N.Y. Comp. Codes R. & Regs. tit. 22 § 691.12

Current through Register Vol. 46, No. 50, December 11, 2024

Section 691.12 - Regulations and procedures for random review and audit and biennial affirmation of compliance

(a) Availability of bookkeeping records; random review and audit. The financial records required by rule 1.15 of Part 1200 of this Title shall be available at the principal New York State office of the attorneys subject hereto, for inspection, copying and determination of compliance with rule 1.15 of Part 1200 of this Title, to a duly authorized representative of the court pursuant to the issuance, on a randomly selected basis, of a notice or subpoena by this court or the appropriate grievance committee.

(b) Confidentiality. All matters, records and proceedings relating to compliance with rule 1.15 of Part 1200 of this Title, including the selection of an attorney for review hereunder, shall be kept confidential in accordance with applicable law, as and to the extent required of matters relating to professional discipline.

(c) Prior to the issuance of any notice or subpoena in connection with the random review and audit program established by this section, the appropriate grievance committee shall propose regulations and procedures for the proper administration of the program. The court shall approve such of the regulations and procedures of the grievance committee as it may deem appropriate, and only such regulations and procedures as have been approved by the court shall become effective.

(d) Any attorney subject to this court's jurisdiction shall execute that portion of the biennial registration statement provided by the Office of Court Administration affirming that the attorney has read and is in compliance with rule 1.15 of Part 1200 of this Title. The affirmation shall be available at all times to the grievance committees. No affirmation of compliance shall be required from a full-time judge or justice of the Unified Court System of the State of New York or of a court of any other state, or of a Federal court.

N.Y. Comp. Codes R. & Regs. Tit. 22 § 691.12