1 How is any advice or recommendations communicated to and confirmed by, your clients?

3 What, if any, other regulatory bodies relate to your industry?

5 How is the filing and archiving completed at your organisation, and what is the compliance requirements for your files?

6 When you are about to complete the clients transaction how are they notified of what is about to happen – include time frames in your answer

7 How is information checked for accuracy in your organisation. What are the compliance requirements in your p+p regarding this?

8 What is an authority to proceed a confirmation notice

9 How does your organisation ensure that regulatory requirements are adhered to in its daily processes?

10 What are the possible ramifications for you and for your organisation should these statutory timelines not be met.?

15 How would a professional organization association help with compliance? How do you ensure that you are up to date with changes to the legislation listed in your answer above?

18 If a cheque is endorsed with the words 'paid under protest' is the cheque still valid?

19 Harry purchased land in Victoria. The Section 32 disclosure statement contained several 'strict' contractual conditions, which were not incorporated into the Contract Note. Advise Harry briefly if he is bound by the contractual conditions in the Section 32.

20 Gloria purchased Whiteacre. Shortly after signing the Contract of Sale as purchaser, Gloria lodged a Caveat on the title:

(a) What would the Caveat claim?

(b) What would be the grounds of the Caveat’s claim?

(c) Upon settlement, and giving ‘reasons, should Gloria lodge a withdrawal of Caveat?

23 Harry (in Melbourne) saw an advertisement for an apartment for sale 'off the plan' in New Zealand. The advertisement was on the internet. After negotiations bye-mail, Harry received a contract bye-mail, printed and signed it, posted it to New Zealand and telegraphically sent 10% deposit. If the Contract stated that the applicable law was New Zealand law, could Harry successfully argue in a dispute that Victorian Law applied?

24 What legislation is in force regarding compliance in Conveyancing? What is the documentation process for dispute resolution at your business? and then attach a copy of your policies and procedures for dispute resolution here.

25 In relation to your company's resolution process, who do you contact? What are your obligations? What procedure must you follow? What are your timeframes?

26 Before the introduction of computer titles who held the original title and duplicate title? When is the new computerised certificate of title issued? With old law land what is a deed of conveyance as opposed to a memorial of a title deed?

31 Explain a sequestration order?

33 Explain a ‘condition precedent’ and provide an example.

38 The Eastpac Bank has replied to you and you find that the vendor of Beyoncet and James' property has a $480000 mortgage. The purchase price was $720000. Is this a problem?

Respond to Beyoncet and James explaining your reasoning and then prepare relevant file notes.

James has brought to your attention that Beyoncet is meant to be on the contract,and she was not able to get to the auction where the contracts were signed . Complete a nomination form from your relevant state and include:

A register Search Statement for your home address.

A sample Section 27 statement

A sample water and rates statement

A Statutory Declaration from your State revenue office regarding transfer/nomination of 9a Lime Ct.

Record your actions and include your file notes.

1. It is recognized that the relevance of client-lawyer interaction in the context of the legal works is of high importance. In this sense, effective communication abilities become a paramount importance for a lawyer. In the absence of the same, varied communication barriers such as cultural gaps, information gap and failing to have a direct conversation can impact the outcome of the legal work (Dal Pont, 2001). The primary focus of any legal interaction be it verbal or written is to ensure that the essential information in the form of progress made within the matter, and the potential cost associated with the legal work along with the essential information pertaining to the matter is shared with the client. 

In this sense, the use of the checklist framework has been recognized as an important consideration as per which a checklist of effective communication focused on notifying any development in the case, clear comprehension through the use of legal and common terms, and maintain engagement is recognized as the primary parameters in this regard (Dal Pont, 2001). It is further reflected that along with these practice variables, a need to preserve confidential and concise documentation has been recognized as important. In this sense, a case is made to follow the guidelines proposed by the Australian Solicitors Conduct Rules 2012 (‘ASCR’), and act in the best interest of the client. Furthermore, it is recommended to discuss the interactions in the best interest of the client, and have a written record of the interaction, or some other proof as well.

3.  As per the Australian Auditing Standards ASA 102.5: 'The auditor shall comply with relevant ethical requirements, including those pertaining to independence, when performing audits, reviews and other assurance engagements' The APES 110 reflect that the focus of the accounting body must be to preserve the principles of professional ethics of the regulatory bodies. However, since, the primary responsibility is towards the client, this becomes a challenging task. In this sense, it is recognized that in case of any discrepancy, the focus should be to report towards the company and its management, as that remains the primary responsibility of the accountant. Furthermore, the focus should be towards balancing the international accounting standards, client needs and statutory responsibility towards the organization.

5. Compliance is an effective responsibility for any legal document, because often the instruction or the guidelines shared with the company cannot be disclosed individually, and has to be shared collectively. In this sense, Romney and Mula (2012) reflect that the focus must be towards comprehending the information in a simple manner. With respect to the archiving and filing, it is recognized that the focus of the company should be towards managing the cash deposit and other financial systems as clear. Further, there is a need to reflect how to secure them as per the legislative responsibilities and guidelines. Irrespective of the type of the financial documents, such as: invoices, books, working papers or any other slips, the documents must be transferrable to the hard copies (Romney and Mula, 2012). Further, as per the Section 286 of the Corporations Act, the records must be archived for up to 7 years post transactions completion (Romney and Mula, 2012).

(Some parts of the solution has been blurred due to privacy protection policy)