STANDING COMMITTEE ON COMPLIANCE
CHAIRMAN : Stephen W.S. Hung 熊 运 信
VICE-CHAIRMAN: Angela W.Y. Lee 李 慧 贤
COUNCIL MEMBER(S)
Denis G. Brock 白 乐 德
Stephen W.S. Hung 熊 运 信
Angela W.Y. Lee 李 慧 贤
Peter C.L. Lo 罗 志 力
Billy W.Y. Ma 马 华 润
Gavin P. Nesbitt 倪 广 恒
Kenneth S.Y. Ng 伍 成 业
NON-COUNCIL MEMBER(S)
Alfred K.H. Chan 陈 启 鸿
Charles C.C. Chau 周 致 聪
K. K. Lai 黎 国 光
Henson Lam 林 君 良
Andrew Y.B. Lee 李 应 彪
Jason C.K. Li 李 志 光
Catherine L.M. Mun 文 理 明
Hanifa Ramjahn 林 沛 思
Annie P.Y. Wong 黄 栢 欣
SECRETARY : Margot Tung 董 彦 嘉
TERMS OF REFERENCE
- To formulate and, where appropriate, to make recommendations
to the Council on policy for :-
(i) the investigation of allegations of professional misconduct
and matters of compliance;
(ii) regulation of the profession;
(iii) certification of Law Costs Draftsmen;
(iv) registration of foreign law firms, foreign lawyers and associations;
and
(v) any other matters considered to warrant consideration by that
body.
- To monitor the work of the Conduct Section and Registration
Section in carrying out such policies.
- To consider and adjudicate upon allegations of professional
misconduct that are of particular sensitivity, importance or complexity.
- To oversee the work of and consider all requests for review
of decisions of the Investigation Committees and the Consents
Committee and to refer to the Council any such requests on matters
of particular sensitivity, importance or complexity for ultimate
decision upon review or for policy direction.
- To adjudicate and issue letters of disapproval (or any other
sanction authorized by the Council from time to time) in respect
of matters of professional misconduct. D1
- To oversee the administration of the authorized clerks scheme
and to make recommendations to the Council from time to time.
- To consider of its own motion or recommendations from Investigation
Committees for submission of matters to the Tribunal Convenor
of the Solicitors' Disciplinary Tribunal Panel, and to report
such submissions to the Council.
- To appoint prosecutors for disciplinary proceedings from either
within the Secretariat or by instructing solicitors firms or barristers
and to monitor the progress of those proceedings giving instructions
to prosecutors from time to time.
- To monitor the progress of appeals against Disciplinary Tribunal
Findings and Orders and to appoint and give instructions to the
Society's legal representatives.
- To authorize intervention in a solicitors practice where,
in the opinion of the committee, circumstances have arisen warranting
the exercise of the statutory powers vested in the Council.
- To exercise the power to require production of documents and
to make recommendations to the Council for the exercise of the
powers under S.8A of the Legal Practitioners Ordinance to suspend
a solicitor from practice or foreign lawyer from registration
and refer the matter to the Tribunal Convenor of the Solicitors'
Disciplinary Tribunal Panel.
- To make recommendations to the Council on the exercise of
the powers under S.8AA of the Legal Practitioners Ordinance.
- To sub-delegate any of its powers to such committees or members
of the Secretariat as appropriate.
- To authorize liaison with other bodies and disclosure of sensitive
information to them.
- To appoint accountants, investigators, agents, advisers or
such other individuals or organizations as may be deemed appropriate
to assist in the investigation of complaints.
- To authorize the payments of fees incurred in investigations,
disciplinary proceedings, appeals and interventions.
- To monitor and make recommendations on expenditure in connection
with the Compliance Department budget, staffing, and capital expenditure
on support equipment.
- To monitor statistics and trends in the work of the Conduct
Section and Registration Section and to report to the Council.
- To make recommendations to the Standing Committee on Standards
and Development for legislative or rule changes.
- To make recommendations to the Standing Committee on Practitioners
Affairs on matters of concern to the profession generally.
- To lay down and review from time to time the terms of reference
of Investigation Committees and the Consents Committee, to review
from time to time the terms of reference of the Standing Committee
on Compliance and to make recommendations to Council for their
amendment.
- To exercise such other powers as may be delegated from time
to time by the Council.
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