers, acting for borrower and lender 35(R) -
general bar on disclosure of past client info “SEE Rule 3.4-12 to 3.4-16” 36(L) 8.2
for detecting and resolving conflicts of
Rule 3.4-16.1 - multi-discipline practice -
interest with new firm 38(L) 10.2
conflict of interest - disclosure obligations 40(R) -
Rule 3.3-7 and commentary - permitted pre-retainer 41(L) 12.2
disclosure, to detect and resolve conflicts
Rule 3.4-16.1 - multi-discipline practice -
of interest 28(R) 4.6
conflict of interest - disclosure obligations
Rule 3.4-1 - Conflict of Interest 31(LR) 1-3 pre-retainer
Rule 3.4-1 commentary - personal SEE: “Rule 3.4-11.1 to 3.4-11.3 and 40(R) -
relationships with clients (family, friends, commentary, 3.4-16.1 to 3.4-16.1.1” 41(L) 12.2
intimate, sexual) 40(R) 12.1 Rule 3.4-16.16.1 - civil society
92(L) - organizations - obligation to establish a 40(R) -
Rule 3.4-1-3.4-3 - conflict checking 93(L) 3.1 system to search for conflicts 41(L) 12.2

Rule 3.4-11.1 and commentary - multi- Rule 3.4-16.2 and commentary - short
discipline practice - conflict of interest - term, limited pro bono legal services -
disclosure obligations pre-retainer conflicts of interest 36(R) -
SEE: “Rule 3.1-2, 3.4-11.1 - 3.4-11.3 and 40(R) - SEE: “Rule 3.4-16.2 to 3.4-16.6” 37(L) 9
commentary and r. 3.4-16.1.1” 41(L) 12.2 Rule 3.4-16.2 to 3.4-16.6 and commentary
Rule 3.4-11.1 and commentary - multi- - short term, limited pro bono legal 36(R) -
discipline practice - conflict of interest - services - conflicts of interest 37(L) 9
disclosure obligations pre-retainer Rule 3.4-16.3 and commentary - short
SEE: “Rule 3.4-11.1 to 3.4-11.3 and 40(R) - term, limited pro bono legal services -
commentary, 3.4-16.1 to 3.4-16.1.1” 41(L) 12.2 conflicts of interest 36(R) -
Rule 3.4-11.1 to 3.4-11.3 and SEE: “Rule 3.4-16.2 to 3.4-16.6” 37(L) 9
commentary, 3.4-16.1 - multi-discipline Rule 3.4-16.4 and commentary - short
practice - conflict of interest - disclosure 40(R) - term, limited pro bono legal services -
obligations pre-retainer 41(L) 12.2 conflicts of interest 36(R) -
Rule 3.4-11.2 and commentary - multi- SEE: “Rule 3.4-16.2 to 3.4-16.6” 37(L) 9
discipline practice - conflict of interest - 40(R) - Rule 3.4-16.5 and commentary - short
disclosure obligations pre-retainer 41(L) 12.2 term, limited pro bono legal services -
Rule 3.4-11.2 and commentary - multi- conflicts of interest 36(R) -
discipline practice - conflict of interest - SEE: “Rule 3.4-16.2 to 3.4-16.6” 37(L) 9
disclosure obligations pre-retainer Rule 3.4-16.6 and commentary - short
SEE: “Rule 3.4-11.1 to 3.4-11.3 and 40(R) - term, limited pro bono legal services -
commentary, 3.4-16.1 to 3.4-16.1.1” 41(L) 12.2 conflicts of interest 36(R) -
Rule 3.4-11.3 and commentary - multi- 40(R) - 12.2 SEE: “Rule 3.4-16.2 to 3.4-16.6” 37(L) 9
discipline practice - conflict of interest - 41(L) Rule 3.4-16.7 - conflicts of interest - joint 36(LR) 8.3
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BARRISTER & SOLICITOR – PROFESSIONAL RESPONSIBILITY (2019 INDEX SORTED BY PAGE NUMBER)

retainers - acting for both title transferor SEE: “Rule 3.4-17 to 3.4-23”
and transferee Rule 3.4-23 and commentary - conflict of
“SEE: Rule 3.4-16.7 to 3.4-16.9” interest - lawyer transfers between law
Rule 3.4-16.7 to 3.4-16.9 - conflicts of firms & protecting confidential information
interest - joint retainers - acting for both SEE: “Rule 3.4-17 to 3.4-23” 37(LR) 10
title transferor and transferee 36(LR) 8.3 Rule 3.4-26 - transactions with clients -
Rule 3.4-16.8 - conflicts of interest - joint payment of legal fees by transfer of a
retainers - acting for both title transferor share, participation, or other interest in
and transferee property or an enterprise 40(L) 11.6
“SEE: Rule 3.4-16.7 to 3.4-16.9” 36(LR) 8.3 Rule 3.4-27 - transactions with clients -
Rule 3.4-16.9 - conflicts of interest - joint borrowing from clients
retainers - acting for both title transferor SEE: “Rule 3.4-27 & 3.4-28.1” 38(LR) 11.1
and transferee Rule 3.4-27 - transactions with clients -
SEE: “Rule 3.4-16.7 to 3.4-16.9” 36(LR) 8.3 restrictions and definition
Rule 3.4-17 and commentary - conflict of SEE: “Rule 3.4-27 to 3.4-28” 38(L) 11
interest - lawyer transfers between law Rule 3.4-27 & 3.4-28.1 - transactions with
firms & protecting confidential information clients - borrowing from clients 38(LR) 11.1
SEE: “Rule 3.4-17 to 3.4-23” 37(LR) 10
Rule 3.4-27 to 3.4-28 - transactions with
Rule 3.4-17 to 3.4-23 and commentaries - clients - restrictions and definition 38(L) 11
conflict of interest - lawyer transfers
between law firms & protecting confidential Rule 3.4-27, 3.4-28, 3.4-29 - securing 56(R) -
information 37(LR) 10 payment for legal services 57(R) 6
Rule 3.4-18 and commentary - conflict of Rule 3.4-28 - transactions with clients -
interest - lawyer transfers between law restrictions and definition
firms & protecting confidential information SEE: “Rule 3.4-27 to 3.4-28” 38(L) 11
SEE: Rule “3.4-17 to 3.4-23” 37(LR) 10 Rule 3.4-28 and commentaries - conflicts
Rule 3.4-19 and commentary - conflict of of interest - required lawyer actions in
interest - lawyer transfers between law permissible transactions with client
firms & protecting confidential information SEE: “Rule 3.4-28 to 3.4-29 and
SEE: “Rule 3.4-17 to 3.4-23” 37(LR) 10 commentaries” 38(R) 11.3
32(LR) - Rule 3.4-28 to 3.4-29 and commentaries -
Rule 3.4-2 - conflict of interest - consent 33(L) 4.1-4.2 conflicts of interest - required lawyer
actions in permissible transactions with
Rule 3.4-20 and commentary - conflict of client 38(R) 11.3
interest - lawyer transfers between law
firms & protecting confidential information Rule 3.4-28.1 - transactions with clients -
SEE: “Rule 3.4-17 to 3.4-23” 37(LR) 10 borrowing from clients
SEE: “Rule 3.4-27 & 3.4-28.1” 38(LR) 11.1
Rule 3.4-20 and commentary - conflict of
interest - lawyer transfers between law Rule 3.4-28.2 and commentary - conflicts
firms & protecting confidential information - of interest - transactions with clients -
law firm disqualification & exceptions indirect transactions 38(R) 11.2
where reasonable measures taken 37(R) 10.1 Rule 3.4-29 and commentaries - conflicts
Rule 3.4-21 - conflict of interest - lawyer of interest - required lawyer actions in
transfers between law firms - transferring permissible transactions with client
lawyer disqualification 37(R) - SEE: “Rule 3.4-28 to 3.4-29 and
SEE: “Rule 3.4-21 to 3.4-22” 38(L) 10.2 commentaries” 38(R) 11.3
Rule 3.4-21 and commentary - conflict of Rule 3.4-29, commentary [2] - acting for
interest - lawyer transfers between law clients in transactions with clients 40(L) 11.5
firms & protecting confidential information Rule 3.4-29(b)(i) - conflicts of interest -
SEE: “Rule 3.4-17 to 3.4-23” 37(LR) 10 transactions with clients - when is
Rule 3.4-21 to 3.4-22 - conflict of interest - independent legal advice, independent
lawyer transfers between law firms - legal representation, and consent required
transferring lawyer disqualification 37(R) - - lawyer lending money to non-related
SEE: “Rule 3.3-7” 38(L) 10.2 persons
SEE: “Rule 3.4-29(b)(i) to 3.4-29(b)(v)” 39(L) 11.3.1
Rule 3.4-22 - conflict of interest - lawyer
transfers between law firms - transferring Rule 3.4-29(b)(i) - transactions with clients
lawyer disqualification 37(R) - - lawyers in mortgage or loan transactions
SEE: “Rule 3.4-21 to 3.4-22” 38(L) 10.2 - independent legal representation and
consent requirements 39(R) 11.4
Rule 3.4-22 and commentary - conflict of 37(LR) 10
interest - lawyer transfers between law Rule 3.4-29(b)(i) to 3.4-29(b)(v) - conflicts 39(L) 11.3.1
firms & protecting confidential information of interest - transactions with clients -
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when is independent legal advice, Rule 3.4-38 - conflicts of interest - estates

independent legal representation, and - gifts and testamentary instruments -
consent required drafting wills and testamentary instruments
Rule 3.4-29(b)(ii) - conflicts of interest - SEE: “Rule 3.4-38 to 3.4-39” 41(R) 12.4
transactions with clients - when is Rule 3.4-38 to 3.4-39 - conflicts of interest
independent legal advice, independent - estates - gifts and testamentary
legal representation, and consent required instruments - drafting wills and
- lawyer lending money to related persons testamentary instruments 41(R) 12.4
SEE: “Rule 3.4-29(b)(i) to 3.4-29(b)(v)” 39(L) 11.3.1 Rule 3.4-39 - conflicts of interest - estates
Rule 3.4-29(b)(iii) - conflicts of interest - - gifts and testamentary instruments -
transactions with clients - when is drafting wills and testamentary instruments
independent legal advice, independent SEE: “Rule 3.4-38 to 3.4-39” 41(R) 12.4
legal representation, and consent required Rule 3.4-40 - Conflict of interest - judicial
- lawyer borrows money from regulated interim release of accused from custody by
lender lawyer 41(R) -
SEE: “Rule 3.4-29(b)(i) to 3.4-29(b)(v)” 39(L) 11.3.1 SEE: “Rule 3.4-40 to 3.4-41” 42(L) 12.5
Rule 3.4-29(b)(iv) - conflicts of interest - Rule 3.4-40 to 3.4-41 - Conflict of interest -
transactions with clients - when is judicial interim release of accused from 41(R) -
independent legal advice, independent custody by lawyer 42(L) 12.5
legal representation, and consent required
- lawyer or spouse has stake in company Rule 3.4-41 - Conflict of interest - judicial
borrowing from client interim release of accused from custody by
SEE: “Rule 3.4-29(b)(i) to 3.4-29(b)(v) lawyer 41(R) -
SEE: Rule 3.4-33.1” 39(L) 11.3.1 SEE: “Rule 3.4-40 to 3.4-41” 42(L) 12.5
Rule 3.4-29(b)(v) - conflicts of interest - Rule 3.4-5 - Conflicts of Interest - Joint
transactions with clients - when is Retainers - Informed Consent
independent legal advice, independent “SEE: Rule 3.4-7” 34(R) 7.1
legal representation, and consent required Rule 3.4-5 commentary - Joint Retainers,
- all other cases not mentioned in Rule Joint Wills for Spouses or Partners 35(LR) 8.1
3.4-29(b)(i) to 3.4-29(b)(iv)
SEE: “Rule 3.4-29(b)(i) to 3.4-29(b)(v)” 39(L) 11.3.1 Rule 3.4-5-3.4-9 - joint clients 16(R) 2.1

