24 October 2017

Annexe Q - European Lawyers Code of Conduct

From 6 January 2014 the Bar should refer to a  new Handbook for rules and guidance on their conduct as barristers.

1 Preamble

1.1 The Function of the Lawyer in Society

 In a society founded on respect for the rule of law the lawyer fulfils a special role. The lawyer's duties do not begin and end with the faithful performance of what he or she is instructed to do so far as the law permits. A lawyer must serve the interests of justice as well as those whose rights and liberties he or she is trusted to assert and defend and it is the lawyer's duty not only to plead the client's cause but to be the client's adviser.  Respect for the lawyer's professional function is an essential condition for the rule of law and democracy in Society.

 A lawyer's function therefore lays on him or her a variety of legal and moral obligations (sometimes appearing to be in conflict with each other) towards:-

1.2 The Nature of Rules of Professional Conduct

1.2.1 Rules of professional conduct are designed through their willing acceptance by those to whom they apply to ensure the proper performance by the lawyer of a function which is recognised as essential in all civilised societies. The failure of the lawyer to observe these rules  may result in a disciplinary sanctions.

1.2.2 The particular rules of each Bar or Law Society arise from its own traditions. They are adapted to the organisation and sphere of activity of the profession in the Member State concerned and to its judicial and administrative procedures and to its national legislation. It is neither possible nor desirable that they should be taken out of their context nor that an attempt should be made to give general application to rules which are inherently incapable of such application.

The particular rules of each Bar and Law Society nevertheless are based on the same values and in most cases demonstrate a common foundation.

1.3 The Purpose of the Code

1.3.1 The continued integration of the European Union and European Economic Area and the increasing frequency of the cross-border activities of lawyers within the European Economic Area have made necessary in the public interest the statement of common rules which apply to all lawyers from the Community whatever Bar or Law Society they belong to in relation to their cross-border practice. A particular purpose of the statement of those rules is to mitigate the difficulties which result from the application of "double deontology", notably as set out in Articles 4 and 7.2 of Directive 77/249/EEC and Articles 6 and 7 of Directive 98/5/EC.

1.3.2 The organisations representing the legal profession through the CCBE propose that the rules codified in the following articles:-

They further express the wish that the national rules of deontology or professional practice be interpreted and applied whenever possible in a way consistent with the rules in this Code.

After the rules in this Code have been adopted as enforceable rules in relation to a lawyer's cross-border activities the lawyer will remain bound to observe the rules of the Bar or Law Society to which he or she belongs to the extent that they are consistent with the rules in this Code.

1.4 Field of Application - Ratione Personae

This code shall apply to lawyers of the European Union and European Economic Area as they are defined by the Directive 77/249/EEC and by Directive 98/5/EC and to lawyers of the Observer members of the CCBE.

1.5 Field of Application Ratione Materiae

Without prejudice to the pursuit of a progressive harmonisation of rules of deontology or professional practice which apply only internally within a Member State, the following rules shall apply to the cross-border activities of the lawyer within the European Union and European Economic Area. Cross-border activities shall mean:-

(a) all professional contacts with lawyers of Member States other than the lawyer's own;  and

(b) the professional activities of the lawyer in a Member State other than his or her own, whether or not the lawyer is physically present in that Member State.

1.6 Definitions

In this Code:

"Member State" means a Member State of the EU or any other state whose legal profession is included in Article 1.4.

"Home Member State" means the Member State where the lawyer acquired his or her professional title.

"Host Member State" means any other Member State where the lawyer carries on cross-border activities.

"Competent authority" means the professional organisation(s) or authority(ies) of the Member State concerned responsible for the laying down of rules of professional conduct and the administration of discipline of lawyers.

"Directive 77/249/EEC" means Council Directive 77/249/EEC of 22 March 1977 to facilitate the effective exercise by lawyers of freedom to provide services.

"Directive 98/5/EC" means Directive 98/5/EC of the European Parliament and of the Council of 16 February 1998 to facilitate practice of the profession of lawyer on a permanent basis in a Member State other than that in which the qualification was obtained.

2 General Principles

2.1 Independence

2.1.1 The many duties to which a lawyer is subject require the lawyer's absolute independence, free from all other influence, especially such as may arise from his or her personal interests or external pressure. Such independence is as necessary to trust in the process of justice as the impartiality of the judge. A lawyer must therefore avoid any impairment of his or her independence and be careful not to compromise his or her professional standards in order to please the client, the court or third parties.

2.1.2 This independence is necessary in non-contentious matters as well as in litigation. Advice given by a lawyer to the client has no value if the lawyer gives it only to ingratiate him or herself, to serve his or her personal interests or in response to outside pressure.

