Hong Kong Regulations

SOLICITORS (PROFESSIONAL INDEMNITY) RULES,SOLICITORS (PROFESSIONAL INDEMNITY) RULES - RULE 8

Production of documents and information

(Past version on 08/09/2004).
(Past version on 01/10/2001).
(Past version on 29/10/1999).
(Past version on 30/06/1997).

(1) Subject to subrule (3) every principal who is in Practice in Hong Kong
shall, on or before 15 August in each indemnity period or such other date as
may be allowed by the Council, produce to the Company or to a person specified
by the Company-

   (a)  (i) a report in such form as the Company may specify with the approval
        of the Council and signed by a certified public accountant
        (practising) containing particulars of the gross fee income in
        accordance with this rule attributable to the Practice for the
        immediately preceding accounting year of the Practice; or (23 of 2004
        s. 56; L.N. 154 of 2007)

        (ii)   if a report mentioned in subparagraph (i) is not available,
               subject to the approval of the Council and such terms as the
               Council may think fit, a report in such form as the Company may
               specify and signed by a certified public accountant
               (practising) containing particulars of the gross fee income
               attributable to the Practice for the accounting year of the
               Practice ending not earlier than 31 March in the preceding
               year; and (L.N. 266 of 1999; 23 of 2004 s. 56; L.N. 154 of
               2007)

   (b)  such other information in connection with the Practice made up to 31
        July (or other date as determined by the Council) in the same
        indemnity period required by the Company in a form approved by the
        Company for the purpose of assessing the contributions payable by that
        Practice, including the following-

        (i)    (in addition to the report referred to in paragraph (a))
               particulars of the gross fee income attributable to the
               Practice for the immediately preceding accounting year of the
               Practice; (L.N. 154 of 2007)

        (ii)   the names of all the principals in the Practice;

        (iii)  the names of all foreign lawyers in the Practice;

        (iv)   the names of all other solicitors, including assistant
               solicitors and consultants employed in or otherwise involved in
               the Practice;

        (v)    the names of all trainee solicitors in the Practice; and

        (vi)   the name and address of the firm carrying on the Practice.
               (L.N. 266 of 1999)

   (c)  (Repealed L.N. 266 of 1999)

(2) Production with the approval of the Council of a certified public
accountant (practising)'s report of gross fee income for a period other than
the immediately preceding accounting year of the Practice, in accordance with
subrule (1)(a)(ii), shall not relieve any principal in that Practice of his
obligation to produce to the Company a report in respect of the immediately
preceding accounting year of the Practice and such report, when available,
shall be produced immediately on demand by the Society or the Company. (L.N.
162 of 2001; 23 of 2004 s. 56; L.N. 154 of 2007)

(3) If a principal in a Practice supplies particulars of the gross  fee income
of the Practice and the other information in connection with the Practice in
accordance with subrule (1) or (2), the other principals in the same Practice
shall not in addition be required to supply such particulars or information.

(4) Subject to subrule (3), if any principal referred to in subrule

(1) fails to show reasonable cause for not supplying particulars of the
gross fee income of the Practice or the other information in connection with
the Practice, in accordance with subrule (1) or (2) within 30 days of the
receipt of notice from the Society requesting him to show reasonable cause for
not supplying the particulars or the other information- (L.N. 162 of 2001)

   (a)  such failure shall be an event of professional misconduct on the part
        of such principal and the other principal or principals in such
        Practice as at the date of such failure; and

   (b)  without prejudice to any other power or remedy of the Society, the
        Council may apply to the Court for an order compelling such principal
        or each of the other principals in the Practice to disclose such
        particulars and information. (Enacted 1989. L.N. 266 of 1999)