Rule 3.4-33.1 and commentary - Rule 3.4-5-3.5-9 - conflict of interest- joint

transactions with clients - lawyers in retainer 34(LR) 7-7.1
mortgage or loan transactions Rule 3.4-7 - Conflicts of Interest - Joint
SEE: “Rule 3.4-33.1 and commentary, 3.4- Retainers - Informed Consent
33.2 to 3.4-33.3” 39(LR) 11.4 “SEE: Rule 3.4-5” 34(R) 7.1
Rule 3.4-33.1 and commentary, 3.4-33.2 Rule 3.4-8 - 3.4-9 and 3.7-8 - 3.7-9 -
to 3.4-33.3 - transactions with clients - conflict of interest - joint retainer- 34(R) -
lawyers in mortgage or loan transactions 39(LR) 11.4 contentious issues - withdrawal 35(L) 7.2
Rule 3.4-33.2 - transactions with clients - Rule 3.4-8 - Conflicts of Interest - Joint
lawyers in mortgage or loan transactions Retainers - Contentious issues and
SEE: ““Rule 3.4-33.1 and commentary, withdrawal 34(R) -
3.4-33.2 to 3.4-33.3” 39(LR) 11.4 “SEE: Rule 3.4-8, 3.4-9, 3.7-8, 3.7-9” 35(L) 7.2
Rule 3.4-33.3 - transactions with clients - Rule 3.4-8, 3.4-9, 3.7-8, 3.7-9 - Conflicts of
lawyers in mortgage or loan transactions Interest - Joint Retainers - Contentious 34(R) -
SEE: ““Rule 3.4-33.1 and commentary, issues and withdrawal 35(L) 7.2
3.4-33.2 to 3.4-33.3” 39(LR) 11.4 Rule 3.4-9 - Conflicts of Interest - Joint
Rule 3.4-34 - Transactions with clients - Retainers - Contentious issues and
lawyer securing debts or personally withdrawal 34(R) -
guaranteeing debts where client is “SEE: Rule 3.4-8, 3.4-9, 3.7-8, 3.7-9” 35(L) 7.2
lender/borrower Rule 3.6-1 - timely disclosure of cost
SEE: “Rule 3.4-34 to Rule 3.4-35” 40(LR) 11.7 estimates 52(R) 2.2
Rule 3.4-34 to 3.4-35 - Transactions with Rule 3.6-1, 3.6-1.2 - charging fees and
clients - lawyer securing debts or disbursements through civil society
personally guaranteeing debts where client organizations 53(L) 2.4
is lender/borrower 40(LR) 11.7
Rule 3.6-1, 3.6-4, 4.1-1 - fair and
Rule 3.4-35 - Transactions with clients - reasonable fees 52(LR) 2.1
lawyer securing debts or personally
guaranteeing debts where client is Rule 3.6-1.1 - hidden fees, interest on
lender/borrower overdue accounts, and written 52(R) - 2.3,
SEE: “Rule 3.4-34 to Rule 3.4-35” 40(LR) 11.7 confirmation 53(LR) 2.5, 2.6
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Rule 3.6-10 - appropriation of funds from Rule 4.2-2.1 - advertising residential real
trust 54(LR) 2.8 estate services 91(LR) 2.3
Rule 3.6-2 - contingency fees and Rule 4.3-1 - advertising nature of legal
agreements 56(LR) 5 practice 91(R) 2.4
Rule 3.6-3, 3.6-4, 5.1-5, 3.6-1.1 and 53(R) - Rule 5.1-1 - lawyer as advocate 82(L) 2
commentary - statement of account 54(L) 2.7
Rule 5.1-2 - duties to tribunal 82(R) 3
Rule 3.6-5, 3.6-7, 3.6-8 - division of fees 54(R) 3
Rule 5.1-2(a) and(n) - duty to tribunal -
4 duty not to threaten penal or regulatory 82(R) -
Rule 3.6-6.0, 3.6-6.1(2) - referral fees, proceedings 83(L) 3.1
disclosure 55(LR) 4.2
Rule 5.1-2(c) and (d) - shall not influence
Rule 3.6-6.1 - referral fee requirements 55(L) 4.1 tribunal process 83(LR) 3.3
Rule 3.6-7- referral fee - non-licensees - 55(R) - Rule 5.1-2(h), (h), (i) and (l) - duty -
prohibition 56(L) 4.4 tribunal - not to mislead 83(L) 3.2
Rule 3.7-1 - withdrawal of services (good Rule 5.1-3 - duty as prosecutor 82(R) 2.2
cause and reasonable notice) 65(LR) 1
Rule 5.1-3.1 - discovery obligations 87(L) 7
68(R) -
Rule 3.7-10 - duties of a successor lawyer 69(L) 7 Rule 5.1-5 - courtesy, civility, and good 5(R) -
faith 6(L) 3
Rule 3.7-2 - optional withdrawal of 65(R) -
services -serious loss of confidence 66(L) 2.1 Rule 5.1-6 - duty to lawyers and others -
undertakings 76(LR) 3.4
Rule 3.7-3 - non-payment of fees - optional
withdrawal of services 66(L) 2.2 Rule 5.1-7 - agreement on guilty plea 87(LR) 8
Rule 3.7-4 - withdrawal from criminal Rule 5.1-8 - agreement on guilty plea 87(LR) 8
proceedings permitted 66(R) 3.1 Rule 5.3-1 - interviewing represented
Rule 3.7-5 - withdrawal from criminal 66(R) - person 85(L) 4.2
proceedings NOT permitted 67(L) 3.2
Rule 5.3-1 - interviewing witnesses 85(L) 4.1
Rule 3.7-6 - withdrawal with permission of
Rule 5.4-2 - communicating with witnesses
the court 67(L) 3.3
giving evidence 85(LR) 4.3
Rule 3.7-7 - duty of competence 21(L) 1
Rule 5.5-2 - communications with jurors 86(R) 5.1
Rule 3.7-7 - mandatory withdrawal of
services 67(L) 4 Rule 5.5-2 - disclosure of information-juror 86(R) 5.2
67(L) - Rule 5.5-3 - disclosure of information-juror 86(R) 5.2
Rule 3.7-7A - leaving a law firm 68(L) 5 Rule 5.5-4 - communications with jurors 86(R) 5.1
Rule 3.7-7B - leaving a law firm - Rule 5.6-1 - 5.6-2 - duty to administration
government, Crown corporation, or in- 67(L) - of justice - seeking legislative or
house counsel 68(L) 5 administrative changes 77(L) 5.2
Rule 3.7-8 - conflicts of interest - joint Rule 5.6-1 - duty to administration of
retainers - contentious issues and justice - encourage respect for
withdrawal 34(R) - administration of justice 77(L) 5.1
“SEE: Rule 3.4-8, 3.4-9, 3.7-8, 3.7-9” 35(L) 7.2
Rule 5.6-3 - duty to administration of
Rule 3.7-8 - manner of withdrawal - justice - security of court facilities 77(LR) 5.3
minimize expense, avoid prejudice,
smooth transfer 68(LR) 6 Rule 5.6-3 and commentary - security of
court facilities 29(LR) 5.2
Rule 3.7-9 - conflicts of interest - joint
retainers - contentious issues and Rule 5.7 - duty to administration of justice -
withdrawal 34(R) - acting as mediator 77(R) 5.4
“SEE: Rule 3.4-8, 3.4-9, 3.7-8, 3.7-9” 35(L) 7.2 Rule 6.1-1 - supervision - direct
Rule 3.7-9 - manner of withdrawal - supervision of employees - non-lawyers
obligations 68(LR) 6 and support staff 100(LR) 7.3
Rule 4.1-2 - unprofessional marketing 90(R) - Rule 6.1-5 - electronic registration (e-reg)
practices 91(L) 2.1.2 of title documents - prohibition against
non-lawyer use of personalized security 100(R) -
Rule 4.2-0-4.2-1.1 - marketing legal 89(R) - package 101(L) 7.4
services 90(L) 2.1
Rule 6.1-6.1 - title Insurance - prohibition
Rule 4.2-1 - marketing prohibitions 90(LR) 2.1.1 against non-lawyer advising on title 100(R) -
Rule 4.2-1.2 - marketing prohibitions 90(LR) 2.1.1 insurance without lawyer supervision 101(L) 7.4

Rule 4.2-2 - advertising of fees 91(L) 2.2 Rule 6.1-6.2 - duty of Articling Principal 99(R) 7
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Rule 6.1-6.2 - practice management - real against

estate - e-reg Signature - signing lawyer
Rule 7.2-9 - unrepresented parties 17(R) 2.6
assumes complete professional 100(R) -
responsibility 101(L) 7.4 Rule 7.3 - conflicts of interest - outside
interests and public office
Rule 6.3 - harassment 7(L) 5.2 SEE: “Rule 7.3 & 7.4” 41(LR) 12.3
6(R) - Rule 7.3 & 7.4 - conflicts of interest -
Rule 6.3.1- discrimination 7(L) 5.1 outside interests and public office 41(LR) 12.3
Rule 6.3.1-1 - harassment 7(L) 5.2 Rule 7.3-1 - 7.3.2 - duty to uphold integrity
Rule 6.3.1-3 - employment practices - of profession - outside interests 77(L) 4.1
Occupational Health and Safety Act 7(R) 5.3 Rule 7.4 - conflicts of interest - outside
Rule 6.3.1-3 - employment practices - interests and public office
workplace violence and harassment - SEE: “Rule 7.3 &7.4” 41(LR) 12.3
lawyers’ duties 7(R) 5.3 Rule 7.4-1 - duty to uphold integrity of
Rule 6.3.1-3 - harassment 7(L) 5.2 profession - public office 77(LR) 4.2
Rule 7.1-1 - duty to law society - respond Rule 7.5 - duty to uphold integrity of
promptly and completely 71(LR) 1.1 profession - public appearances and
statements 77(R) 4.3
Rule 7.1-2 - duty to lawyers and others -
financial obligations 77(L) 3.5 Rule 7.6-1 - duty to law society - duty to
prevent unauthorized practice 71(R) 1.2
Rule 7.1-2 - financial responsibilities on
behalf of client 98(R) 6.1 Rule 7.6-1.1 - duty to law society - duty to 71(R) -
supervise unauthorized persons 72(L) 1.3
Rule 7.1-3 - duty to legal profession -
reporting misconduct 73(L) 2.1 Rule 7.6-1.2 - duty to law society - practice
by suspended lawyers prohibited 72(L) 1.4
Rule 7.1-3 and commentary - duty to
report misconduct SEE also r. 3.3-1(c) 29(R) 5.3 Rule 7.6-1.3 - duty to law society -
undertakings not to practice law 72(L) 1.4
Rule 7.1-4 - 7.1-4.3 - duty to legal
profession - encourage clients to report Rule 7.6-1.4 - duty to law society -
dishonesty 73(R) 2.2 undertakings to practice law subject to
restrictions 72(L) 1.4
Rule 7.1-4.4 - duty to legal profession - 73(R) -
reporting criminal charges or convictions 74(L) 2.3 Rule 7.7 - duty to administration of justice - 77(R) -
retired judges returning to practice 78(R) 5.5
Rule 7.2-1 - courtesy, civility, and good 5(R) -
faith 6(L) 3 Rule 7.8 - duty to client- duty to report
omissions and errors by lawyer 46(R) 2.1
Rule 7.2-1 - duty to administration of
justice - encourage respect for Rule 7.8 - duty to legal profession -
administration of justice 77(L) 5.1 reporting errors and omissions 74(LR) 2.4
Rule 7.2-1-7.2-3 - duty to lawyers and 74(R) - Rule 7.8.1 - duty to uphold integrity of
others - courtesy and good faith 75(L) 3.1 profession - multi-discipline practices 77(R) 4.4
Rule 7.2-11 - duty to lawyers and others - Rule 7.8.2 - duty to law society - submit to
undertakings and trust conditions 76(LR) 3.4 disciplinary authority 72(LR) 1.5
Rule 7.2-4 - duty to lawyers and others - Rule s. 3.5 and commentary - duty to client
civil communications 75(L) 3.2 - client’s property 47(LR) 3
Rule 7.2-5 - duty to lawyers and others - Rules of Professional Conduct - Chapter 1:
prompt communications 75(L) 3.2 Citation and Interpretation 2(L) 2.2
Rule 7.2-6 - communication with witness Rules of Professional Conduct - Chapter 2:
called by the other party 85(R) 4.3.2 Integrity 2(L) 2.2
Rule 7.2-6 - duty to lawyers and others - Rules of Professional Conduct - Chapter 3:
communications with represented persons, Relationship to Clients 2(LR) 2.2
organizations 75(LR) 3.3 Rules of Professional Conduct - Chapter 4:
Rule 7.2-6-7.2-6A - interviewing The Practice of Law 2(R) 2.2
represented person 85(L) 4.2 Rules of Professional Conduct - Chapter 5:
Rule 7.2-7 - duty to lawyers and others - Relationship to the Administration of
second opinions 75(R) 3.3 Justice 2(R) 2.2
Rule 7.2-8-7.2-8.2 - duty to lawyers and Rules of Professional Conduct - Chapter 6:
others - communications with represented 75(R) - Relationship to Students, Employees, and
corporations 76(L) 3.3.1 Others 2(R) 2.2
Rule 7.2-9 - conflict of interest - self- 42(L) 12.6 Rules of Professional Conduct - Chapter 7: 2(R) 2.2
represented litigants - duties when acting Relationship to the Law Society and Other
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Lawyers and client - examples (r. 3.7-2 and