2.2 Trust and Personal Integrity

Relationships of trust can only exist if a lawyer's personal honour, honesty and integrity are beyond doubt. For the lawyer these traditional virtues are professional obligations.

2.3 Confidentiality

2.3.1 It is of the essence of a lawyer's function that the lawyer should be told by his or her client things which the client would not tell to others, and that the lawyer should be the recipient of other information on a basis of confidence. Without the certainty of confidentiality there cannot be trust. Confidentiality is therefore a primary and fundamental right and duty of the lawyer.

The lawyer's obligation of confidentiality serves the interest of the administration of justice as well as the interest of the client.  It is therefore entitled to special protection by the State.

2.3.2 A lawyer shall respect the confidentiality of all information that becomes known to the lawyer in the course of his or her professional activity.

2.3.3 The obligation of confidentiality is not limited in time.

2.3.4 A lawyer shall require his or her associates and staff and anyone engaged by him or her in the course of providing professional services to observe the same obligation of confidentiality.

2.4 Respect for the Rules of Other Bars and Law Societies

When practising cross-border, a lawyer from another Member State may be bound to comply with the professional rules of the Bar or Law Society of the host Member State. Lawyers have a duty to inform themselves as to the rules which will affect them in the performance of any particular activity.

Members of organisations of CCBE are obliged to deposit their Code of Conduct at the Secretariat of CCBE so that any lawyer can get hold of the copy of the current Code from the Secretariat.

2.5 Incompatible Occupations

2.5.1 In order to perform his or her functions with due independence and in a manner which is consistent with his or her duty to participate in the administration of justice a lawyer may be prohibited from undertaking certain occupations.

2.5.2 A lawyer who acts in the representation or the defence of a client in legal proceedings or before any public authorities in a host Member State shall there observe the rules regarding incompatible occupations as they are applied to lawyers of the host Member State.

2.5.3 A lawyer established in a host Member State in which he wishes to participate directly in commercial or other activities not connected with the practice of the law shall respect the rules regarding forbidden or incompatible occupations as they are applied to lawyers of that Member State.

2.6 Personal Publicity

2.6.1 A lawyer is entitled to inform the public about his or her services provided that the information is accurate and not misleading, and respectful of the obligation of confidentiality and other core values of the profession.

2.6.2 Personal publicity by a lawyer in any form of media such as by press, radio, television, by electronic commercial communications or otherwise is permitted to the extent it complies with the requirements of 2,.6.1.

2.7 The Client's Interests

Subject to due observance of all rules of law and professional conduct, a lawyer must always act in the best interests of the client and must put those interests before the lawyer's own interests or those of fellow members of the legal profession.

2.8 Limitation of Lawyer's Liability towards the client

To the extent permitted by the law of the Home member State and the Host member State, the lawyer may limit his or her liabilities towards the client in accordance with the professional rules t to which the lawyer is subject.

3  Relations with Clients

3.1 Acceptance and Termination of Instructions

3.1.1 A lawyer shall not handle a case for a party except on that party's instructions. The lawyer may, however, act in a case in which he or she has been instructed by another lawyer acting for the party or where the case has been assigned to him or her by a competent body.

The lawyer should make reasonable efforts to ascertain the identity, competence and authority of the person or body who instructs him or her when the specific circumstances show that the identity, competence and authority are uncertain.

3.1.2 A lawyer shall advise and represent the client promptly conscientiously and diligently. The lawyer shall undertake personal responsibility for the discharge of the client's instructions and shall keep the client informed as to the progress of the matter with which the lawyer has been entrusted.

3.1.3 A lawyer shall not handle a matter which the lawyer knows or ought to know he or she is not competent to handle, without co-operating with a lawyer who is competent to handle it.

A lawyer shall not accept instructions unless he or she can discharge those instructions promptly having regard to the pressure of other work.

3.1.4 A lawyer shall not be entitled to exercise his or her right to withdraw from a case in such a way or in such circumstances that the client may be unable to find other legal assistance in time to prevent prejudice being suffered by the client.

3.2 Conflict of Interest

3.2.1 A lawyer may not advise, represent or act on behalf of two or more clients in the same matter if there is a conflict, or a significant risk of a conflict, between the interests of those clients.

3.2.2 A lawyer must cease to act for both or all of the clients  concerned when a conflict of interests arises between those clients and also whenever there is a risk of a breach of confidence or where the lawyer's independence may be impaired.

3.2.3 A lawyer must also refrain from acting for a new client if there is a risk of a breach of confidences entrusted to the lawyer by a former client or if the knowledge which the lawyer possesses of the affairs of the former client would give an undue advantage to the new client.

