律師制作法律意見(jiàn)書(shū)和工作報(bào)告規(guī)范中英文

1、律師制作法律意見(jiàn)書(shū)和工作報(bào)告規(guī)范版次：01修改碼：02編號(hào)：TY/ZY01.05-2002Making legal submissions and lawyers work standardized version of the report: 01 to amendCode: 02 #: TY/ZY01.05-20021目的和主題內(nèi)容1.1為了指導(dǎo)律師制作法律意見(jiàn)書(shū)和工作報(bào)告，制訂本規(guī)范。1.2本規(guī)范規(guī)定了律師出具法律意見(jiàn)書(shū)和工作報(bào)告的范圍和基本要求、基本內(nèi) 容、出具程序、修改程序、反饋意見(jiàn)及工作底稿等。1 purpose and content of 1.1 to guide the th

2、eme of making legal submissions and lawyers work report, theformulation of the Code. 1.2 norms issued by a lawyer provided legal submissions and report on the workof the scope and basic requirements, the basic content, issued procedures, modify the program, feedbackand working papers, and so on.2適用范

3、圍2.1本規(guī)范適用于本所全體律師。2.2下列人員應(yīng)通曉本規(guī)范：1)律師2.3下列人員應(yīng)了解本規(guī)范：1)業(yè)務(wù)輔助人員2 application of the 2.1 instruction applies to all this by the lawyers. 2.2 The following personsshould be proficient in the standards: 1) 230 lawyers should understand the following specifications: 1)operational support staff3術(shù)語(yǔ)3.1法律意見(jiàn)書(shū)：是指律師

4、對(duì)有關(guān)的法律問(wèn)題明確發(fā)表的結(jié)論性意見(jiàn)。3.2律師工作報(bào)告：是指律師詳盡、完整地闡述所履行盡職調(diào)查的情況， 在法律 意見(jiàn)書(shū)中所發(fā)表意見(jiàn)或結(jié)論的依據(jù)、進(jìn)行有關(guān)核查驗(yàn)證的過(guò)程、所涉及的必要資 料或文件的文本。3.3工作底稿：是指律師在制作法律意見(jiàn)書(shū)和工作報(bào)告過(guò)程中形成的工作記錄及 在工作中獲取的文件、會(huì)議紀(jì)要、談話記錄等資料。3 legal terminology from 3.1: refers to lawyers on the legal issues clear on the concluding observations.3.2 report on the work of lawyers:

5、 that lawyers are detailed and complete exposition of the due diligenceperformed by the circumstances, legal advice in the book published by the observations or conclusions onthe basis of the verification carried out the verification process, involving the necessary information ordocuments to the te

6、xt. 3。3 working papers: refers to lawyers in the production of legal submissions andreport on the work developed in the course of the work records and access to the work of the papers,minutes of meetings, the transcript included.4職責(zé)本規(guī)范的編制和修訂由本所標(biāo)準(zhǔn)化委員會(huì)提出,布。4 duties of the norms and the establishment o

7、f the amendments by the Committee for Standardization,經(jīng)合伙人會(huì)議批準(zhǔn)后，由主任頒proposed, the approval by the partners, promulgated by the Director.5引用法律、規(guī)章中華人民共和國(guó)公司法中華人民共和國(guó)證券法中國(guó)證監(jiān)會(huì)公開(kāi)發(fā)行證券公司信息披露的編報(bào)規(guī)則(第12號(hào))5 cited laws, regulations, the PRC Company Law, PRC Securities Law, the China SecuritiesRegulatory Commissio

8、n public offering of securities companies for disclosure of information on therules (No. 12)6出具范圍和基本要求6.1在下列情況下，律師可以向委托人出具法律意見(jiàn)書(shū)或律師工作報(bào)告：(1)有關(guān)法律、法規(guī)、規(guī)章要求律師制作的法律意見(jiàn)書(shū)、律師工作報(bào)告為 必備文件的；(2)委托人要求律師就有關(guān)的法律問(wèn)題明確發(fā)表結(jié)論性意見(jiàn)的；(3)本所作業(yè)文件要求的；(4)律師在承辦案件或法律事務(wù)過(guò)程中認(rèn)為有必要出具法律意見(jiàn)書(shū)和律師 工作報(bào)告的。6.2有關(guān)法律、法規(guī)、規(guī)章和本所作業(yè)文件對(duì)法律意見(jiàn)書(shū)和律師工作報(bào)告的內(nèi)容 有明確規(guī)定的