Rules of Professional Conduct - duties to commentary) 66(L)
client - summary 43(L) Intro Serious loss of confidence between lawyer
Rules of Professional Conduct - how to and client - withdrawal of services optional 65(R) -
interpret and apply 2(R) 2.2 (r. 3.7-2 and commentary) 66(L) 2.1
Rules of Professional Conduct - list of Service fees - financial institution - trust
chapters 2(LR) 2.2 account 112(R) 4.3.4
Rules of Professional Conduct - practice Services rendered - lawyer to transfer trust
management (r. 3.1-1(i)) 89(L) Intro funds to general 113(L) 4.4
Rules of Professional Conduct - steps for 2(R) - Settlement - duty to client - duty to
dealing with an ethical problem 3(L) 2.2 encourage settlement (r. 3.2-4 and
commentary) 44(L) 2.2
S
Settlement - duty to client - duty to present
Same or related matter - acting against settlement offers (r. 3.2-4 and
former client (OK with consent) (r. 3.4-10- commentary) 44(L) 2.2
11) 34(L) 6.1
Settlement - duty to encourage - duty to
Scheduling systems - calendaring systems 96(L) 4.2 client (r. 3.2-4 and commentary) 44(L) 2.2
Screening - clients - initial screening by Settlement - settlement offer received -
lawyer 59(LR) 1.1 duty to present to client (r. 3.2-4 and
31(R) 3 commentary) 44(L) 2.2
Screening - for conflicts of interest (r.3.4-1 Settlement & alternative dispute resolution
and commentary) 42(R) 13 (ADR) - duty to client - duty to encourage
Second opinion - rr 7.2-6-7.2-7 and settlement and present settlement offers /
commentaries 75(R) 3.3 consider ADR (r. 3.2-4 and commentary)
SEE “Alternative dispute resolution (ADR)
Secure location - storage - trust cheque 112(R) 4.3.3 & Settlement - duty to encourage” 44(L) 2.2
Securing payment for legal fees - 56(R) - Settlement & alternative dispute resolution
mortgage, charge, lien 57(R) 6 (ADR) - duty to encourage settlement and
Securing payment for legal fees (r. 3.4-27 - 56(R) - present settlement offers / consider ADR
3.4-29 and commentaries) 57(R) 6 (r. 3.2-4 and commentary)
SEE “Alternative dispute resolution (ADR)
Securities - registered in client’s name - 47(R) - & Settlement - duty to encourage” 44(L) 2.2
held by lawyer - recording requirements 48(L) 3.1
Sexual harassment - definition 7(L) 5.2
Security - courtroom facilities - disclosure
of confidential info (r. 5.6-3 and Sexual harassment - examples 7(LR) 5.2
commentary) 29(LR) 5.2 Sexual or intimate relationship with client -
Security - courtroom facilities - duty (r. 5.6- conflict of interest - other member of firm
3 and commentary) 77(LR) 5.3 may represent (commentary, r. 3.4-1) 40(R) 12.1
104(R) - Sexual or intimate relationship with client -
Security - of personal information - privacy 105(L) 10.2.5 conflict of interest (commentary, r. 3.4-1) 40(R) 12.1
Security - Safeguards - Breach 105(R) 10.3 Sharing - trust account with another lawyer
or paralegal 110(R) 4.1.3
97(R) -
Security - technology 98(L) 5.3 Sharing of fees (r. 3.6-5, 3.6-7, 3.6-8 and
commentaries)
Security for debts - by lawyers for
SEE: Fees - division of 54(R) 3
borrower/lender clients - prohibited with 3
exceptions (r. 3.4-34 - 3.4-35) 40(LR) 11.7 74(R) -
Sharp practice - duty to avoid (r. 7.2-2) 75(L) 3.1
Seeking legislative or administrative
change duty (r. 5.6-1 - 5.6-2 and Short term limited legal services (pro
commentary) 77(L) 5.2 bono) - conflict of interest (r. 3.4-16.2 - 3.4- 36(R) -
16.6, and commentary) 37(L) 9
Seizure of property - client property held
by lawyer - lawyer’s duties (s. 3.5 and Shortage - client trust ledger account - 114(R) -
commentaries; By-Law 9) insufficient funds in trust account 115(L) 5.3
SEE: “Bailment - client property - lawyer’s Signature - lawyer must sign statement of
duties - seizure” 47(LR) 3 account (r. 3.6-3, 3.6-4, 5.1-5, and 3.6-1.1 53(R) -
Self-represented litigant - acting against - and commentary) (s. 2(1) Solicitors Act) 54(L) 2.7
duties and conflict of interest (r. 7.2-9) 42(L) 12.6 Signature requirement - duplicate cash
Separate interest-bearing trust account 110(L) 4.1.1 receipts book 120(L) 6.4.2

Serious loss of confidence between lawyer 65(R) - 2.1 Software - transfer transaction - two 112(L) 4.3.2
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person requirement Standards of the legal profession 5(L) 1

Sole Practitioner - only individual Statement of account - fees,
authorized to withdraw 112(L) 4.3.3 disbursements, HST (r. 3.6-3, 3.6-4, 5.1-5, 53(R) -
Sole practitioner - shared office - 29(R) - and 3.6-1.1 and commentary) 54(L) 2.7
confidentiality (commentary r. 3.3-1) 30(LR) 6.2 Statement of account - joint retainer (r.
Sole proprietorship - permitted business 3.6-3, 3.6-4, 5.1-5, and 3.6-1.1 and
structures (By-Law 7) 89(LR) 1 commentary) 53(R) 2.7
Solicitor-client privilege - evidentiary rule - Statement of account - lawyer must sign (r.
vs. confidentiality (r. 3.3-1 and 3.6-3, 3.6-4, 5.1-5, and 3.6-1.1 and 53(R) -
commentary) 25(L) 1 commentary) (s. 2(1) Solicitors Act) 54(L) 2.7
Solicitor-client privilege - mediation 77(R) 5.4 Statement of account - must be clear (r.
3.6-3, 3.6-4, 5.1-5, and 3.6-1.1 and
Source documents - general and trust commentary) 53(R) 2.7
accounts - other record keeping
requiremnets 119(L) 6.4 Statements and appearances in public -
duty
Source documents - general and trust (s. 7.5) 77(R) 4.3
accounts (10 years) - other record keeping
requirements 119(LR) 6.4.1 Steps - process lawyer must follow - client
trust listing 118(R) 6.3.5(b)
Special Requirements - electronic transfer
- withdrawl 112(L) 4.3.2 Steps - process lawyer must follow - trust
reconciliation 118(L) 6.3.5(a)
Special responsibility-diversity-Ontario 11(L) 7
Steps to prevent/address
Splitting of fees - (r. 3.6-5, 3.6-7, 3.6-8 and violence/harassment in the workplace -
commentaries) Occupational Health and Safety Act 7(R) 5.3
SEE: Fees - division of 54(R) 3
102(R) -
Splitting of fees - with non-licensee (r. 3.6- Stigma - Mental Health and Wellness 102(L) 9.3
5, 3.6-7, 3.6-8 and commentary) 54(R) 3
Storage - secure location - trust cheque 112(R) 4.3.3
Spot Audits 3(L) 2.3
93(L) -
Spouse, partner joint will - conflict of Storing - client file 94(L) 3.2
interests - joint retainer - Substitute
Decisions Act (r. 3.4-5) 35(LR) 8.1 Storing - closed files 94(LR) 3.3
Spouses/partners - acting for - joint wills (r. Strategies to improve Mental Health and
3.4-5) - conflict of interest 35(LR) 8.1 Wellness 102(LR) 9.1
Staff - delegation (By-Law 7.1, Part I; r.6.1- Stress - Mental Health - sources of stress 102(L) 9
1 and commentary) 100(LR) 7.3 Subpoena - disclosure of confidential
Staff - hiring 99(R) 7.1 information (r. 3.3-1.1) - procedure 27(LR) 4.1
Staff - supervision (By-Law 7.1, Part I; Substitute auhtorized to sign or co-sign -
r.6.1-1 and commentary) 100(LR) 7.3 individuals authorized to withdraw 112(R) 4.3.3
100(R) - Substitute Decisions Act, 1992 - definition
Staff - supervision in real estate matters 101(L) 7.4 of spouse or partner (r. 3.4-5) - conflict of
interest - joint will 35(LR) 8.1
Staff - training 100(L) 7.2
Successor lawyer - duties - after
Staff supervision - records - completeness 115(R) 6 withdrawal of services (r. 3.7-10 and 68(R) -
commentary) 69(L) 7
Stage of witness’s testimony - Advocacy 85(R) 4.3.1
Supervise staff - records - completeness 115(R) 6
Stages of client relationship 59(L) 1
Stages of client relationship - (1) initial Supervision - affiliated entities 101(L) 7.6
screening 59(LR) 1.1 Supervision - articling students 99(R) 7
Stages of client relationship - (2) 59(R) - 1.2 - Supervision - duty 99(R) 7
engagement or non-engagement 61(L) 1.3
Supervision - hiring support staff 99(R) 7.1
Stages of client relationship - (3)
implementation 61(LR) 1.4 Supervision - in real estate matters (r. 6.1- 100(R) -
1 and commentary and r. 6.1-5 - 6.1-6.2) 101(L) 7.4
Stages of client relationship - (4) 61(R) -
disengagement 62(L) 1.5 Supervision - law students and paralegal
students 99(R) 7
Stale dated cheques - trust account 113(L) 4.4
Supervision - non-lawyer employees (By-
Stale dated cheques - trust account - steps Law 7.1, Part I; r.6.1-1 and commentary) 100(LR) 7.3
lawyer should take 113(L) 4.4
Supervision - paralegals 101(L) 7.5
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Supervision - training support staff 100(L) 7.2 86(L)