3.2.4 Where lawyers are practising in association, paragraphs 3.2.1 to 3.2.3 above shall apply to the association and all its members.

3.3 Pactum de Quota Litis

3.3.1 A lawyer shall not be entitled to make a pactum de quota litis.

3.3.2 By "pactum de quota litis" is meant an agreement between a lawyer and the client entered into prior to the final conclusion of a matter to which the client is a party, by virtue of which the client undertakes to pay the lawyer a share of the result regardless of whether this is represented by a sum of money or by any other benefit achieved by the client upon the conclusion of the matter.

3.3.3 The pactum de quota litis does not include an agreement that fees be charged in proportion to the value of a matter handled by the lawyer if this is in accordance with an officially approved fee scale or under the control of the competent authority having jurisdiction over the lawyer.

3.4 Regulation of Fees

A fee charged by a lawyer shall be fully disclosed to the client, shall be fair and reasonable, and shall comply with the law and professional rules to which the lawyer is subject.

3.5 Payment on Account

If a lawyer requires a payment on account of his or her fees and/or disbursements such payment should not exceed a reasonable estimate of the fees and probable disbursements involved.

Failing such payment, a lawyer may withdraw from the case or refuse to handle it, but subject always to paragraph 3.1.4 above.

3.6 Fee Sharing with Non-Lawyers

3.6.1 A lawyer may not share his or her fees with a person who is not a lawyer except where an association between the lawyer and the other person is permitted by the laws and the rules to which the lawyer is subject.

3.6.2 The provisions of 6.1 above shall not preclude a lawyer from paying a fee, commission or other compensation to a deceased lawyer's heirs or to a retired lawyer in respect of taking over the deceased or retired lawyer's practice.

3.7 Legal Aid

3.7.1 The lawyer should at all times strive to achieve the most cost effective resolution of the client's dispute and should advise the client at appropriate stages as to the desirability of attempting a settlement and/or a reference to alternative dispute resolution.

3.7.2 A lawyer shall inform the client of the availability of legal aid where applicable.

3.8 Client Funds

3.8.1 Lawyers who come into possession of funds on behalf of their clients or third parties (hereinafter called "client funds") have to deposit such money into an account of a bank or similar institution subject to supervision by a lawyer should be deposited into such an account unless the owner of such funds agrees that the funds should be dealt with otherwise.

3.8.1.1 That clients' funds shall always be held in an account in a bank or similar institution subject to supervision of Public Authority and that all clients' funds received by a lawyer should be paid into such an account unless the client explicitly or by implication agrees that the funds should be dealt with otherwise.

3.8.1.2 That any account in which the clients' funds are held in the name of the lawyer should indicate in the title or designation that the funds are held on behalf of the client or clients of the lawyer.

3.8.1.3 That any account or accounts in which clients' funds are held in the name of the lawyer should at all times contain a sum which is not less than the total of the clients' funds held by the lawyer.

3.8.1.4 That all funds shall be paid to clients immediately or upon such conditions as the client may authorise.


3.8.1.5 That payments made from clients' funds on behalf of a client to any other person including

(a) payments made to or for one client from funds held for another client and

(b) payment of the lawyer's fees,

be prohibited except to the extent that they are permitted by law or have the express or implied authority of the client for whom the payment is being made.

3.8.1.6 That the lawyer shall maintain full and accurate records, available to each client on request, showing all his dealings with his clients' funds and distinguishing clients' funds from other funds held by him.

3.8.1.7 That the competent authorities in all Member States should have powers to allow them to examine and investigate on a confidential basis the financial records of lawyers' clients' funds to ascertain whether or not the rules which they make are being complied with and to impose sanctions upon lawyers who fail to comply with those rules.

3.8.2 The lawyer shall maintain ful and accurate records showing all the lawyer's dealings with client funds and distinguishing client funds from other funds held by the lawyer.  Records may have to be kept for a certain period of time according to national rules.

3.8.3 A client account cannot be in debit except in exceptional circumstances as expressly permitted in national rules or due to bank charges, which cannot be influenced by the lawyer.  Such an account cannot be given as a guarantee or be used as a security for any reason.  There shall not be any set-off or merger between a client account and any other bank account nor shall the client funds in a client  account be available to defray money owed by the lawyer to the bank.

3.8.4 Client funds shall be transferred to the owners of such funds in the shortest period of time or under such conditions as are authorised by them.

3.8.5 The lawyer cannot transfer funds from a client account  into the lawyer's own account for payment of fees without informing the client in writing.

3.8.6 The competent authorities in Member States shall have the power to verify and examine any document regarding client funds, whilst respecting the confidentiality or legal professional privilege to which it may be subject.