9、，律師在制作法律意見(jiàn)書(shū)和律師工作報(bào)告時(shí)應(yīng)符合有關(guān)規(guī)定。某些具體規(guī)定確實(shí)對(duì)委托人不適用的，律師可根據(jù)實(shí)際情況作適當(dāng)變更，但應(yīng)向委托 人說(shuō)明變更的原因。6.3律師出具法律意見(jiàn)書(shū)和律師工作報(bào)告所用的語(yǔ)詞應(yīng)簡(jiǎn)潔明晰，不得使用“基本符合條件”或“除XXX以外，基本符合條件” 一類的措辭。對(duì)不符合有關(guān)法律、法規(guī)、規(guī)章、本所作業(yè)文件規(guī)定的事項(xiàng)，或已勤勉盡責(zé)仍不能對(duì)其法律性質(zhì)或其 合法性作出準(zhǔn)確判斷的事項(xiàng)，律師應(yīng)發(fā)表保留意見(jiàn)，并說(shuō)明相應(yīng)的理由。6 issued by the scope and basic requirements of 6.1 in the following cases, lawyers

10、can be issued to theclient or the legal counsel report on the work of the submissions: (1) the relevant laws, regulations, rulesrequire the production of legal counsel submissions, lawyers for the report on the work necessarydocuments ; (2) client requested the Law Society on the legal issues explic

11、itly made the concludingobservations (3) of this document by the operating requirements of (4) lawyers in the case or contractorsin the course of Legal Affairs consider it necessary to issue legal opinions And the report on the work oflawyers.6 issued by the scope and basic requirements of 6.1 in th

12、e following cases, lawyers can be issued to theclient or the legal counsel report on the work of the submissions: (1) the relevant laws, regulations, rulesrequire the production of legal counsel submissions, lawyers for the report on the work necessarydocuments ; (2) client requested the Law Society

13、 on the legal issues explicitly made the concludingobservations (3) of this document by the operating requirements of (4) lawyers in the case or contractorsin the course of Legal Affairs consider it necessary to issue legal opinions And the report on the work oflawyers. 6。3 lawyers issued legal subm

14、issions and report on the work of lawyers used by the wordsshould be simple clarity, shall not be used in line with the basic conditions or XXX addition, in linewith the basic conditions of a class of the wording. For non-compliance with the relevant laws,regulations, rules, the document provided by

15、 operating issues, or diligence is not its nature or thelegitimacy of the law to make an accurate judgement of the matter, lawyers should be made reservations,as well as the corresponding reasons.7基本內(nèi)容7.1法律意見(jiàn)書(shū)的基本內(nèi)容7.1.1法律意見(jiàn)書(shū)開(kāi)頭部分(1)法律意見(jiàn)書(shū)開(kāi)頭部分應(yīng)載明，律師是否根據(jù)有關(guān)法律、法規(guī)和規(guī)章的規(guī)定，按照律師行業(yè)公認(rèn)的業(yè)務(wù)標(biāo)準(zhǔn)、 道德規(guī)范和勤勉盡責(zé)精神，出具法律意見(jiàn)書(shū)。(

16、2)律師應(yīng)承諾依據(jù)有關(guān)法律、法規(guī)和規(guī)章的規(guī)定及本法律意見(jiàn)書(shū)出具日 以前已發(fā)生或存在的事實(shí)發(fā)表法律意見(jiàn)。(3)律師應(yīng)承諾已嚴(yán)格履行法定職責(zé)，遵循了勤勉盡責(zé)和誠(chéng)實(shí)信用原則， 對(duì)委托人委托事項(xiàng)的合法、合規(guī)、真實(shí)、有效性進(jìn)行了充分的核查驗(yàn)證，保證法 律意見(jiàn)書(shū)和律師工作報(bào)告不存在虛假記載、誤導(dǎo)性陳述及重大遺漏。(4)律師應(yīng)承諾同意對(duì)法律意見(jiàn)書(shū)和律師工作報(bào)告承擔(dān)相應(yīng)的法律責(zé)任。(5)律師應(yīng)承諾同意委托人部分或全部引用法律意見(jiàn)書(shū)或律師工作報(bào)告的 內(nèi)容，但委托人作上述引用時(shí)，不得因引用而導(dǎo)致法律上的歧義或曲解。(6)律師可作出其他適當(dāng)聲明，但不得做出違反律師行業(yè)公認(rèn)的業(yè)務(wù)標(biāo)準(zhǔn)、道德規(guī)范和勤勉盡責(zé)精神的免責(zé)聲明

17、。7 elements of the law from 7.1 the basic content of the law from the beginning of 7.1.1 (1) The lawshould specify the beginning of the submissions, lawyers are in accordance with the relevant laws andregulations on the basis of the legal profession recognized business standards, Ethics and the spir