Supervision of accused on bail - by lawyer Syndicated mortgage - conflict of interest -
- conflict of interest - exception for family 41(R) - transaction with client (rr. 3.4-33.1 and
(r. 3.4-40 - 3.4-41) 42(L) 12.5 commentary, 3.4-33.2 - 3.4-33.3)
SEE: “Client - lending to” 39(LR) 11.4
Supervision of accused on bail - by lawyer
- conflict of interest - reason for prohibition 41(R) - System - file closing 94(L) 3.3
(r. 3.4-40 - 3.4-41) 42(L) 12.5
Systemic Racism - legal profession 13(R) 9.1
Supervision of accused on bail - by lawyer 41(R) -
- conflict of interest (r. 3.4-40 - 3.4-41) 42(L) 12.5 Systems to support practice management 97(R) 5.2
Support staff - delegation (By-Law 7.1, T
Part I; r.6.1-1 and commentary) 100(LR) 7.3 Take advantage - duty to avoid - taking
Support staff - hiring 99(R) 7.1 advantage - of another legal practitioner’s
slip or mistake - not going to merits (r. 7.2- 74(R) -
Support staff - supervision (By-Law 7.1, 1 - 7.2-3 and commentary) 75(L) 3.1
Part I; r.6.1-1 and commentary) 100(LR) 7.3
Taxes - HST - General Account 109(L) 3.3
Support staff - supervision in real estate 100(R) -
matters 101(L) 7.4 Technology - advertising legal services 97(L) 5.1
Support staff - training 100(L) 7.2 Technology - analysis support software 97(R) 5.2
Support to lawyers, paralegals and the 97(R) -
public 1(R) 1.4 Technology - backup 98(L) 5.3
Supporting documentation - trust Technology - calendaring and scheduling
reconciliation 118(LR) 6.3.5(a) systems 97(R) 5.2
Surety - judicial interim release/bail - Technology - communications tools 97(R) 5.2
lawyer acting as surety - conflict of interest 41(R) -
97(R) -
- exception for family (r. 3.4-40 - 3.4-41) 42(L) 12.5
Technology - competent use 98(L) 5.3
Surety - judicial interim release/bail -
lawyer acting as surety - conflict of interest 41(R) - Technology - confidentiality 97(L) 5.1
- reason for prohibition (r. 3.4-40 - 3.4-41) 42(L) 12.5 Technology - conflicts of interest 97(L) 5.1
Surety - judicial interim release/bail - Technology - controlling misuse of
lawyer acting as surety - conflict of interest 41(R) - electronic communications 97(L) 5.1
(r. 3.4-40 - 3.4-41) 42(L) 12.5
Technology - database management
Suspended lawyer - duty not to employ (r. 71(R) - systems 97(R) 5.2
7.6-1.1) 72(L) 1.3
Technology - delivery of legal services
Suspended paralegal - duty not to employ 71(R) - through the Internet 97(L) 5.1
(r. 7.6-1.1) 72(L) 1.3
97(R) -
Suspension of license - duty during Technology - disaster management 98(L) 5.3
suspension (r. 7.6-1.2 - 7.6-1.4; By-Law
Technology - document management
7.1, Part II; and By-Law 9, Part II.1) 72(L) 1.4
systems 97(R) 5.2
Suspension of license - duty not to
97(R) -
practice
Technology - email 98(L) 5.3
(r. 7.6-1.2 - 7.6-1.4; By-Law 7.1, Part II;
and By-Law 9, Part II.1) 72(L) 1.4 Technology - guidelines 97(L) 5.1
Suspension of license - failure to meet 101(R) - Technology - identification of lawyer in
administrative requirements 102(L) 8 electronic media 97(L) 5.1
Suspensions - disciplinary and Technology - legal research tools 97(R) 5.2
administrative 4(LR) 2.5
Technology - making available legal
Suspensions - discipline options 4(LR) 2.5 services 97(L) 5.1
Suspensions - lawyer prohibited from Technology - marketing legal services 97(L) 5.1
practicing law 4(R) 2.5
97(R) -
Suspensions - obligations when holding Technology - must use competently 98(L) 5.3
client funds or property in trust (r. 7.6-1.2 -
7.6-1.4 and by-laws 7.1 and 9) 4(R) 2.5 97(R) -
Technology - obsolescence 98(L) 5.3
Suspensions - obligations when
suspended 4(R) 2.5 Technology - posting on forums 97(L) 5.1
Suspensions - remedies of the Hearing Technology - practice area specific
Panel 4(L) 2.5 software 97(R) 5.2

Sympathetic and unsympathetic witnesses 85(R) - 4.3.2 Technology - practice management 97(R) 5.2
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97(R) - legal services to estate (r. 3.4-38 - 3.4-39)

Technology - preventing hackers 98(L) 5.3 86(R) -
Technology - providing legal services 97(L) 5.1 Testimony - lawyer as witness (s. 5.2) 87(L) 6
97(R) - Testimony - witnesses, communication 84(R) - 4-
Technology - security measures 98(L) 5.3 with, during testimony - duties 86(L) 4.3.3
Technology - software 97(R) 5.2 The Coach and Advisor Network 3(L) 2.3
Technology - spamming 97(L) 5.1 The Law Society of Ontario 1(L) 1
97(R) - Theory of the case - advocacy 81(L) 1
Technology - special considerations 98(L) 5.3 Third parties - conflicts of interest (r.3.4-1
Technology - time docketing and and commentary) 31(R) 3
accounting 97(R) 5.2
Third party 17(L) 2.3
97(R) -
Third party claims on client’s property -
Technology - update 98(L) 5.3
duties to client
Technology - use - permission/licenses 96(R) 5 SEE: “Bailment - client property - lawyer’s
96(R) - duties - seizure” 47(LR) 3
Technology - use in practice 98(L) 5 - 5.3 Threat - unjustified criminal, quasi-criminal,
or regulatory proceeding - duty to abstain -
Technology - use in practice management 97(R) 5.2
duty to client (r. 3.2-5 and commentary) 44(LR) 2.3
Technology - use to make legal service
Threaten - client to undertake criminal,
available 97(L) 5.1
quasi-criminal, or regulatory proceeding -
Technology - word processing 97(R) 5.2 Rules of Professional Conduct (r. 3.2-5
63(LR) - and commentary) 44(LR) 2.3
Threaten - criminal proceedings - abuse of
Telephone - office matters 64(LR) 2.3 tribunal process - duty (r. 3.2-5 and 82(R) -
Termination - conflict of interest (r. 3.4-1, commentary, and 5.1-2(a) and(n)) 83(L) 3.1
3.4-3, and 3.7-7) 33(L) 4.3 Threaten - to undertake criminal, quasi-
61(R) - criminal, or regulatory proceeding on
Termination - relationship with client 62(L) 1.5 behalf of client, unjustifiably - Rules of
Professional Conduct (r. 3.2-5 and
61(R) - commentary) 44(LR) 2.3
Termination letter - relationship with client 62(L) 1.5
Tickler - centralized reminder systems 96(L) 4.2
Terminology: lawyer, legal practitioner,
legal professions, licensee, paralegal, 1(R) - Tickler system - time management 96(L) 4.2
tribunal 2(L) 2.1 Time docketing 96(R) 4.3
Terminology: LSO’s use of shall/ must, Time docketing - billable vs. non-billable
should/should consider, may/may consider 2(L) 2.1 hours 96(R) 4.3
Terms of engagement - changes to 61(LR) 1.4 Time management 95(L) 4
Terms of engagement - in engagement 60(L) -
letter 61(L) 1.3 Time management - control interruptions 95(R) 4.1

Testamentary instrument - conflict of Time management - cultivate time

interest if lawyer drafting (r. 3.4-38 - 3.4- management skills 95(R) 4.1
39) 41(R) 12.4 Time management - delegate 95(R) 4.1
Testamentary instrument - lawyer drafts Time management - docketing 96(R) 4.3
instrument - instructions in instrument to
estate to retain lawyer who drafted Time management - docketing - billable
instrument - conflict of interest (r. 3.4-38 - vs. non-billable hours 96(R) 4.3
3.4-39) 41(R) 12.4 Time management - focus on one task at a
Testamentary instrument - lawyer drafts time 95(R) 4.1
instrument - lawyer or partner/associate Time management - keep time records 95(R) 4.1
receives bequest - conflict of interest (r.
Time management - planning and
3.4-38 - 3.4-39) 41(R) 12.4
reminder systems 96(L) 4.2
Testamentary instrument - lawyer drafts
Time management - procedures to
instrument - lawyer retained to provide
eliminate inefficiencies 95(R) 4.1
legal services to estate - duties of lawyer
(r. 3.4-38 - 3.4-39) 41(R) 12.4 Time management - recording time
(docketing) 96(R) 4.3
Testamentary instrument - lawyer drafts 41(R) 12.4
instrument - lawyer retained to provide Time management - records 95(R) 4.1
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Time management - ticker system 96(L) 4.2 - duty to client (r. 3.2-9.4 - 3.2-9.7 and
commentaries)
Time management - time docketing 96(R) 4.3
Title insurance - real property transaction -
95(R) - duty to client (r. 3.2-9.4 - 3.2-9.7 and
Time management - time planning 96(L) 4.1 commentaries) 46(L) 2.8
Time management - time reminder Title insurer - may not give referral fee to
systems 96(L) 4.2 lawyer (r. 3.2-9.5) 56(L) 4.4
95(R) - Title transfer - acting for both transferor
Time planning 96(L) 4.1 (seller) and transferee (buyer) - conflict of
Time reminder systems 96(L) 4.2 interest - joint retainer 36(LR) 8.3
Timely disclosure - estimate of fees (r. 3.6- Title transfer - acting for both transferor
1 and commentary) 52(R) 2.2 (seller) and transferee (buyer) - conflict of
interest - joint retainer - divergence of
Timely disclosure - fees (r. 3.6-1 and interests 36(LR) 8.3
commentary) 52(R) 2.2
TitlePlus program - LawPRO - lawyer’s
Timing-identification- client is an individual disclosure duty (r. 3.2-9.4 - 3.2-9.7 and
(By-Law 7.1, ss. 22(1)(b), 23(4) - (5), and commentaries) 46(L) 2.8
(7)) 19(L) 3.2.1
TitlePlus program - LawPRO - lawyer’s
Timing-verification-client is an organization duty
(By-Law 7.1, ss. 22(1)(b), 23(4), and (6) - (r. 3.2-9.4 - 3.2-9.7 and commentaries) 46(L) 2.8
(7)) 19(R) 3.2.2
62(R) -
Title - minimize risk of conveyance - duty Tough clients - difficult clients 63(L) 2.2
to client (r. 3.2-9.4 - 3.2-9.7 and
commentaries) 46(L) 2.8 Tracking - HST receivable for fees 116(L) 6.2.3
Title insurance - duty to client - advise, but Training support staff 100(L) 7.2
insurance not mandatory (r. 3.2-9.4 - 3.2-
Transaction - mortgage - duty to client -
9.7 and commentaries) 46(L) 2.8
mortgagee client - duty to report on
Title insurance - duty to client - LawPRO - mortgage transactions - time frame for
TitlePlus program - lawyer’s duty (r. 3.2- providing duplicate mortgage and final
9.4 - 3.2-9.7 and commentaries) 46(L) 2.8 report
Title insurance - duty to client - must (r. 3.2-9.8 - 3.2-9.9) 46(LR) 2.9
advise not mandatory (r. 3.2-9.4 - 3.2-9.7 Transaction - mortgage - duty to client -
and commentaries) 46(L) 2.8 mortgagee client - duty to report on
Title insurance - duty to client - real estate mortgage transactions (r. 3.2-9.8 - 3.2-9.9) 46(LR) 2.9
conveyance (r. 3.2-9.4 - 3.2-9.7 and Transaction - mortgage - duty to client -
commentaries) 46(L) 2.8 mortgagee client (r. 3.2-9.8 - 3.2-9.9) 46(LR) 2.9
Title insurance - duty to client - real estate Transactions with a client - independent
transaction (r. 3.2-9.4 - 3.2-9.7 and legal advice, representation, and consent -
commentaries) 46(L) 2.8 consent requirement (r. 3.4-29(b)(i) -3.4- 38(R) -
Title insurance - duty to client - real 29(b)(v)) 39(L) 11.3.1
property conveyance (r. 3.2-9.4 - 3.2-9.7 Transactions with a client - independent
and commentaries) 46(L) 2.8 legal advice, representation, and consent -
Title insurance - duty to client - real When independent legal advice,
property transaction (r. 3.2-9.4 - 3.2-9.7 representation, and consent is required (r. 38(R) -
and commentaries) 46(L) 2.8 3.4-29(b)(i) -3.4-29(b)(v)) 39(L) 11.3.1
Title insurance - Duty to client - TitlePlus Transactions with a client - independent
program - LawPRO - lawyer’s disclosure legal advice, representation, and consent -
duty (r. 3.2-9.4 - 3.2-9.7 and written confirmation or written denial by 38(R) -
commentaries) 46(L) 2.8 client (r. 3.4-29(b)(i) -3.4-29(b)(v)) 39(L) 11.3.1
Title insurance - Duty to client - TitlePlus Transactions with a client - independent
program - LawPRO - lawyer’s duty legal advice, representation, and consent 38(R) -
(r. 3.2-9.4 - 3.2-9.7 and commentaries) 46(L) 2.8 (r. 3.4-29(b)(i) -3.4-29(b)(v)) 39(L) 11.3.1
Title insurance - real estate conveyance - Transactions with a client - loan/mortgage
duty to client (r. 3.2-9.4 - 3.2-9.7 and (rr. 3.4-33.1 and commentary, 3.4-33.2 -
commentaries) 46(L) 2.8 3.4-33.3)
SEE: “Client - lending to” 39(LR) 11.4
Title insurance - real estate transaction -
duty to client (r. 3.2-9.4 - 3.2-9.7 and Transactions with a client - required action
commentaries) 46(L) 2.8 by lawyer in permissible transactions (r.
3.4-28 - 3.4-29 and commentaries) 38(R) 11.3
Title insurance - real property conveyance 46(L) 2.8
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Transactions with a client - requirements 22)