3.9 Professional Indemnity Insurance

3.9.1 Lawyers shall be insurance against civil legal liability arising out of their legal practice to an extent which is reasonable having regard to the nature and extent of the risks incurred by their professional activities.

3.9.2 Should this prove impossible, the lawyer must inform the client of this situation and its consequences.

4  Relations with the Courts

4.1 Rules of Conduct in Court

A lawyer who appears, or takes part in a case, before a court or tribunal in a Member State must comply with the rules of conduct applied before that court or tribunal.

4.2 Fair Conduct of Proceedings

A lawyer must always have due regard for the fair conduct of proceedings.

4.3 Demeanour in Court

A lawyer shall while maintaining due respect and courtesy towards the court defend the interest of the client honourably and fearlessly without regard to the lawyer's own interests or to any consequences to him- or herself or to any other person.

4.4 False or Misleading Information

A lawyer shall never knowingly give false or misleading information to the court.

4.5 Extension to Arbitrators Etc

The rules governing a lawyer's relations with the courts apply also to the lawyer's relations with arbitrators and any other persons exercising judicial or quasi-judicial functions, even on an occasional basis.

5   Relations Between Lawyers

5.1 Corporate Spirit of the Profession

5.1.1 The corporate spirit of the profession requires a relationship of trust and co-operation between lawyers for the benefit of their clients and in order to avoid unnecessary litigation and other behaviour harmful to the reputation of the profession. It can, however, never justify setting the interests of the profession against those of the client.

5.1.2 A lawyer should recognise all other lawyers of Member States as professional colleagues and act fairly and courteously towards them.

5.2 Co-operation among Lawyers of Different Member States

5.2.1 It is the duty of a lawyer who is approached by a colleague from another Member State not to accept instructions in a matter which the lawyer is not competent to undertake. The lawyer should in such case be prepared to help that colleague to obtain the information necessary to enable him or her to instruct a lawyer who is capable of providing the service asked for.

5.2.2 Where a lawyer of a Member State co-operates with a lawyer from another Member State, both have a general duty to take into account the differences which may exist between their respective legal systems and the professional organisations competences and obligations of lawyers in the Member States concerned.

5.3 Correspondence Between Lawyers

5.3.1 If a lawyer intends to send communications to a lawyer in another Member State, which the sender wishes to remain confidential or without prejudice he or she should clearly express this intention prior to communicating the documents.

5.3.2 If the prospective recipient of the communication is unable to ensure their status as confidential or without prejudice he or she should inform the sender accordingly  without delay.

5.4 Referral Fees

5.4.1 A lawyer may not demand or accept from another lawyer or any other person a fee, commission or any other compensation for referring or recommending the lawyer to a client.
5.4.2 A lawyer may not pay anyone a fee, commission or any other compensation as a consideration for referring a client to him- or herself.

5.5 Communication with Opposing Parties

A lawyer shall not communicate about a particular case or matter directly with any person whom he or she knows to be represented or advised in the case or matter by another lawyer, without the consent of that other lawyer (and shall keep the other lawyer informed of any such communications).

5.6 (Deleted by decision of the CCBE Plenary Session in Dublin on 6th December 2002)

5.7 Responsibility for Fee

In professional relations between members of Bars of different Member States, where a lawyer does not confine him- or herself to recommending another lawyer or introducing that other lawyer to the client but instead him- or herself entrusts a correspondent with a particular matter or seeks the correspondent's advice, the instructing lawyer is personally bound, even if the client is insolvent, to pay the fees, costs and outlays which are due to the foreign correspondent. The lawyers concerned may, however, at the outset of the relationship between them make special arrangements on this matter. Further, the instructing lawyer may at any time limit his or her personal responsibility to the amount of the fees, costs and outlays incurred before intimation to the foreign lawyer of  the instructing lawyer's disclaimer of responsibility for the future.

5.8 Continuing professional development

Lawyers should maintain and develop their professional knowledge and skills taking proper account of the European dimension of their profession.

5.9 Disputes Amongst Lawyers in Different Member States

5.9.1 If a lawyer considers that a colleague in another Member State has acted in breach of a rule of professional conduct the lawyer shall draw the matter to the attention of that colleague.

5.9.2 If any personal dispute of a professional nature arises amongst lawyers in different Member States they should if possible first try to settle it in a friendly way.

5.9.3 A lawyer shall not commence any form of proceedings against a colleague in another Member State on matters referred to in 5.9.1 or 5.9.2 above without first informing the Bars or Law Societies to which they both belong for the purpose of allowing both Bars or Law Societies concerned an opportunity to assist in reaching a settlement.