Représentant les avocats d’Europe

Representing Europe’s lawyers

Code of Conduct for Lawyers

in the European Union

Conseil des Barreaux de l’Union Européenne - Council of the Bars and Law Societi es of the European Union
Editeur responsable/Editor: CCBE, Rue de Trèves 45 - B-1040 Brussels - Belgium - Tel +32 (0)2 234 65 10 - Fax +32 (0)2 234 65 11/12 - E-mail: ccbe@ccbe.org - www.ccbe.org
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− E U R O O PA N U N I O N I N A S I A N A J A J A L I I T T O J E N N E U V O S T O − Σ υ µ β ο υ λ ι ο Τ ω ν ∆ ι κ η γ ο ρ ι κ ω ν Σ υ λ λ ο γ ω ν Τ η σ Ε ψ ρ ω π α ι κ η σ Ε ν ω σ η σ
This Code of Conduct for Lawyers in the European Union was originally adopted at
the CCBE Plenary Session held on 28 October 1988, and subsequently amended
during the CCBE Plenary Sessions on 28 November 1998 and 6 December 2002.

Editor : CCBE
Rue des Trèves, 45 - B-1040 Brussels
Tel. : +32 (0)2 234 65 10 - Fax : +32 (0)2 234 65 11/12
E-mail : ccbe@ccbe.org - http://www.ccbe.org
CONTENTS

1. PREAMBLE
1.1. The Function of the Lawyer in Society
1.2. The Nature of Rules of Professional Conduct
1.3. The Purpose of the Code
1.4. Field of Application Ratione Personae
1.5. Field of Application Ratione Materiae
1.6. Definitions

2. GENERAL PRINCIPLES
2.1. Independence
2.2. Trust and Personal Integrity
2.3. Confidentiality
2.4. Respect for the Rules of Other Bars and Law Societies
2.5. Incompatible Occupations
2.6. Personal Publicity
2.7. The Client's Interest
2.8. Limitation of Lawyer's Liability towards his Client

3. RELATIONS WITH CLIENTS

3.1. Acceptance and Termination of Instructions
3.2. Conflict of Interest
3.3. Pactum de Quota Litis
3.4. Regulation of Fees
3.5. Payment on Account
3.6. Fee Sharing with Non-Lawyers
3.7. Cost Effective Resolution and Availability of Legal Aid
3.8. Clients funds
3.9. Professional Indemnity Insurance

4. RELATIONS WITH THE COURTS

4.1. Applicable Rules of Conduct in Court
4.2. Fair Conduct of Proceedings
4.3. Demeanour in Court
4.4. False or Misleading Information
4.5. Extension to Arbitrators Etc.

5. RELATIONS BETWEEN LAWYERS

5.1. Corporate Spirit of the Profession
5.2. Co-operation Among Lawyers of Different Member States
5.3. Correspondence Between Lawyers
5.4. Referral Fees
5.5. Communication with Opposing Parties
5.6. (Deleted by decision of the CCBE Plenary Session in Dublin on December 6th, 2002)
5.7. Responsibility for Fees
5.8. Training Young Lawyers
5.9. Disputes amongst Lawyers in Different Member States

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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.
His duties do not begin and end with the faithful performance of what he is instruc-
ted 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 is trusted to assert and defend and it is
his duty not only to plead his client's cause but to be his adviser.

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

the client;

the courts and other authorities before whom the lawyer pleads his client's cause
or acts on his behalf;

the legal profession in general and each fellow member of it in particular;

the public for whom the existence of a free and independent profession, bound
together by respect for rules made by the profession itself, is an essential means
of safeguarding human rights in face of the power of the state and other inter-
ests in society.

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 civilized societies. The fai-
lure of the lawyer to observe these rules must in the last resort result in a dis-
ciplinary sanction.

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 proce-
dures 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

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 the statement of common rules which apply to all lawyers from the European
Economic Area 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 deontolo-
gy» as set out in Article 4 of the E.C. Directive 77/249 of 22nd March 1977.

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

be recognised at the present time as the expression of a consensus of

all the Bars and Law Societies of the European Union and European
Economic Area;

be adopted as enforceable rules as soon as possible in accordance

with national or EEA procedures in relation to the cross-border activi-
ties of the lawyer in the European Union and European Economic
Area;

be taken into account in all revisions of national rules of deontology

or professional practice with a view to their progressive harmonisation.

They further express the wish that the national rules of deontology or profes-
sional practice be interpreted and applied whenever possible in a way consis-
tent with the rules in this Code.

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

1.4. Field of Application Ratione Personae

The following rules shall apply to lawyers of the European Union and the European
Economic Area as they are defined by the Directive 77/249 of 22nd March 1977.

