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Practice Management Helpline: Frequently asked questions

The Practice Management Helpline (the “Helpline”) answers questions about the Rules of Professional Conduct (“Rules”), the Paralegal Rules of Conduct (“Paralegal Rules”), and other professionalism and practice management topics. Below you will find answers to some of the questions that lawyers and paralegals ask the Helpline most frequently. To discuss a specific professionalism or practice management question, please contact the Helpline.

  • 1. Before making a decision about next steps with this professionalism issue, how can I ensure that I have covered off all bases?
    To assist lawyers and paralegals with taking a course of action that complies with their professional obligations, the Law Society has developed a Decision Making Checklist. The Checklist guides licensees through identifying issues; reviewing and applying standards; considering options; assessing risks; securing guidance and support; and documenting decision making.

    Licensees may wish to contact the Practice Management Helpline to discuss their decision making process in respect of a specific professionalism or practice management issue.
     
  • 2. When can I disclose confidential client information?
    Subject to limited exceptions, lawyers and paralegals must hold in strict confidence all information concerning the business and affairs of a client acquired during the professional relationship. Even where an exception applies, licensees must not disclose more information than is necessary. For more information on the scope of the duty of confidentiality and a summary of the exceptions to confidentiality, licensees should consult the Law Society’s Frequently Asked Questions about the Duty of Confidentiality.
  • 3. In a joint retainer, what do I do when one of my clients has asked me to withhold confidential information from the other client?
    A joint retainer is one in which a lawyer or paralegal agrees to advise or represent more than one client in a matter or transaction.

    In a joint retainer, no information received in connection with the matter can be treated as confidential as between the joint clients.  If one of the joint clients instructs you to withhold the information from the other joint client(s), you may be in a conflict of interest. The conflict arises because following the client’s instructions would result in a breach of your obligation under the Rules or Paralegal Rules to share information with all clients in the joint retainer. If the client persists in his/her instructions not to disclose the information to the other joint client(s), you would be required to withdraw from representing all clients.

    Licensees contemplating accepting a joint retainer should consult the Law Society’s Steps for Dealing with the Joint Retainer Rules (Lawyers and Paralegals).
     
  • 4. Am I in a conflict of interest on this file?
    Lawyers and paralegals have a duty to avoid conflicts of interest when practicing law or providing legal services to clients. Except as permitted under the Rules or Paralegal Rules, licensees must not act or continue to act for a client where there is a conflict of interest.

    To assist in identifying whether a conflict of interest exists, licensees should review their obligations under Section 3.4 of the Rules and Sections 3.04 to 3.06 of the Paralegal Rules, and consult the Law Society’s Steps for Dealing with Conflicts of Interest Rules (Lawyers or Paralegals).
     
  • 5. Can I withdraw from representing a client for non-payment of legal fees?
    • Requirements
      Except in quasi-criminal or criminal matters, when a client fails to provide a money retainer or to pay for legal fees and disbursements, a lawyer or paralegal may withdraw from representing the client if:
      • 1. The licensee has given the client reasonable notice of the outstanding monies or fees owing, and
        The notice should be in writing and should give the client enough advance warning that the client’s failure to remit funds within a reasonable and defined time will result in the licensee ending the retainer.
      • 2. Withdrawal will not result in serious prejudice to the client.
        Whether withdrawal seriously prejudices a client will depend on an assessment of all the relevant facts and circumstances. In cases where immediate withdrawal would cause serious prejudice to a client’s interests, the licensee must continue to act for the client competently and diligently even if the licensee is not being compensated for their time. Once the risk of serious prejudice has passed, if reasonable notice has been provided, the licensee may then consider withdrawing for non-payment of fees.
    • Direction of the Court or Tribunal
      It is important to note that withdrawal from representation for non-payment of fees is subject to the direction of the court or tribunal, where it applies. This means that the court or tribunal may exercise its discretion to refuse the lawyer or paralegal’s request if the court or tribunal determines that withdrawal would cause serious harm to the administration of justice.
    • Quasi-Criminal or Criminal Matters
      Lawyers and paralegals have different and additional obligations when withdrawing from representation for non-payment of fees in a quasi-criminal or criminal case.  
  • 6. Do my advertising or marketing materials comply with my professional obligations?
    To determine compliance,
      This review should be completed before the materials are printed, posted to your social media platforms, or submitted for publication.

    To assist with compliance, you may wish to specifically consider whether you are engaging in the following practices in your advertising or marketing and, if so, whether your advertising or marketing aligns with the applicable rules, commentaries, and/or guidelines identified below.  If you would like to discuss the below standards and/or your advertising or marketing practices, please contact the Helpline. However, please note that neither the Helpline nor any other department of the Law Society will provide advanced rulings on the compliance of advertising or marketing materials with a lawyer or paralegal’s professional obligations.
  • 7. Where can I find information about client identification and verification?
    Lawyer and paralegal obligations in respect of identifying or verifying the identity of clients are set out in Part III of By-Law 7.1.  Effective January 1, 2022, the client identification and verification procedures in By-Law 7.1 were amended to help combat money laundering, terrorist financing and other illegal activities.