for permissibility (r. 3.4-28 - 3.4-29 and Transfer between law firms - transferring
commentaries) 38(R) 11.3 lawyer disqualification - when transferring
Transactions with a client, indirect - lawyer can discuss past representation 37(R) -
circumventing the Rules by doing indirectly with new firm (r. 3.4-21 - 3.4-22 and 3.3-7) 38(L) 10.2
what cannot do directly (r. 3.4-28.2 and Transfer between law firms - transferring 37(R) -
commentaries) 38(R) 11.2 lawyer disqualification (r. 3.4-21 - 3.4-22) 38(L) 10.2
Transactions with a client, while acting for Transfer between law firms - when new
client - duties and preconditions (r. 3.4-29, firm can act (consent or reasonable
commentary [2]) 40(L) 11.5 measures) (r. 3.4-20) 37(R) 10.1
Transactions with a client, while acting for Transfer between law firms - when
client (r. 3.4-29, commentary [2]) 40(L) 11.5 transferring lawyer can continue to act (r. 37(R) -
Transactions with clients - lawyer 3.4-21 - 3.4-22) 38(L) 10.2
personally guaranteeing debts where client Transfer transaction - software - two
is lender/borrower (r. 3.4-34 - 3.4-35) 40(LR) 11.7 person requirement 112(L) 4.3.2
Transactions with clients - lawyer securing Transferor & transferee of real estate -
debts where client is lender/borrower (r. joint retainer - conflict of interest (r. 3.4-
3.4-34 - 3.4-35) 40(LR) 11.7 16.7 - 3.4-16.9) 36(LR) 8.3
Transactions with clients - required action Transferor & transferee of real estate (joint
by lawyer in permissible transactions (r. retainer) - divergence of interests (r. 3.4-
3.4-28 - 3.4-29 and commentaries) 38(R) 11.3 16.7 - 3.4-16.9) 36(R) 8.3
Transactions with clients definition (r. 3.4- Transferring between firms - conflict of
27 - 3.4-28) 38(L) 11 interest - protecting confidential
Transfer - trust accounts - between clients’ information 37(LR) 10
trust accounts Transferring between firms - protecting
confidential information - conflict of interest 37(LR) 10
Sample - Figure 3 - Trust Receipts 117(R) 6.3.4
Journal, Trust Disbursements Journal, and Transferring funds - cash restrictions -
Trust Transfer Record 124 7 7500 limit applies 113(R) 5.1
Transfer - trust transfer journal (6 years) - Treasurer - Law Society 1(L) 1.1
record keeping requirements Tribunal - enforce lawyer’s undertaking, 76(R) -
trust condition, practice-related promise 77(L) 3.4
Sample - Figure 3 - Trust Receipts 117(R) 6.3.4
Journal, Trust Disbursements Journal, and Tribunal order - accepting cash - 7500 limit
Trust Transfer Record 124 7 applies 113(R) 5.1

Transfer - trust transfer record (6 years) - Tribunal process - duties 82(R) 3

record keeping requirements Tribunal process - lawyer withdrawal of
services - good cause and reasonable
Sample - Figure 3 - Trust Receipts 117(R) 6.3.4 notice (r. 3.7-1 and commentary) 65(LR) 1
Journal, Trust Disbursements Journal, and
Tribunal process - relationship with judge,
Trust Transfer Record 124 7
tribunal member (r. 5.1-2(c) and (d)) 83(LR) 3.3
Transfer between law firms - confidential
Tribunal process - shall not abuse - 82(R) -
info - conflict of interest (r. 3.4-17 - 3.4-23
threaten proceedings 83(L) 3.1
and commentaries) 37(LR) 10
Tribunal process - shall not appear under 83(R) -
Transfer between law firms - conflict of
influence of drugs, alcohol (r. 5.1-2(p)) 84(L) 3.6
interest (r. 3.4-17 - 3.4-23 and
commentaries) 37(LR) 10 Tribunal process - shall not engage in
dishonest conduct (r. 5.1-1 and
Transfer between law firms -
commentary, and r. 5.1-2(b), (e), (f), (g), (j)
disqualification of new firm - reasonable
and (k)) 83(R) 3.4
measures to protect info & and avoid
disqualification (r. 3.4-20) 37(R) 10.1 Tribunal process - shall not influence
tribunal (r. 5.1-2(c) and (d)) 83(LR) 3.3
Transfer between law firms -
disqualification of new firm (r. 3.4-20) 37(R) 10.1 Tribunal process - shall not mislead (r. 5.1-
2(e), (h), (i), and (l)) 83(L) 3.2
Transfer between law firms - due diligence
duty - ensure no conflict of interest for non- Tribunal process - shall not mistreat or
lawyer staff and lawyer employees (r. 3.4- influence witnesses (r. 5.1-2(j), (m), (o),
23 and commentary) 38(L) 10.3 5.3-1, 7.2-6, and 7.2-8 - 7.2-8.2 and
commentary) 83(R) 3.5
Transfer between law firms - transferring 37(R) - 10.2
lawyer disqualification - when transferring 38(L) Tribunal process - witnesses (r. 5.1-2(j), 83(R) 3.5
lawyer can continue to act (r. 3.4-21 - 3.4- (m), (o), 5.3-1, 7.2-6, and 7.2-8 - 7.2-8.2
102
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and commentary) years)

Trust - client trust listing 118(R) 6.3.5(b)
Sample - Figure 4 - Clients’ Trust Ledger 125 7
Trust - clients’ trust ledger (10 years) -
Trust account - credit or debit payments
record keeping requirements 117(R) 6.3.3
from client - for future fees/disbursements
(money retainer) 114(LR) 5.2
Sample - Figure 4 - Clients’ Trust Ledger 125 7
Trust account - deposit - methods for
Trust - comparison - monthly - trust
depositing 111(L) 4.2.1
account 117(R) 6.3.5
Trust - monthly comparison (10 years) - Trust account - deposit - when to deposit 111(L) 4.2.2
trust account 118(R) 6.3.5 110(R) -
Trust account - deposit (trust receipts) 111(L) 4.2
Sample - Figure 5 - Monthly Trust Trust account - Electronic Trust Transfer
Comparison 126 7 Requisition Form (Form 9A)
Trust - monthly trust comparison (10 117(L) 6.3.2
years) - record keeping requirements 118(R) 6.3.5 Sample - Figure 8 - Sample Electronic
Trust Transfer Requisition (Form 9A) 128 7
Sample - Figure 5 - Monthly Trust Trust account - financial institutions - By-
Comparison 126 7 Law 9 110(R) 4.1.2
Trust - trust disbursements journal (10 114(R) -
years) - record keeping requirements Trust account - insufficient funds 115(L) 5.3
Sample - Figure 3 - Trust Receipts 117(L) 6.3.2 Trust account - lawyer suspended -
Journal, Trust Disbursements Journal, and lawyer’s duties during suspension By-Law
Trust Transfer Record 128 7 9, Part II.1) 72(L) 1.4
Trust - trust receipts journal (10 years) - Trust account - misappropriation of trust
record keeping requirements funds 111(R) 4.3
Trust account - mixed trust account 110(L) 4.1.1
Sample - Figure 3 - Trust Receipts 117(L) 6.3.1
Journal, Trust Disbursements Journal, and Trust account - money earmarked for
Trust Transfer Record 124 7 specific purpose (r. 3.6-10; By-Law 9) 54(R) 2.8

Trust - trust transfer journal (6 years) - Trust account - money retainer 51(L) 1
record keeping requirements Trust account - money to be paid into (r.
3.6-10; By-Law 9) 54(LR) 2.8
Sample - Figure 3 - Trust Receipts 117(R) 6.3.4
Trust account - monthly trust comparison
Journal, Trust Disbursements Journal, and
(10 years) 118(R) 6.3.5
Trust Transfer Record 124 7
Trust - trust transfer record (6 years) - Sample - Figure 5 - Monthly Trust
record keeping requirements Comparison 126 7

