职业行为准则

规则1.15:财产保管

(a) A lawyer shall hold property of clients or third persons that is in the lawyer’s possession in connection with a representation separate from the lawyer’s own property. Funds of clients or third persons that are in the lawyer’s possession (trust funds) shall be kept in one or more trust accounts maintained in accordance with paragraph (b). 其他财产也应予以标识并予以适当保护. Complete records of such account funds and other property shall be kept by the lawyer and shall be preserved for a period of five years after termination of the representation.

(b) All trust funds shall be deposited with an “approved depository” as that term is defined in Rule XI 《哥伦比亚特区澳博app规则. 名义上的或预计在短期内持有的信托基金, 因此，不期望为客户或第三方赚取超过确保该收入所产生的成本的收入, shall be held at an approved depository and in compliance with the District of Columbia’s Interest on Lawyers Trust Account (DC IOLTA) program. 每个DC IOLTA账户的标题应包括控制该账户的澳博app或澳博app事务所的名称, 以及“DC IOLTA帐户”或“IOLTA帐户”.所有其他信托帐户的名称应包括控制该帐户的澳博app或澳博app事务所的名称, 以及“信托账户”或“托管账户”.” The requirements of this paragraph (b) shall not apply when a lawyer is otherwise compliant with the contrary mandates of a tribunal; or when the lawyer is participating in, 并且符合, 澳博app获得执照和主要执业的司法管辖区的信托会计规则和IOLTA程序.

(c)在收到客户或第三人有利益的资金或其他财产时, 澳博app应当及时通知委托人或者第三人. 除非本规则另有规定，或法律或与客户的协议另有规定, a lawyer shall promptly deliver to the client or third person any funds or other property that the client or third person is entitled to receive and, 应客户或第三方要求, 应立即就该等财产作出全面核算, 受规则1约束.6.

(d) When in the course of representation a lawyer is in possession of property in which interests are claimed by the lawyer and another person, 或者由澳博app可能对其负有义务的两个或两个以上的人, 该财产应由澳博app单独保管，直到财产的利益核算和分割完成为止. 对该财产主张权益的人之间因各自利益发生争议的, the undisputed portion shall be distributed and the portion in dispute shall be kept separate by the lawyer until the dispute is resolved. 任何有争议的资金应存入符合(a)和(b)款要求的单独账户。.

(e) Advances of unearned fees and unincurred costs shall be treated as property of the client pursuant to paragraph (a) until earned or incurred unless the client gives informed consent to a different arrangement. 不管是否提供了这种同意，规则1.16(d) applies to require the return to the client of any unearned portion of advanced legal fees and unincurred costs at the termination of the lawyer’s services in accordance with 规则1.16(d).

(f) Nothing in this rule shall prohibit a lawyer from placing a small amount of the lawyer’s funds into a trust account for the sole purpose of defraying bank charges that may be made against that account.

评论

[1]澳博app应以专业受托人应有的谨慎态度保管他人的财产. 有价证券应当存放在保险箱里, 特殊情况下需要以其他方式保管的除外. All property that is the property of clients or third persons should be kept separate from the lawyer’s business and personal property and, 如果款项, 在符合本条规定的金融机构开立的一个或多个信托账户中. 这条规则, 除此之外, sets forth the longstanding prohibitions of the misappropriation of entrusted funds and the commingling of entrusted funds with the lawyer’s property. 这条规则还要求澳博app保护客户的“其他财产”, 其中可能包括客户端文件. 关于关闭客户文件处理的指导，见D.C. 澳博app公会法律道德委员会意见第1号. 283.

[2]规则1 (a)款.第15条要求澳博app保留“[客户]资金和财产的完整记录”. . . .D.C. 上诉法院在in re cloer, 831 A中讨论了“完整记录”的含义.2d 1030, 1034 (D.C. 2003):“对《职业行为准则》的解释应参照其目的. The purpose of maintaining 'complete records' is so that the documentary record itself tells the full story of how the attorney handled client or third-party funds and whether the attorney complied with his fiduciary obligation that client or third-party funds not be misappropriated or commingled. Financial records are complete only when documents sufficient to demonstrate an attorney's compliance with his ethical duties are maintained. The reason for requiring complete records is so that any audit of the attorney's handling of client funds by Disciplinary Counsel can be completed even if the attorney or the client, 或两个, 是不可用的.规则1.15 requires that lawyers maintain records such that ownership or any other question about client funds can be answered without assistance from the lawyer or the lawyer's clients. 实现这一结果的精确记录显然是不同的, 但澳博app可能希望从2010年《美国澳博app协会客户信托账户记录示范规则》中寻找有关记录的指导.