    The Law Society has developed resources to assist licensees with understanding and applying their identification and verification obligations as required by By-Law 7.1. These resources and other supports are available on the Law Society’s Client Identification and Verification Requirements page.
     
  • 8. I am a paralegal. Is this proceeding or activity within my permitted scope of practice?
    Paralegals are authorized to represent persons in certain proceedings and to engage in specific activities related to such proceedings. Proceedings and activities within paralegal scope of practice, and the practice areas, proceedings, and activities paralegals ask about most frequently are explained below.
     
    • Types of Proceedings
      For the purpose of a paralegal’s scope of practice, proceeding means a proceeding or intended proceeding
       
      • in the Small Claims Court
      • in the Ontario Court of Justice under the Provincial Offences Act
      • in a summary conviction court under the Criminal Code (Canada) (“Code”) in respect of
        • an offence where as of September 18, 2019 an accused was permitted to appear or examine or cross-examine witnesses by agent. 
        • an offence under ss. 320.13(1) (dangerous operation), 320.16(1) (failure to stop after accident), 320.17 (flight from peace officer), or 320.18(1) (operation while prohibited) of the Code.
      • before administrative tribunals established under an Act of the Legislature of Ontario or under an Act of Parliament.
      • before a person dealing with a Statutory Accident Benefits Schedule (SABS) claim or a matter related to a SABS claim (excluding a claim of an individual who has or appears to have a catastrophic impairment within the meaning of the SABS), including mediation, evaluation, arbitration, or related proceedings under the Insurance Act.
    • Activities in Relation to these Proceedings
      A paralegal is permitted to engage in the following activities on behalf of clients in relation to a proceeding or intended proceeding described above:
       
      • Providing legal advice. Give legal advice concerning the client’s legal interests, rights, or responsibilities with respect to the proceeding or the client matter that is the subject of the proceeding.
      • Preparing documents. Select, draft, complete, or revise a document for use in the proceeding or a document  that affects a client’s legal interests, rights, or responsibilities with respect to the proceeding or the client matter that is the subject of a proceeding, or assist another to do any of these things.
      • Participating in negotiations. Negotiate a client’s legal interests, rights, or responsibilities that relate to the proceeding or the client matter that is the subject of the proceeding.
      • Engaging in other permissible activities. Anything mentioned in s. 1(7) of the Law Society Act (e.g., determining what documents to serve or file in relation to a proceeding), provided the activity is required by the rules of procedure governing the proceeding.
    • Matters before Administrative Tribunals
      As noted above under Types of Proceedings, paralegals are permitted to represent clients before administrative tribunals established under an Act of the Legislature of Ontario or under an Act of Parliament. Examples of such administrative tribunals include:
       
      • Financial Services Tribunal
      • Immigration and Refugee Board
      • Workplace Safety and Insurance Board
      • Workplace Safety and Insurance Appeals Tribunal
      • Landlord and Tenant Board
      • Human Rights Tribunal of Ontario
      • Social Benefits Tribunal
      • Licence Appeal Tribunal
      • Assessment Review Board
      • Ontario Land Tribunal (including those originally brought before the Local Planning Appeal Tribunal)
      • Ontario Labour Relations Board
      • Alcohol and Gaming Commission of Ontario
      • Agriculture, Food and Rural Affairs Appeal Tribunal
      • Health Professions Appeal and Review Board
      • Ontario Highway Transport Board, and
      • Ontario Parole Board.

      Note, this list of administrative tribunals is not exhaustive. For an administrative tribunal not listed above, paralegals should assess whether the tribunal was established under an Act of the Legislature of Ontario or under an Act of Parliament.
       
    • Immigration Law
      Paralegals are permitted to represent clients in a hearing before the Immigration and Refugee Board (IRB), and can provide legal services to clients for matters relating to an IRB hearing. 

      Completing application forms, drafting documents, or providing other legal services that are not related to an IRB hearing remain outside of a paralegal’s permitted scope of practice. For example, if a client requests assistance from a paralegal with completing a start-up visa application, the paralegal must decline to assist.
       
    • Criminal Law
      Information about the types of summary offences under the Code for which paralegals are permitted to represent clients can be found here.

      Note, even though the Youth Criminal Justice Act (“YCJA”) applies the Code to youth criminal justice proceedings, paralegals are not permitted to represent clients in YCJA matters. See the YCJA Paralegal Licensing Process FAQ for more information on this prohibition.
       