1.5. Field of Application Ratione Materiae

Without prejudice to the pursuit of a progressive harmonisation of rules of deonto-

logy 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 the European Economic Area. Cross-border activities shall
mean:

(a) all professional contacts with lawyers of Member States other than his own;

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

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1.6. Definitions

In these rules:

"Home Member State" means the Member State of the Bar or Law Society to which
the lawyer belongs.

"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.

2. GENERAL PRINCIPLES

2.1. Independence

2.1.1. The many duties to which a lawyer is subject require his absolute indepen-
dence, free from all other influence, especially such as may arise from his
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 independence and be careful not to
compromise his professional standards in order to please his client, the court
or third parties.

2.1.2. This independence is necessary in non-contentious matters as well as in liti-

gation. Advice given by a lawyer to his client has no value if it is given only
to ingratiate himself, to serve his 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 inte-
grity are beyond doubt. For the lawyer these traditional virtues are professional obli-
gations.

2.3. Confidentiality

2.3.1. It is of the essence of a lawyer's function that he should be told by his client
things which the client would not tell to others, and that he should be the reci-
pient 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 adminis-

tration of justice as well as the interest of the client. It is therefore entitled to
special protection by the State.

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

2.3.3. The obligation of confidentiality is not limited in time.

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

2.4. Respect for the Rules of Other Bars and Law Societies

Under the laws of the European Union and the European Economic Area a lawyer
from another Member State may be bound to comply with the 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.

Member organisations of CCBE are obliged to deposit their codes 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 functions with due independence and in a manner
which is consistent with his duty to participate in the administration of justice
a lawyer is excluded from some occupations.

2.5.2. A lawyer who acts in the representation or the defence of a client in legal pro-
ceedings 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 wished 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 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 permit-
ted to the extent it complies with the requirements of 2.6.1.

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2.7. The Client's Interest

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

2.8. Limitation of Lawyer's Liability towards his Client

To the extent permitted by the law of the Home Member State and the Host Member
State, the lawyer may limit his liabilities towards his client in accordance with rules
of the Code of Conduct to which he 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 his instructions. He may,
however, act in a case in which he has been instructed by another lawyer who
himself acts for the party or where the case has been assigned to him by a
competent body.

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

3.1.2. A lawyer shall advise and represent his client promptly, conscientiously and dili-
gently. He shall undertake personal responsibility for the discharge of the ins-
tructions given to him. He shall keep his client informed as to the progress of
the matter entrusted to him.

3.1.3. A lawyer shall not handle a matter which he knows or ought to know he 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 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 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.

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 3.2.2. A lawyer must cease to act for both client when a conflict of interests arises bet-
ween those clients and also whenever there is a risk of a breach of confidence
or where his 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 confidence entrusted to the lawyer by a former client or if the know-
ledge 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 his
client entered into prior to 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 accor-
dance with an officially approved fee scale or under the control of competent
authority having jurisdiction over the lawyer.

3.4. Regulation of Fees

3.4.1. A fee charged by a lawyer shall be fully disclosed to his client and shall be
fair and reasonable.

3.4.2. Subject to any proper agreement to the contrary between a lawyer and his
client fees charged by a lawyer shall be subject to regulation in accordance
with the rules applied to members of the Bar or Law Society to which he
belongs. If he belongs to more than one Bar or Law Society the rules applied
shall be those with the closest connection to the contract between the lawyer
and his client.

3.5. Payment on Account

If a lawyer requires a payment on account of his fees and/or disbursements such

payment should not exceed a reasonable estimate of the fees and probable disbur-
sements 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.

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3.6. Fee Sharing with Non-Lawyers

3.6.1. Subject as after-mentioned a lawyer may not share his 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 of the Member State to which the lawyer
belongs.

3.6.2. The provisions of 3.6.1 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. Cost Effective Resolution and Availability of Legal Aid

3.7.1. The lawyer should at all times strive to achieve the most cost effective resolu-
tion 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 alter-
native dispute resolution.

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

3.8. Clients funds

3.8.1. When lawyers at any time in the course of their practice come into posses-
sion of funds on behalf of their clients or third parties (hereinafter called
«client’s funds») it shall be obligatory:

3.8.1.1. That client’s funds shall always be held in an account of a bank or simi-
lar 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 client’s 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 client’s 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 client’s funds held by the lawyer.

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

3.8.1.5. That payments made from client’s 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;

b) payment of the lawyer’s fees,

11
 be prohibited except to the extent that they are permitted by law or are
ordered by the court and 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 client’s funds
and distinguishing client’s 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 lawyer’s client’s funds to ascertain whether or not
the rules which they make are being complied with and to impose sanc-
tions upon lawyers who fail to comply with those rules.