[3]第(a)款涉及由“陈述”产生的信托基金.“根据本规则，澳博app的义务与提供法律服务以外的活动所产生的义务无关. 例如, a lawyer who serves as an escrow agent is governed by the applicable law relating to fiduciaries even though the lawyer does not render legal services in the transaction. 在管理遗产款项或以类似受托人身份行事时，可能需要单独的信托账户.

[4] Paragraph (b) mandates where trust deposits shall be held and further mandates participation in the District of Columbia’s IOLTA program. 本段适用于在本司法管辖区获得许可的每一位澳博app，无论该澳博app在何处执业, 除非有规定的例外情况. 因此, 澳博app应遵守法庭关于受该法庭监督的存款的相反授权. 类似的, 如果澳博app主要在该澳博app也获得许可的外国司法管辖区执业, 澳博app维护的信托账户符合该外国司法管辖区的信托会计规则, 澳博app可将信托资金存入经批准的托管机构或该外国司法管辖区可接受的银行机构. 最后, 澳博app没有义务参加哥伦比亚特区的IOLTA计划，如果澳博app正在参加, 并且符合, 该澳博app获得执照并主要从事业务的司法管辖区的IOLTA计划. IOLTA programs are known by different names or acronyms in some jurisdictions; this rule and its exceptions apply to all such programs, 然而命名. 这条规则 anticipates that a law firm with lawyers admitted to practice in the District of Columbia may be obligated to maintain accounts compliant with the IOLTA rules of other jurisdictions where firm lawyers principally practice. A lawyer who is not participating in the IOLTA program of the jurisdiction in which the lawyer principally practices because the lawyer has exercised a right to opt out of, 或者不选择加入, 司法管辖区的IOLTA项目, 或者是因为该司法管辖区没有IOLTA项目, 不得因此被免除参加哥伦比亚特区的IOLTA计划. (b)款不能解决多司法管辖区冲突的情况，见规则8.5. 本条的任何规定均无意限制任何审裁处就未决事项指示澳博app的权力, 包括一名执业澳博app, 按照法庭的指示持有信托基金. 有关批准保管机构的列表以及有关DC IOLTA计划合规性的其他信息, 参见规则十一, 20节, 《哥伦比亚特区澳博app规则, 和D.C. 澳博app基金会网站 www.dcbarfoundation.org.

[5]规则1的例外.第15(b)条要求澳博app对其主要执业的司法管辖区作出诚信判断. “主要执业”一词指的是澳博app个人的行为, 而不是他或她的澳博app事务所的主要执业地(这可能会对有合伙人的澳博app产生不同的结果)。. 就本条而言, an individual lawyer principally practices in the jurisdiction where the lawyer is licensed and generates the clear majority of his or her income. 如果没有这样的管辖权, 然后，澳博app应该确定澳博app投入最多时间的办公室的物理位置. 无论如何, the initial good faith determination of where the lawyer principally practices should be changed only if the lawyer’s circumstances change significantly and the change is expected to continue indefinitely.

[6]判定, 根据(b)段, 是否期望信托基金赚取超过成本的收益, 取决于澳博app的正确判断. The lawyer should review trust practices at reasonable intervals to determine whether circumstances require further action with respect to the funds of any client or third party. 因为(b)款是澳博app特有的义务, 本规则预计澳博app事务所可能有义务维护符合其他司法管辖区IOLTA规则的账户, 在某种程度上，该公司的澳博app并不都主要在哥伦比亚特区执业.

[7] (c)和(d)款承认，澳博app经常从第三方获得资金，并从中支付澳博app费. 澳博app不需要向客户汇款，澳博app有理由认为这是所欠的费用. 但是，澳博app不得持有资金胁迫委托人接受其辩护. 有争议的资金部分应交由信托保管，澳博app应提出迅速解决争议的办法, 比如仲裁. 无可争议的那部分资金应迅速分配.

[8]第三方, 比如客户的债权人, 可能只是对澳博app保管的资金或其他财产提出索赔. 根据适用法律，澳博app可能有义务保护此类第三方索赔不受客户的不当干涉, 并有权拒绝将财产交给委托人. 然而, 澳博app不得单方承担委托人与第三方之间争议的仲裁责任. 看到维.C. 澳博app协会法律道德委员会意见293.

[9] Paragraph (e) permits advances against unearned fees and unincurred costs to be treated as either the property of the client or the property of the lawyer, 但没有得到客户对其他安排的知情同意, 该规则的默认立场是，此类预付款应被视为客户的财产, 受(a)段规定的限制. 无论如何, 在约定终止时, 未发生的预支费用必须按照规则1的规定退还给客户.16(d). 关于“知情同意”的定义，见规则1.0(e).

[10]关于构成证据的财产, 如犯罪的工具或收益, 见规则3.4(a).