18、it ofdiligence, issued by legal submissions. (2) lawyers should undertake in accordance with the relevant lawsand regulations and the provisions of this legal submissions on the issue before or the fact that theexistence of a legal opinion. (3) lawyers should have strict commitment to perform their

19、functions,followed the diligence and credit honesty principle, commissioned by the clients of the legal, regulatory,true, the full effectiveness of the verification verification to ensure that the legal submissions and lawyerswork There is no report of false records, misleading statements and major

20、omissions. (4) lawyers shouldcommit themselves to agree on the legal submissions and report on the work of lawyers bear thecorrespondinglegal responsibility. (5) lawyers agree that clients should commit themselves to quote someor all of the legal submissions of counsel or the contents of the report,

21、 but made the above quote when theclient, not to invoke a result of the legal ambiguity or misinterpretation. (6) lawyers can make otherappropriate statement, but not to breach the legal profession recognized business standards, ethics anddiligence of the disclaimer.7.1.2法律意見(jiàn)書(shū)正文律師應(yīng)在進(jìn)行充分核查驗(yàn)證的基礎(chǔ)上，對(duì)委托人

22、委托的事項(xiàng)明確發(fā)表結(jié)論性 意見(jiàn)。所發(fā)表的結(jié)論性意見(jiàn)應(yīng)包括是否合法合規(guī)、是否真實(shí)有效，是否存在糾紛 或潛在風(fēng)險(xiǎn)。7.1.2 legal counsel from the body should be in full verification on the basis of verification, the clientcommissioned a clear matter of concluding observations. Published by the concluding observationsshould include the legality of the regulatio

23、n, whether real, valid, the existence of disputes or potentialrisks.7.1.3總體結(jié)論性意見(jiàn)(1)律師應(yīng)對(duì)委托人委托的事項(xiàng)是否存在違法違規(guī)， 明確發(fā)表總體結(jié)論性 意見(jiàn)。(2)律師已勤勉盡責(zé)仍不能發(fā)表肯定性意見(jiàn)的，應(yīng)發(fā)表保留意見(jiàn)，并說(shuō)明 相應(yīng)的理由。7.1.3 overall concluding observations (1) commissioned a lawyer to clients of the existence ofillegal matters, a clear overall concluding obse

24、rvations. (2) lawyers have diligence can not express theviews of certainty, should be made reservations, as well as the corresponding reasons.7.2律師工作報(bào)告的基本內(nèi)容7.2.1律師工作報(bào)告開(kāi)頭部分 律師工作報(bào)告開(kāi)頭部分應(yīng)載明,律師是否根據(jù)有關(guān)法律、法規(guī)和規(guī)章的規(guī)定，按 照律師行業(yè)公認(rèn)的業(yè)務(wù)標(biāo)準(zhǔn)、道德規(guī)范和勤勉盡責(zé)精神，出具律師工作報(bào)告。7.2.2律師工作報(bào)告引言(1)可以簡(jiǎn)介律師及律師事務(wù)所，包括(但不限于)注冊(cè)地及時(shí)間、業(yè)務(wù) 范圍、執(zhí)業(yè)律師人數(shù)、本

25、次簽名律師的執(zhí)業(yè)記錄及其主要經(jīng)歷、聯(lián)系方式等。(2)說(shuō)明律師制作法律意見(jiàn)書(shū)的工作過(guò)程，包括(但不限于)與委托人相 互溝通的情況，對(duì)委托人提供材料的查驗(yàn)、走訪、談話記錄、現(xiàn)場(chǎng)勘查記錄、查 閱文件的情況，以及工作時(shí)間等。7.2.3律師工作報(bào)告正文(1)根據(jù)有關(guān)法律、法規(guī)、規(guī)章以及委托人的章程等規(guī)定，委托事項(xiàng)是否 合法有效，是否存在法律障礙、可能引致的風(fēng)險(xiǎn)等。(2)律師認(rèn)為需要說(shuō)明的其他問(wèn)題。7.2 Counsel report on the work of the basic elements 7.2.1 lawyers report on the work of lawyersbeginning

26、 of the beginning of the work report should contain, lawyers are in accordance with the relevantlaws and regulations on the basis of the legal profession recognized business standards, ethics and thespirit of diligence , Issued by the Law Society report on the work.。7.2.2 report on the work of lawye

27、rsIntroduction (1) Introduction lawyers and law firms, including (but not limited to) the time and place ofregistration, business scope, the number of lawyers, this lawyers signature practice record and its mainexperience, contacts, etc. . (2) Description of the lawyers making legal submissions proc

28、ess, including(but not limited to) and the client to communicate with each other, to provide information on the clientidentification, visited, conversation records, crime scene investigation records, inspection documents,And work hours. 7.2.3 lawyers report on the work of the body (1) in accordance