Sample - Figure 3 - Trust Receipts 117(R) 6.3.4 Trust account - opening - costs of account 109(R) 4.1
Journal, Trust Disbursements Journal, and Trust account - other record keeping
Trust Transfer Record 124 7 requirements - source documents (10
years) 119(LR) 6.4.1
Trust account 109(LR) 4
114(R) -
Trust account - banking fees 109(R) 4.1 Trust account - overdrawn 115(L) 5.3
Trust account - banking fees - clearance 114(R) - Trust account - receiving money from 114(R) -
periods 115(L) 5.3 client - clearance periods 115(L) 5.3
109(L) - Trust account - record keeping 116(R) - 6.3 -
Trust account - By-Law 9 113(L) 4 - 4.4 requirements 119(L) 6.3.5
Trust account - clearance periods - 114(R) - Trust account - record keeping
receiving money from client 115(L) 5.3 requirements - current, permanent,
Trust account - client has insufficient funds 114(R) - available in paper copy 115(LR) 6 - 6.1
in account - overdrawn 115(L) 5.3 Trust account - record keeping
Trust account - client liabilities 118(R) 6.3.5(b) requirements (s. 3.5 and commentaries;
By-Law 9) 48(L) 3.2
Trust account - client trust listing 118(R) 6.3.5(b)
Trust account - record of error - financial
Trust account - client’s money - lawyer’s instituion 112(R) 4.3.4
duties (s. 3.5 and commentaries; By-Law
9) 48(L) 3.2 Trust account - required journals, ledgers,
and records 116(R) 6.3
Trust account - clients’ trust ledger (10 117(R) 6.3.3
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Trust account - separate interest-bearing Trust Transfer Requisition (Form 9A)

trust account 110(L) 4.1.1 Trust account - withdrawal - electronic
Trust account - service fees - financial transfer (Electronic Trust Transfer
instituion 112(R) 4.3.4 Requisition Form) (Form 9A)
Trust account - sharing with another 117(L) 6.3.2
lawyer or paralegal 110(R) 4.1.3 Sample - Figure 8 - Sample Electronic
Trust Transfer Requisition (Form 9A) 128 7
Trust account - stale dated cheques 113(L) 4.4
Trust account - withdrawal - error in
Trust account - transfers between clients’ withdrawal, corrections 112(R) 4.3.4
trust ledger accounts
Trust account - withdrawal - individuals
authorized to withdraw 112(L) 4.3.3
Sample - Figure 3 - Trust Receipts 117(R) 6.3.4
Journal, Trust Disbursements Journal, and 111(R) -
Trust Transfer Record 124 7 Trust account - withdrawal - methods 112(L) 4.3.2
Trust account - trust disbursements journal Trust account - withdrawal - reasons for 111(R) 4.3.1
(10 years) Trust account - withdrawal (r. 3.6-10; By-
Law 9) 54(LR) 2.8
Sample - Figure 3 - Trust Receipts 117(L) 6.3.2
Journal, Trust Disbursements Journal, and Trust account - withdrawal to pay
Trust Transfer Record 128 7 disbursements r. 3.6-10; By-Law 9) 54(R) 2.8
Trust account - trust ledger (10 years) 117(R) 6.3.3 Trust account - withdrawal to pay fees (r.
3.6-10; By-Law 9) 54(LR) 2.8
Sample - Figure 4 - Clients’ Trust Ledger 125 7 Trust account, lawyer’s - record keeping
110(R) - requirements (s. 3.5 and commentaries;
Trust account - trust receipts (deposits) 111(L) 4.2 By-Law 9) 48(L) 3.2
Trust account - trust receipts journal (10 Trust Accounting - trust disbursements
years) journal - requirements 117(L) 6.3.2
Trust accounts - trust receipt journal 117(L) 6.3.1

Sample - Figure 3 - Trust Receipts 117(L) 6.3.1 Trust bank account statement - trust
Journal, Trust Disbursements Journal, and reconciliation 118(LR) 6.3.5(a)
Trust Transfer Record 124 7 Trust cash journal - consisting of trust
receipts journal and trust disbursements
Trust account - trust reconciliation 118(LR) 6.3.5(a)
journal 117(L) 6.3
Trust account - trust transfer journal (6
years) Trust Cheque - copy - filing 111(R) 4.3.2
Trust cheque - label - "In Trust" 112(R) 4.3.3
Sample - Figure 3 - Trust Receipts 117(R) 6.3.4
Journal, Trust Disbursements Journal, and Trust cheque - limit access 112(R) 4.3.3
Trust Transfer Record 124 7 Trust cheque - missing information - never
Trust account - trust transfer record (6 sign 112(R) 4.3.3
years) Trust cheque - record keeping 112(R) 4.3.3

Sample - Figure 3 - Trust Receipts 117(R) 6.3.4 Trust cheques - stale dated trust cheques 113(L) 4.4
Journal, Trust Disbursements Journal, and Trust comparison - monthly trust 118(R) -
Trust Transfer Record 124 7 comparison 119(L) 6.3.5(c)
Trust account - types 110(L) 4.1.1 Trust comparison - supporting
documentation 119(L) 6.3.5(c)
Trust account - unclaimed trust funds 113(L) 4.4
Trust conditions - duty to honour (r. 5.1-6
Trust account - used only for purposes and 7.2-11 and commentaries) 76(LR) 3.4
related to provision of legal services (r.
3.2-7.3) 109(LR) 4 Trust disbursement journal - records - all
withdrawls 111(R) 4.3
Trust account - vs. general account 108(L) 2
Trust disbursement journal - trust account 116(R) 6.3
111(L) - 4.3 -
Trust account - withdrawal 112(R) 4.3.4 Trust disbursements - record keeping 117(L) 6.3.2
Trust account - withdrawal - clearance 114(R) - Trust disbursements (withdrawals) 111(R) 4.3
periods 115(L) 5.3
Trust disbursements journal - 10 years 117(L) 6.3.2
Trust account - withdrawal - electronic 111(R) - 4.3.2
transfer (By-Law 9) 112(L) Trust disbursements journal - electronic
7 transfer 117(L) 6.3.2
Sample - Figure 8 - Sample Electronic 128 Trust disbursements journal (10 years) - 117(L) 6.3.2
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record keeping requirements Trust funds - deposit of funds -

confirmation of clearing 114(R) 5.3
Sample - Figure 3 - Trust Receipts Trust funds - deposit of funds -
Journal, Trust Disbursements Journal, and confirmation of fee clearing 114(R) 5.3
Trust Transfer Record 128 7
Trust funds - deposit of funds - non-
Trust disbursements journal (10 years) - sufficient funds - procedure 115(L) 5.3
trust account
Trust funds - deposit of funds - non-
Sample - Figure 3 - Trust Receipts 117(L) 6.3.2 sufficient funds - shortage of client funds 115(L) 5.3
Journal, Trust Disbursements Journal, and Trust funds - deposit of funds - non-
Trust Transfer Record 128 7 sufficient funds - trust cheques 115(L) 5.3
Trust fund - completing client trust listing - Trust funds - deposit of funds - standard
names and activity 118(R) 6.3.5(b) clearing periods 114(R) 5.3
Trust fund - monthly trust comparison - Trust funds - Deposit to trust -
comparison process 118(R) 6.3.5(c) Requirements - Methods 111(L) 4.2.2
Trust fund - reconciling trust bank Trust funds - deposits - fee payment -
balances - trust comparison 118(R) 6.3.5(c) credit and debit 114(L) 5.2
Trust fund - record keeping - source Trust funds - electronic transfer
documents - cheque imaging 119(R) 6.4.1 requirements - trust disbursements journal 117(L) 6.3.2
Trust fund - reviewing trust fund Trust funds - fee deposit - restrictions on
comparison - activity 119(L) 6.3.5(c) credit 114(R) 5.2
Trust fund - reviewing trust fund Trust funds - fee deposits - internet-based
comparison - balances and arithmetic 119(L) 6.3.5(c) payment services 114(R) 5.2
Trust fund - reviewing trust fund Trust funds - fee deposits - money
comparison - elements 119(L) 6.3.5(c) retainers and bills - two accounts 114(R) 5.2
Trust fund - reviewing trust fund Trust funds - financial institution errors
comparison - overdrawn accounts 119(L) 6.3.5(c) across trust accounts - monthly trust
Trust fund - reviewing trust fund comparison tool 117(R) 6.3.5
comparison - procedure 118(R) 6.3.5(c) Trust funds - foreign bank service charges 114(L) 5.1
Trust fund - total client trust listing - Trust funds - foreign bank transaction -
comparison 118(R) 6.3.5(c) regulations 114(L) 5.1
Trust funds - accounting - helpful practices 117(R) 6.3.3 Trust funds - foreign banks - withdrawal
Trust funds - accounting financial slip protocol 114(L) 5.1
transactions - trust reconciliation 118(R) 6.3.5(a) Trust funds - identify errors in processing
Trust funds - accounting for trust clients - payments - trust reconciliation 118(L) 6.3.5(a)
trust listing 118(R) 6.3.5(b) Trust funds - itemizing financial
Trust funds - accounting records - clients’ transactions - purpose of trust
trust ledger 117(R) 6.3.3 reconciliation 118(L) 6.3.5(a)
Trust funds - cash or cheque payment - Trust funds - lawyer’s client liabilities -
protocol 114(L) 5.1 client trust listing 118(R) 6.3.5(b)
Trust funds - certified funds - client trust Trust funds - listing of money in trust
ledger accounts 115(L) 5.3 accounts - comparison 117(R) 6.3.5
Trust funds - certified funds - sufficient Trust funds - minimum record keeping -
fund requirements 115(L) 5.3 requirements - physical 115(L) 6
Trust funds - cheque imaging - record Trust funds - minimum record keeping -
keeping - original copies 119(R) 6.4.1 requirements purpose 115(L) 6
Trust funds - clearance periods - methods Trust funds - misapplied funds - report to
of payment 114(R) 5.3 LSO 115(L) 5.3

Trust funds - Client trust listing - client list 118(R) 6.3.5(b) Trust funds - misappropriation 111(R) 4.3
Trust funds - client trust listing total - Trust funds - monthly trust comparison -
monthly trust comparison 117(R) 6.3.5 requirements 117(R) 6.3.5
Trust funds - non-sufficient funds -
Trust funds - clients’ trust ledger - 10 years 117(R) 6.3.3
disbursement of client funds rapidly 115(L) 5.3
Trust funds - clients’ trust ledger - time
Trust funds - overdrawn fund - trust ledger
requirement 117(R) 6.3.3
account 115(L) 5.3
Trust funds - credit/debit fee deposit -
point-of-sale machine 114(R) 5.2 Trust funds - receiving funds - certified 114(R) 5.3
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cheques - LAWPRO protection own funds

Trust funds - receiving funds - cheque Trust funds - transferring between trust
clearing periods 114(R) 5.3 ledger accounts - trust transfer record 117(R) 6.3.4
Trust funds - receiving funds - clearance Trust funds - trust account - components 116(R) 6.3
periods 114(R) 5.3
Trust funds - trust account - source
Trust funds - receiving money from clients documents 117(L) 6.3
- methods 113(L) 5
Trust funds - trust account - trust receipts -
Trust funds - reconciling bank balances - trust disbursements 116(R) 6.3
monthly trust comparison 117(R) 6.3.5
Trust funds - trust account - trust transfer
Trust funds - record keeping - accounting record 116(R) 6.3
practices bylaw 115(R) 6
Trust funds - trust account statement
Trust funds - record keeping - bank reconciliation 118(L) 6.3.5(a)
statements 115(R) 6
Trust funds - trust accounting - trust
Trust funds - record keeping - By-Law 9 disbursements journal - requirements 117(L) 6.3.2
requirements 115(R) 6.1
Trust funds - trust accounts - 10 year
Trust funds - record keeping - cash period, plus current 117(L) 6.3
payment requirements - duplicate cash 119(R) -
Trust funds - trust accounts - record
receipts book 120(L) 6.4.2
keeping requirements 117(L) 6.3.1
Trust funds - record keeping - copies of
Trust funds - trust accounts - trust cash
documents - invoices and expenses 119(R) 6.4.1
journal 117(L) 6.3
Trust funds - record keeping - daily upkeep 115(R) 6.1 Trust funds - trust accounts - trust receipt
Trust funds - record keeping - delegation 115(R) 6 journals 117(L) 6.3.1
Trust funds - record keeping - delegation - Trust funds - trust accounts - trust receipts
supervision 115(R) 6 journal - time keeping 117(L) 6.3.1
Trust funds - record keeping - duplicate 119(R) - Trust funds - trust disbursements - record
cash receipts - bookkeeping 120(L) 6.4.2 keeping 117(L) 6.3.2
Trust funds - record keeping - duplicate Trust funds - trust disbursements journal -
deposits - copies 119(R) 6.4.1 electronic transfer 117(L) 6.3.2
Trust funds - record keeping - income tax Trust funds - trust reconciliation - purpose 118(L) 6.3.5(a)
obligations 115(R) 6 Trust funds - trust transfer record -
Trust funds - record keeping - paper copy correcting trust ledger account 117(R) 6.3.4
requirement 115(R) 6.1 Trust funds - trust transfer record -
Trust funds - record keeping - professional purpose 117(R) 6.3.4
liability insurer 115(R) 6 Trust funds - trust transfer record -
Trust funds - record keeping - requirement requirements 117(R) 6.3.4
purpose 115(L) 6
Trust funds - unclaimed - trust account 113(L) 4.4
Trust funds - record keeping -
Trust funds - withdrawal from trust -
requirements for electronic records - 119(R) -
consequences 111(R) 4.3.1
deposit slip records 120(L) 6.4.2
Trust funds - Withdrawal from trust -
Trust funds - record keeping - suggested
reasons - lawyer’s fees 111(R) 4.3.1
printing requirement 115(R) 6.1
Trust funds- deposit of funds - non-
Trust funds - record keeping - trust
sufficient funds 115(L) 5.3
account 116(R) 6.3
110(R) -
Trust funds - record keeping - trust record
Trust Ledger - recording deposits 111(L) 4.2
requirements 115(L) 6
Trust ledger (10 years) - trust account 117(R) 6.3.3
Trust funds - record keeping accountability
- client funds 115(L) 6
Sample - Figure 4 - Clients’ Trust Ledger 125 7
Trust funds - replenishing clients’ retainer -
47(R) -
trust disbursement ledger 117(R) 6.3.3
Trust moneys, client - definition 48(L) 3.1
Trust funds - rules - only for legal services 109(R) 4 110(R) -
Trust funds - shortage of client funds - Trust receipts - depositing to trust account 111(L) 4.2
responsibilities 115(L) 5.3
Trust receipts journal 111(L) 4.2
Trust funds - shortage of funds - certified
funds 115(L) 5.3 Trust receipts journal - 10 years 117(L) 6.3.1