    • Examples of Prohibited Proceedings and Activities
      Paralegals are prohibited from:
       
      • Handling family law matters
      • Representing clients in YJCA matters
      • Drafting wills
      • Conducting real estate transactions
      • Advising on corporate matters, and
      • Providing any other legal services that
        • are not related to a proceeding or intended proceeding identified under By-Law 4, or
        • only a lawyer can provide.

      Note, this list of prohibited proceedings and activities is not exhaustive. Paralegals should consult By-Law 4 when determining whether they are permitted to take on a client matter or perform a task in relation to a client matter.
       
  • 9. Has the Law Society endorsed or approved any products, software, applications, service providers or other such tools to assist licensees in managing their practice?
    No. The Law Society does not endorse, approve, or recommend any products, software, applications, service providers or other such tools for use by lawyers or paralegals in their professional business.  Licensees who use any of the aforementioned to assist them in their professional business must do so within the parameters of their professional obligations under the Law Society Act, the regulations and by-laws made thereunder and the Law Society’s Rules or Paralegal Rules, as applicable. 

    Licensees have a duty of technological competence. To maintain the required level of competence, licensees should develop an understanding of and ability to use, technology relevant to the nature and area of their practice and responsibilities. Licensees should also understand the benefits and risks associated with their use of any products, software, applications, service providers or other technology relevant to their professional business.  For more information, licensees may wish to consult the following sections of the Law Society’s Technology Resource Centre:
     
    • The Practice resources and supports section for support in building, maintaining, and enhancing technological competence, and
    • The Training and tutorials section for quick how-to tutorials and explainer videos for some of the technology products commonly used to support the practice of law or provision of legal services.
  • 10. What do I need to know about travelling across borders with electronic devices?
    • The risk
      Ontario lawyers and paralegals travelling internationally with electronic devices (including smart phones, tablets, laptops, portable drives, and USBs) face increasing uncertainty about how these devices will be treated by Canadian Border Security Agency officers on return to Canada, by U.S. border agents, or by border agents in other international destinations. Licensees are not immune to search policies and processes that could result in the disclosure of their clients’ confidential information when crossing the border.
    • Duty of confidentiality
      The search of a licensee’s electronic device at the border that contains confidential client information engages the licensee’s duty of confidentiality. Licensees are required to hold in strict confidence all information concerning the business and affairs of their clients that is acquired in the course of the professional relationship, subject to limited exceptions.
    • How to reduce risk of a breach
      To assist the legal professions with proactively managing the risks of travelling internationally with electronic devices, the Federation of Law Societies of Canada has published Crossing the border with electronic devices: What Canadian legal professionals should know. The document provides background information about border searches, an overview of a lawyer and paralegal’s professional responsibilities in this context, and some suggestions on how to assess and mitigate risks associated with border searches. Questions regarding the constitutionalityof some search provisions under the Customs Act have arisen after this document was published.
       
    • What to do in the event of a breach
      In the case of a breach of client confidential information at the border or otherwise, lawyers are required to comply with their errors and omissions obligations. Specifically, licensees must promptly inform the client of the confidentiality breach, recommend that the client obtain independent legal advice concerning any rights the client may have arising from the breach, and advise the client that the licensee may no longer be able to act for the client. Licensees are also required to report the breach to their insurers.
  • 11. Can electronic signatures be used to execute documents?
    The Law Society does not regulate how documents are executed. This is a substantive legal issue and is context specific. Lawyers and paralegals should, therefore, review applicable legislation to determine if electronic signatures are permitted in the context of their matters. For example:
     
  • 12. Where can I find supports or resources for my substantive or procedural law question?
  • 13. What should lawyers or paralegals do to plan for practice interruptions?
    Lawyers and paralegals should have disaster or business continuity plans in place for their workplaces. These plans should address situations involving a serious infectious disease outbreak, including a pandemic or a severe seasonal outbreak that results from a virus or other agent (“pandemic plan”).  Licensees should ensure that their pandemic plans meet their specific business and operational needs, and comply with legislative and regulatory requirements, restrictions, and public health recommendations.

    If licensees do not have such plans in place, they should consider reviewing the below resources and following the recommended planning steps identified therein:
     
  • 14. What should I do if I have to wind-up my practice temporarily or permanently?
    If you intend to temporarily or permanently wind-up your practice, or if you have questions about the procedures and requirements to wind-up your practice and/or to close your trust account, please review the resources available here. If you still have questions about winding-up your practice, you can contact Trustee Services by email at PracticeWindUpAssistance@lso.ca. If you do not have access to email, you may contact Trustee Services by phone at 416-947-3366, toll-free 1-800-668-7380 ext. 3366.
Last updated: March 7, 2024
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