29、with the relevant laws,regulations, rules and provisions of the statute of clients, whether the commission valid, the existence oflegal barriers, may lead to the risks. (2) lawyers need to note that the other issues.8出具程序8.1提交委托人的法律意見(jiàn)書(shū)和律師工作報(bào)告應(yīng)是經(jīng)至少一名以上執(zhí)業(yè)律師簽 名，并經(jīng)本所加蓋公章、簽署日期的正式文本。8.2法律意見(jiàn)書(shū)和律師工作報(bào)告在經(jīng)本所蓋意前

30、,應(yīng)經(jīng)至少兩名以上合伙人審閱并簽署“同意”意見(jiàn)。8 to 8.1 procedures issued by clients of legal submissions and lawyers should be a report on the work ofthe lawyers over at least one signature, and as with official seals by the signing date of the official text. 8.2legal submissions and lawyers in the work report by the sea

31、l of the former, it shall be at least two morepartners reviewed and signed the consent views.9修改和反饋意見(jiàn)9.1律師簽署的法律意見(jiàn)書(shū)和律師工作報(bào)告提交委托人后，不得收回進(jìn)行修改。 如律師認(rèn)為需補(bǔ)充或更正，應(yīng)另行出具補(bǔ)充法律意見(jiàn)書(shū)和律師工作報(bào)告。9.2法律意見(jiàn)書(shū)和律師工作報(bào)告提交委托人后，律師應(yīng)關(guān)注委托人的反饋意見(jiàn)。 委托人對(duì)法律意見(jiàn)書(shū)和律師工作報(bào)告提出疑問(wèn)的，律師認(rèn)為有必要，可以出具補(bǔ)充法律意見(jiàn)書(shū)和補(bǔ)充報(bào)告。9 Laws 9.1 and feedback from the law signed by

32、 the lawyers and lawyers working report to the client,may not recover to edit. Such as lawyers believe to be added or corrected, should be issued additionallegal submissions and report on the work of lawyers. 9.2 legal submissions and lawyers work report to theclient, lawyers should be concerned abo

33、ut client feedback. Clients of the legal submissions and lawyersraise questions about the report, the lawyers considered it necessary, can produce additional legalsubmissions and supplementary report.10工作底稿10.1律師在制作法律意見(jiàn)書(shū)和律師工作報(bào)告的同時(shí)，應(yīng)制作工作底稿。10.2律師應(yīng)及時(shí)、準(zhǔn)確、真實(shí)地制作工作底稿，工作底稿的質(zhì)量是判斷律師是 否勤勉盡責(zé)的重要依據(jù)。10.3工作底稿應(yīng)包括(但

34、不限于)以下內(nèi)容：(1)律師承擔(dān)項(xiàng)目的基本情況，包括委托人名稱、項(xiàng)目名稱、制作項(xiàng)目的 時(shí)間或期間、工作量統(tǒng)計(jì)；(2)為制作法律意見(jiàn)書(shū)和律師工作報(bào)告制定的工作計(jì)劃及其操作程序的記 錄；(3)委托人設(shè)立及歷史沿革有關(guān)的資料，如設(shè)立批準(zhǔn)證書(shū)、營(yíng)業(yè)執(zhí)照、合 同、章程等文件或變更文件的復(fù)印件；(4)重大合同、協(xié)議及其他重要文件和會(huì)議記錄的摘要或副本；(5)與委托人及相關(guān)人員相互溝通情況的記錄，對(duì)委托人提供資料的檢查、調(diào)查訪問(wèn)記錄、往來(lái)函件、現(xiàn)場(chǎng)勘察記錄、查閱文件活單等相關(guān)的資料及詳細(xì)說(shuō) 明；(6)委托人及相關(guān)人員的書(shū)面保證或聲明書(shū)的復(fù)印件；(7)對(duì)保留意見(jiàn)及疑難問(wèn)題所作的說(shuō)明；(8)其他與出具法律意見(jiàn)書(shū)

35、和律師工作報(bào)告相關(guān)的重要資料。10 working papers of 10.1 lawyers in the production of legal submissions and report on the work oflawyers at the same time, should produce working papers. 10.2 lawyers should be timely, accurate andtrue to create working papers, working papers of the quality of judgement whether the l

36、awyer animportant basis for diligence. 10.3 working papers should include (but are not limited to) the following: (1)counsels basic commitment to the project, including the names of clients, project name, the productionprojects or the time period, the workload statistics (2) for the production of le

37、gal submissions Report onthe work of lawyers and develop a work plan and operational procedures of the record, (3) theestablishment and history of client-related information, such as the establishment of approval certificates,business licenses, contracts, documents or change the Constitution, such as copies of documents; (4)major contracts, agreements and other important docu