3.8.2. Subject as aftermentioned, and without prejudice to the rules set out in 3.8.1
above, a lawyer who holds client’s funds in the course of carrying on practice in
any Member State must comply with the rules relating to holding and accoun-
ting for client’s funds which are applied by the competent authorities of the
Home Member State.

3.8.3. A lawyer who carries on practice or provides services in a Host Member State
may with the agreement of the competent authorities of the Home and Host
Member State concerned comply with the requirements of the Host Member
State to the exclusion of the requirements of the Home Member State. In that
event he shall take reasonable steps to inform his clients that he complies with
the requirements in force in the Host Member State.

3.9. Professional Indemnity Insurance

3.9.1. Lawyers shall be insured at all times against claims based on professional negli-
gence of an extent which is reasonable having regard to the nature and extent
of the risks which each lawyer may incur in his practice.

3.9.2. When a lawyer provides services or carries out practice in a Host Member State,
the following shall apply:

3.9.2.1. The lawyer must comply with any Rules relating to his obligation to insure
against his professional liability as a lawyer which are in force in his Home
Member State.

3.9.2.2. A lawyer who is obliged so to insure in his Home Member State and who
provides services or carries out practice in any Host Member State shall
use his best endeavours to obtain insurance cover on the basis required
in his Home Member State extended to services which he provides or
practice which he carries out in a Host Member State.

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 3.9.2.3. A lawyer who fails to obtain the extended insurance cover referred to in
paragraph 3.9.2.2 above or who is not obliged so to insure in his Home
Member State and who provides services or carries out practice in a Host
Member State shall in so far as possible obtain insurance cover against his
professional liability as a lawyer whilst acting for clients in that Host
Member State on at least a basis equivalent to that required of lawyers in
the Host Member State.

3.9.2.4. To the extent that a lawyer is unable to obtain the insurance cover requi-
red by the foregoing rules, he shall inform such of his clients as might
be effected.

3.9.2.5. A lawyer who carries out practice or provides services in a Host Member
State may with the agreement of the competent authorities of the Home
and Host Member States concerned comply with such insurance require-
ments as are in force in the Host Member State to the exclusion of the insu-
rance requirements of the Home Member State. In this event he shall take
reasonable steps to inform his clients that he is insured according to the
requirements in force in the Host Member State.

4. RELATIONS WITH THE COURTS

4.1. Applicable 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. He must
not, for example, make contact with the judge without first informing the lawyer
acting for the opposing party or submit exhibits, notes or documents to the judge
without communicating them in good time to the lawyer on the other side unless such
steps are permitted under the relevant rules of procedure. To the extent not prohibi-
ted by law a lawyer must not divulge or submit to the court any proposals for settle-
ment of the case made by the other party or its lawyer without the express consent by
the other party’s lawyer.

4.3. Demeanour in Court

A lawyer shall while maintaining due respect and courtesy towards the court defend
the interests of his client honourably and fearlessly without regard to his own interests
or to any consequences to himself or to any other person.

13
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 his 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 he is not competent
to undertake. He should in such case be prepared to help his colleague to
obtain the information necessary to enable him 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 sending a communication to a lawyer in another Member State

wishes it remain confidential or without prejudice he should clearly express
this intention when communicating the document.

5.3.2. If the recipient of the communication is unable to ensure its status as confi-
dential or without prejudice he should return it to the sender without revea-
ling the contents to others.

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5.4. Referral Fees

5.4.1. A lawyer may not demand or accept from another lawyer or any other per-
son a fee, commission or any other compensation for referring or recom-
mending 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 himself.

5.5. Communication with Opposing Parties

A lawyer shall not communicate about a particular case or matter directly with any
person whom he knows to be represented or advised in the case or matter by ano-
ther 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 December 6th,
2002)

5.7. Responsibility for Fees

In professional relations between members of Bars of different Member States, where

a lawyer does not confine himself to recommending another lawyer or introducing
him to the client but himself entrusts a correspondent with a particular matter or seeks
his advice, he 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 personal
responsibility to the amount of the fees, costs and outlays incurred before intimation
to the foreign lawyer of his disclaimer of responsibility for the future.

5.8. Training Young Lawyers

In order to improve trust and co-operation amongst lawyers of different Member

States for the clients' benefit there is a need to encourage a better knowledge of the
laws and procedures in different Member States. Therefore, when considering the
need for the profession to give good training to young lawyers, lawyers should take
into account the need to give training to young lawyers from other Member States.

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 he shall draw the matter to the atten-
tion of his colleague.

15
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 pur-
pose of allowing both Bars or Law Societies concerned an opportunity to assist
in reaching a settlement.

16