LSUC-Spot Audits

The Law Society of Upper Canada

Spot Audit supports and promotes high quality law firm record keeping by answering questions and providing guidance regarding private mortgages, trust and general record keeping requirements, and By-Law 9 and providing onsite support and ensuring compliance with LSUC requirements by conducting audits.

Spot Audits measure the integrity of law firm financial filing (By-Law 8), assess ongoing compliance with financial record-keeping requirements (By-Law 9) and the Rules of Professional Conduct, and identify serious misconduct related to financial matters.

In addition to examining law firm financial records, spot audits also provide an in-depth review of client files, in cases where the firm acts for private lenders or a lawyer of the firm exercises control over a client's estate. Research has shown that the areas of practice that account for the largest number of Compensation Fund claims are private mortgage investments and control of estate funds. Retrieved from

If your law firm has been selected by the Law Society for a spot audit, ABAP will do whatever it takes to ensure you pass your LSUC audit.

Our pre-audit review will greatly reduce your risk of non-compliance. Our post-audit service will help you address any issues raised by the auditor.