Trust funds - shortage of funds - lawyer’s 115(L) 5.3 Trust receipts journal - trust account 116(R) 6.3
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Trust receipts journal (10 years) - record 101(R) -

keeping requirements Unable to Practice - Contingency planning 102(L) 8
Unauthorized persons - working with or 71(R) -
Sample - Figure 3 - Trust Receipts 117(L) 6.3.1 employing - duty to law society (r. 7.6-1.1) 72(L) 1.3
Journal, Trust Disbursements Journal, and
Trust Transfer Record 124 7 Unauthorized practice of law or provision
of legal services - duty to law society (r.
Trust receipts journal (10 years) - trust 7.6-1 and commentary) 71(R) 1.2
account
Unclaimed trust funds - Law Society (By-
Law 10) 113(L) 4.4
Sample - Figure 3 - Trust Receipts 117(L) 6.3.1 Unclaimed trust funds - trust account 113(L) 4.4
Journal, Trust Disbursements Journal, and
Trust Transfer Record 124 7 Undertaking - document registration 76(R) -
agreement - real estate transaction 77(L) 3.4
Trust reconciliation - steps in process 118(L) 6.3.5(a)
Undertaking - duties to uphold (r. 5.1-6
Trust reconciliation - supporting and 7.2-11 and commentaries) 76(LR) 3.4
documentation 118(LR) 6.3.5(a)
Undertaking - not to practice - duty not to
Trust reconciliation - trust account 118(LR) 6.3.5(a) practice (r. 7.6-1.2 - 7.6-1.4; By-Law 7.1,
Part II; and By-Law 9, Part II.1) 72(L)) 1.4
Trust reconciliation - trust bank account
statement 118(LR) 6.3.5(a) Undue influence - client subject to undue
influence - duty to client 45(LR) 2.6
Trust transfer journal (6 years) - record
keeping requirements Undue influence - duty to client - client
subject to undue influence 45(LR) 2.6
Sample - Figure 3 - Trust Receipts 117(R) 6.3.4 Undue influence/duress/pressure - client
Journal, Trust Disbursements Journal, and under undue influence - lawyer’s duties 45(LR) 2.6
Trust Transfer Record 124 7
Unintentional client - how to avoid 16(L) 1.2
Trust transfer journal (6 years) - trust
account Unlawful client expectations - duty of
honesty and candour (rr. 3.1-2 43(R) -
Sample - Figure 3 - Trust Receipts 117(R) 6.3.4 commentary, 3.2-2 and commentary) 44(L) 2.1
Journal, Trust Disbursements Journal, and Unlawful conduct by client - lawyer’s duty 44(R) -
Trust Transfer Record 124 7 (r. 3.2-7 - 3.2-8 and commentary) 45(L) 2.4
Trust transfer record - 6 years 117(R) 6.3.4 Unlicensed persons - working with or 71(R) -
employing - duty to law society (r. 7.6-1.1) 72(L) 1.3
Trust transfer record - trust account 116(R) 6.3
62(R) -
Trust transfer record (6 years) - record
Unpleasant clients - difficult clients 63(L) 2.2
keeping requirements
Unprofessional marketing practices (r. 4.1- 90(R) -
Sample - Figure 3 - Trust Receipts 117(R) 6.3.4 2 and commentary) 91(L) 2.1.2
Journal, Trust Disbursements Journal, and Unreasonable client expectations - duty of
Trust Transfer Record 124 7 honesty and candour (rr. 3.1-2 43(R) -
Trust transfer record (6 years) - trust commentary, 3.2-2 and commentary) 44(L) 2.1
account Unreasonable or uncooperative client -
serious loss of confidence - optional 65(R) -
Sample - Figure 3 - Trust Receipts 117(R) 6.3.4 withdrawal of services 66(L) 2.1
Journal, Trust Disbursements Journal, and
Trust Transfer Record 124 7 Unrelated activities to law - duty (r. 7.3-1 -
7.3-2 and commentary) 77(L) 4.1
Trustee Services Department - Law
Society - administers Unclaimed Trust Unrepresented parties r. 7.2-9 and 17(R) -
Fund (By-Law 10) (s 59.6) 113(L) 4.4 commentary 18(L) 2.6

Two person requirement - transfer Unrepresented parties-seek representation 18(L) 2.6

transaction 112(L) 4.3.2 Unrepresented persons - conflict of
Types - of accounting systems 107(R) - interest
SEE: Chart 99(LR) 108(L) 1.1 (r. 7.2-9) 42(L) 12.6
51(R) - Unrepresented persons - conflict of
Types - of billing methods - fees 52(L) 2 interest - duties when acting against
(r. 7.2-9) 42(L) 12.6
51(R) -
Types - of client fees 52(L) 2 Untrue evidence - tribunal process - shall
not mislead (r. 5.1-2(e), (h), (i), and (l)) 83(L) 3.2
Types - of fees 51(R) 2
Untruthful client - serious loss of 65(R) - 2.1
U confidence - optional withdrawal of 66(L)
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services (b), 23(4) - (5), and (7))

97(R) - Verification of client identity - client is an
Update - technology 98(L) 5.3 organization - documents required (By-
Law 7.1, ss. 22(1)(b), 23(4), and (6) - (7)) 19(R) 3.2.2
Updated daily - records 115(R) 6.1
Verification of client identity - client is an
Uphold integrity of profession - duty (r. 2.1-
organization - timing [60 days] (By-Law
1 - 2.1-2) 77(L) 4
7.1, ss. 22(1)(b), 23(4), and (6) - (7)) 19(R) 3.2.2
104(L) -
Verification of client identity - client or third
Use of personal information - privacy 105(R) 10.2.3
party cannot meet lawyer in person (By- 19(R) -
Useless proceedings - (r. 3.2-5 and 82(R) - Law 7.1, ss. 23(8) - (11)) 20(L) 3.3
commentary, and 5.1-2(a) and(n)) 83(L) 3.1
Verification of client identity - documents
V required when client is an individual (By-
Validity of legal instruments - client under Law 7.1, ss. 22(1)(b), 23(4) - (5), and (7)) 19(L) 3.2.1
duress, undue influence, pressure - duty to Verification of client identity - documents
client 45(LR) 2.6 required when client is an organization
47(R) - (By-Law 7.1, ss. 22(1)(b), 23(4), and (6) -
Valuable property - definition 48(L) 3.1 (7)) 19(R) 3.2.2

47(R) - Verification of client identity - exemptions

Valuable property - negotiating or selling 48(L) 3.1 to the requirement (By-Law 7.1, ss. 22(2) -
(4)) 18(L) 3
Valuable property - record keeping
requirements - valuable property record Verification of client identity - source
(10 years) 120(R) 6.4.4 documents when client is an individual
(By-Law 7.1, ss. 22(1)(b), 23(4) - (5), and
Sample - Figure 7 - Valuable Property (7)) 19(L) 3.2.1
Record 127 7 Verification of client identity - source
47(R) - documents when client is organization -
Valuable property - selling or negotiating 48(L) 3.1 identity of individual instructing on behalf
of organization (By-Law 7.1, ss. 22(1)(b),
Valuable property record - definition, 47(R) - 23(4), and (6) - (7)) 19(R) 3.2.2
contents 48(L) 3.1
Verification of client identity - when is it
47(R) - required (By-Law 7.1, ss. 22 and 23(4)) 19(L) 3.2
Valuable property record - lawyer’s duty 48(L) 3.1
Verification of client identity - when not 19(R) -
Valuable property record - legal 47(R) - face-to-face (By-Law 7.1, ss. 23(8) - (11)) 20(L) 3.3
documents and trust money excluded 48(L) 3.1
Verification of identity - client is a
Valuable property record -non-negotiable 47(R) - organization -documents needed 19(R) 3.2.2
or non-sellable property excluded 48(L) 3.1
Verification of identity when client is an
Valuable property record (10 years) - individual - documents needed 19(L) 3.2.1
record keeping requirements 120(R) 6.4.4
Verification of identity when client is an
Sample - Figure 7 - Valuable Property organization - documents needed 19(R) 3.2.2
Record 127 7 Verifying identity when the client or third 19(R) -
Verification of client - definition of “third party cannot meet the lawyer in person 20(L) 3.3
party” (By-Law 7.1, Part III) 18(L) 3 Vulnerability - client under duress/undue
Verification of client - previous influence/pressure - voluntariness 45(LR) 2.6
identification and verification (By-Law Vulnerable client - capacity - client under
7.1,ss. 23(2.1), (3), and (11) - (12)) 20(L) 3.4 duress/undue influence/pressure 45(LR) 2.6
Verification of client - records (copies of Vulnerable client - capacity - duty to client
documents and duration required to keep - authorized representative/ litigation
them) (By-Law 7.1,s. 23(13) - (14)) 20(R) 3.5 guardian (r. 3.2-9 and commentary) 45(L) 2.5
Verification of client - requirement (client Vulnerable client - capacity - duty to client
and third party) (By-Law 7.1, Part III) 18(L) 3 - efforts to confirm capacity (r. 3.2-9 and
Verification of client - withdrawal during commentary) 45(L) 2.5
verification - client illegal or dishonest Vulnerable client - capacity - duty to client
conduct (By-Law 7.1,s. 24) 20(R) 3.6 (r. 3.2-9 and commentary) 45(L) 2.5
Verification of client identity - client is an Vulnerable client - restrictions on
individual - documents required (By-Law contingency fee arrangements (r. 3.6-2
7.1, ss. 22(1)(b), 23(4) - (5), and (7)) 19(L) 3.2.1 and commentary) 56(R) 5
Verification of client identity - client is an 19(L) 3.2.1 W
individual - timing (By-Law 7.1, ss. 22(1)
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Waiver of conflict - short term, limited legal Withdrawal - responsibilities to third parties
services (pro bono) - conflict of interest (r. 36(R) - (r. 7.1-2 and commentary) 98(R) 6.1
3.4-16.2 - 3.4-16.6, and commentary) 37(L) 9 111(L) - 4.3 -
102(R) - Withdrawal - trust account 112(R) 4.3.4
Wellness - Mental Health - Stigma 102(L) 9.3 Withdrawal - trust account - electronic
Wellness - Mental Health - stress 102(L) 9 transfer (By-Law 9) 111(R) -
112(L) 4.3.2
Wellness - mental health supports and
Sample - Figure 8 - Sample Electronic
resources 102(R) 9.2
Trust Transfer Requisition (Form 9A) 128 7
Wellness - strategies to improve mental
Withdrawal - trust account - electronic
health 102(LR) 9.1
transfer (Electronic Trust Transfer
When advising client - duty to client - list of Requisition Form) (Form 9A)
duties 43(R) 2 117(L) 6.3.2
When identification is required (By-Law Sample - Figure 8 - Sample Electronic
7.1, ss. 22 and 23(1)) 18(R) 3.1 Trust Transfer Requisition (Form 9A) 128 7
When to check for conflicts of interest - Withdrawal - trust account - error in
conflict checking system - method of withdrawal, corrections 112(R) 4.3.4
checking 42(R) 13 Withdrawal - trust account - individuals
When to deposit to trust account 111(L) 4.2.2 authorized to withdraw 112(L) 4.3.3

