The Law Society’s goal is to improve compliance and focus resources on proactive initiatives such as risk mitigation and early intervention. We know that trust safety issues often indicate trouble within a practice. By identifying issues early on, we can support lawyers and firms before underlying issues escalate and cause severe consequences to the public, the profession and the lawyers involved.

All law firms are subject to a compliance audit to ensure their books, records and accounts comply with the requirements of the Rules of the Law Society of Alberta (Rule 119.59).

Compliance audits are an integral part of the Law Society’s quality assurance activities in the public interest. They are designed to provide a layer of assurance, in addition to the law firm’s annual trust safety filings, to adequately respond to emerging risks.

The Law Society primarily initiates audits using a risk-based assessment system. The Trust Safety department may also initiate a random audit of any lawyer or law firm’s financial or other records, including the general or trust account. Both risk-based and random audits are completed to ensure proper regulation and oversight of trust funds.

In accordance with Rule 119.2, a lawyer or law firm may not refuse to give evidence, answer inquiries or produce or make available any records or other property in compliance with the firm’s obligations under Part 5 on the grounds of solicitor and client privilege.

The Law Society recognizes that audits are disruptive to the lawyer and law firm being audited. We strive to conclude the audit quickly and with as little disturbance as possible.