When verification of identity is required 111(R) -

(By-Law 7.1, ss. 22 and 23(4)) 19(L) 3.2 Withdrawal - trust account - methods 112(L) 4.3.2

Who is a client 15(R) 1.2 Withdrawal - trust account - reasons for 111(R) 4.3.1

Will - conflict of interest if lawyer drafting Withdrawal (law firm) - confidential

(r. 3.4-38 - 3.4-39) 41(R) 12.4 information - conflict of interest - lawyer
transfer between firms (r. 3.4-20) 37(R) 10.1
Will - held by lawyer - recording 47(R) -
requirements 48(L) 3.1 Withdrawal (law firm) - conflict of interest -
confidential information - lawyer transfer
Will - joint retainers (r. 3.4-5) - conflict of between firms (r. 3.4-20) 37(R) 10.1
interest 35(LR) 8.1
Withdrawal from representation - client -
Will - lawyer drafts will - instructions in will organization - client’s dishonesty,
to estate to retain lawyer who drafted will - criminality, fraud, or illegality (r. 3.2-7 - 3.2- 44(R) -
conflict of interest (r. 3.4-38 - 3.4-39) 41(R) 12.4 8 and commentary) 45(L) 2.4
Will - lawyer drafts will - lawyer or Withdrawal from representation - duty to
partner/associate receives bequest - withdraw - error or omission by lawyer (r.
conflict of interest (r. 3.4-38 - 3.4-39) 41(R) 12.4 7.8) 46(R) 2.1
Will - lawyer drafts will - lawyer retained to Withdrawal from representation - duty to
provide legal services to estate - duties of withdraw - omission or error by lawyer (r.
lawyer (r. 3.4-38 - 3.4-39) 41(R) 12.4 7.8) 46(R) 2.1
Will - lawyer drafts will - lawyer retained to Withdrawal from representation - error or
provide legal services to estate (r. 3.4-38 - omission by lawyer - duty to withdraw (r.
3.4-39) 41(R) 12.4 7.8) 46(R) 2.1
Will (joint) for spouses/partners - joint Withdrawal from representation - omission
retainers - conflict of interest 35(LR) 8.1 or error by lawyer - duty to withdraw (r.
Will (Joint) for spouses/partners - joint 7.8) 46(R) 2.1
retainers - conflict of interest - written Withdrawal from representation -
consent after warning 35(LR) 8.1 organization engages in illegal conduct -
Wire or Electornic transfer - provide details conduct not abandoned (r. 3.2-8) 29(L) 5.1
to sending party - deposit only 113(L) 5 Withdrawal from representation -
Withdrawal - conflict of interest (r. 3.4-1, organizational client’s dishonesty,
3.4-3, and 3.7-7) 33(L) 4.3 criminality, fraud, or illegality (r. 3.2-7 - 3.2- 44(R) -
8 and commentary) 45(L) 2.4
Withdrawal - during client identification/
verification process - illegal or dishonest Withdrawal from trust - authorized
conduct (By-Law 7.1,s. 24) 20(R) 3.6 individuals - requirements 112(LR) 4.3.3
Withdrawal - general account - HST 109(L) 3.3 Withdrawal from trust - electronic
withdrawal - error corrections 112(L) 4.3.2
Withdrawal - general account (general 108(R) -
disbursements) 109(L) 3.2 Withdrawal from trust - electronic 111(R) -
withdrawal - requirements 112(L) 4.3.2
Withdrawal - Joint Clients - Conflict 17(L) 2.1
Withdrawal from trust - fund transfer - 112(R) 4.3.4
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requirements Withdrawal of services - generally 65(L) Intro

Withdrawal from trust - lawyer’s fees Withdrawal of services - good cause and
methods 111(R) 4.3.2 reasonable notice (r. 3.7-1 and
Withdrawal from trust - mistaken commentary) 65(LR) 1
withdrawal - corrections 112(R) 4.3.4 Withdrawal of services - joint retainer -
Withdrawal from trust - mistaken contentious issue (r. 3.4-8 - 3.4-9 and 3.7- 34(R) -
withdrawal - financial institution 112(R) 4.3.4 8 - 3.7-9) 35(L) 7.2
Withdrawal obligations - during client Withdrawal of services - leaving,
identification/verification - client illegal or dismantling a law firm (r. 3.7.7A and 67(L) -
dishonest conduct (By-Law 7.1,s. 24) 20(R) 3.6 commentary) 68(L) 5
Withdrawal of services - client file - Withdrawal of services - mandatory 67(L) 4
transfer or return 68(R) 6.2 Withdrawal of services - mandatory - list of
Withdrawal of services - confidentiality (r. circumstances (r. 3.7-7 and commentary) 67(L) 4
3.3-1 and commentary) 68(R) 6.1 Withdrawal of services - manner of
Withdrawal of services - conflict of interest withdrawal - obligations (r. 3.7-8 - 3.7-9
- lawyer asked to draw up will where and commentary) 68(LR) 6
receives bequest (r. 3.4-38 - 3.4-39) 41(R) 12.4 Withdrawal of services - non-payment by
Withdrawal of services - conflict of interest client - lawyer’s duties 51(R) 1
(r. 3.4-1, 3.4-3, and 3.7-7) 33(L) 4.3 Withdrawal of services - non-payment of
Withdrawal of services - criminal - fees - optional 65(R) 2
generally 66(LR) 3 Withdrawal of services - omission or error
Withdrawal of services - criminal - lawyer’s by lawyer (r. 7.8) 46(R) 2.1
duties on withdrawal (r. 3.7-4 and Withdrawal of services - optional - good
commentary) 66(R) 3.1 cause + reasonable notice + no prejudice
Withdrawal of services - criminal - non- to client 65(R) 2
payment of fees - serious prejudice - not Withdrawal of services - optional - non-
permitted 66(R) 3.1 payment of fees (r. 3.7-3) 66(L) 2.2
Withdrawal of services - criminal - not Withdrawal of services - optional - serious
permitted - insufficient time before trial (r. 66(R) - loss of confidence (r. 3.7-2 and 65(R) -
3.7-5) 67(L) 3.2 commentary) 66(L) 2.1
Withdrawal of services - criminal - Withdrawal of services - optional
permission of trial judge (r. 3.7-6 and withdrawal 65(R) 2
commentary) 67(L) 3.3
Withdrawal of services - reasonable notice
Withdrawal of services - criminal - (r. 3.7-1 and commentary) 65(LR) 1
permitted (sufficient time before trial) (r.
3.7-4 and commentary) 66(R) 3.1 Withdrawal of services - serious loss of 65(R) -
confidence - examples 66(L) 2.1
Withdrawal of services - criminal -
sufficient interval 66(LR) 3 Withdrawal of services - serious loss of 65(R) -
confidence - r. 3.7-2 and commentary 66(L) 2.1
Withdrawal of services - criminal - with
permission - insufficient time before trial - Withdrawal of services - written
adequate cause other than nonpayment of confirmation 68(R) 6.2
fees (r. 3.7-6 and commentary) 67(L) 3.3 113(R) -
Withdrawal of services - discuss with client Withdrawl slip - records 114(L) 5.1
at outset of relationship (r. 3.7-1 and Withdrawl slip - records - duplicate for 113(R) -
commentary) 65(LR) 1 records 114(L) 5.1
Withdrawal of services - duties of Witnesses - avoid communication 86(L) 4.3.3
successor lawyer (r. 3.7-10 and 68(R) -
Witnesses - communication with witness
commentary) 69(L) 7
giving evidence (r. 5.4-2) 85(LR) 4.3
Withdrawal of services - duties upon
Witnesses - duty not to influence or
withdrawal for any reason (r. 3.7-8 - 3.7-9
mistreat (r. 5.1-2(j), (m), (o), 5.3-1, 7.2-6,
and commentary) 68(LR) 6
and 7.2-8 - 7.2-8.2 and commentary) 83(R) 3.5
Withdrawal of services - duty to withdraw
Witnesses - giving evidence -
due to lawyer’s error (r. 7.8) 46(R) 2.1
communication with (r. 5.4-2) 85(LR) 4.3
Withdrawal of services - error or omission
Witnesses - interviewing - represented
by lawyer (r. 7.8) 46(R) 2.1
persons 85(L) 4.2
Withdrawal of services - fees, non-
payment by client - lawyer’s duties 51(R) 1 Witnesses - interviewing (r. 5.3-1) 85(L) 4.1
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86(R) -
Witnesses - lawyer as witness (s. 5.2) 87(L) 6
Witnesses - lawyer dealing with witnesses
- advocacy 84(R) 4
Witnesses - lawyer may not permit to
mislead (r. 5.1-2(j), (m), (o), 5.3-1, 7.2-6,
and 7.2-8 - 7.2-8.2 and commentary) 83(R) 3.5
83(R) 3.5

84(R) - 4-
Witnesses - lawyer’s duties regarding 86(L) 4.3.3
Witnesses - other party - communication
with (r. 7.2-6) 85(R) 4.3.2
Witnesses - own witness - communication
- after examination in chief (r.5.4-2(a.2)) 85(R) 4.3.1
Witnesses - own witness - communication
-examination by opposing counsel (r. 5.4-
2(b)) 85(R) 4.3.1
Witnesses - own witness - communication
-examination in chief (r. 5.4-2(a)) 85(R) 4.3.1
Witnesses - own witness - communication
-reexamination (r. 5.4-2(c.1)) 85(R) 4.3.1
Witnesses - practical considerations 86(L) 4.3.3
Witnesses - preparing (r. 5.3-1) 85(L) 4.1
Witnesses - represented persons -
interviewing 85(L) 4.2
85(R) -
Witnesses - sympathetic + unsympathetic 86(L) 4.3.2
Witnesses - unsympathetic - lawyer’s
cross examination (r. 5.4-2(c.2)) 86(L) 4.3.2
Witnesses - unsympathetic-examination in
chief by opposing counsel (r. 5.4-2(a.1)) 86(L) 4.3.2
Witnesses - unsympathetic-reexamination
(r. 5.4-2(c.4)) 86(L) 4.3.2
Working with unauthorized persons - duty 71(R) -
to law society (r. 7.6-1.1) 72(L) 1.3
Workplace requirements-diversity policy-
10+ licensee workplace 13(R) 9.1
Workplace strategies - improving Mental
Health 102(LR) 9.1
Workplace violence and harassment - r.
6.3.1-3 - lawyers’ duties 7(R) 5.3
Written confirmation - fees, disbursements
(r. 3.6-1.1) 53(R) 2.6
Written confirmation - withdrawal from
services 68(R) 6.2
113(R) -
Written instructions before withdrawl 114(L) 5.1
X
Y
Z