职业行为准则

规则5.1:合伙人、管理人和监督澳门赌场官网的职责

 (a)澳门赌场官网事务所合伙人, and a lawyer who individually or together with other lawyers possesses comparable managerial authority in a law firm or government agency, shall make reasonable efforts to ensure that the firm has in effect measures giving reasonable assurance that all lawyers in the firm or agency conform to the 职业行为准则.
   (b) A lawyer having direct supervisory authority over another lawyer shall make reasonable efforts to ensure that the other lawyer conforms to the 职业行为准则.
   (c) A lawyer shall be responsible for another lawyer’s violation of the 职业行为准则 if:

      (1) The lawyer orders or, 用知识 of the specific conduct, ratifies the conduct involved; or
      (2) The lawyer has direct supervisory authority over the other lawyer or is a partner or has comparable managerial authority in the law firm or government agency in which the other lawyer practices, and knows or reasonably should know of the conduct at a time when its consequences can be avoided or mitigated but fails to take reasonable remedial action.

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   [1] Paragraph (a) applies to lawyers who have managerial authority over the professional work of a firm or government agency. 这包括合伙企业的成员, the shareholders in a law firm organized as a professional corporation and members of other associations authorized to practice law; lawyers having comparable managerial authority in a legal services organization or the law department of an enterprise or government agency; and lawyers who have intermediate managerial responsibilities in a firm. 对于“公司”的广义定义， 看到 规则1.0(c). 第(b)段适用于对其他澳门赌场官网的工作有监督权力的澳门赌场官网.
   [2] Paragraph (a) requires lawyers with managerial authority within a firm to make reasonable efforts to establish internal policies and procedures designed to provide reasonable assurance that all lawyers in the firm will conform to the 职业行为准则. 这些政策和程序包括那些旨在发现和解决利益冲突的政策和程序, 确定对未决事项必须采取行动的日期, account for client funds and property and ensure that inexperienced lawyers are properly supervised.
   [3] Other measures that may be required to fulfill the responsibility prescribed in paragraph (a), 以及为履行(b)段规定的责任可能需要采取的措施, 能否取决于公司的结构和业务性质. 在小公司里，非正式的监督和偶尔的告诫通常就足够了. 在一家大公司, 或者在实践中经常出现非常困难的道德问题, 可能需要更详细的程序. 一些公司, 例如, have a procedure whereby junior lawyers can make confidential referral of ethical problems directly to a designated senior partner or special committee. 看到 规则5.2. Firms, whether large or small, may also rely on continuing legal education in professional ethics. 无论如何, the ethical atmosphere of a firm can influence the conduct of all its members and a lawyer having authority over the work of another may not assume that the subordinate lawyer will inevitably conform to the 规则.
   [4] Paragraph (c) sets forth general principles of imputed responsibility for the misconduct of others. (c)(1)款规定任何澳门赌场官网命令或, 用知识, 批准对该不当行为负责的不当行为. 另请参阅 规则8.4(a). Subparagraph (c)(2) extends that responsibility to any lawyer who is a partner or person in comparable managerial authority in the firm in which the misconduct takes place, 或者对有不当行为的澳门赌场官网有直接监督权力的, when the lawyer knows or should reasonably know of the conduct and could intervene to ameliorate its consequences. Whether a lawyer has such supervisory authority in particular circumstances is a question of fact. A lawyer with direct supervisory authority is a lawyer who has an actual supervisory role with respect to directing the conduct of other lawyers in a particular representation. 在组织术语中，技术上是“主管”的澳门赌场官网, 但不参与指导其他澳门赌场官网在特定代理中的工作, 不是监督澳门赌场官网吗.
   [5] The existence of actual knowledge is also a question of fact; whether a lawyer should reasonably have known of misconduct by another lawyer in the same firm is an objective standard based on evaluation of all the facts, 包括公司的规模和组织结构, 澳门赌场官网在事务所内的地位和责任, 涉及的不同澳门赌场官网之间的联系类型和频率, 有争议的不当行为的性质, 以及实际行使的监督或其他直接责任(如有)的性质. 仅仅是合伙或在公司中担任负责人的事实是不够的, 没有更多的, 为了满足这个标准. 类似的, 澳门赌场官网在公司管理委员会中担任职务的事实, 或者领导公司的一个部门, or has comparable management authority in some other form of organization or a government agency is not sufficient, 孤独, 为了满足这个标准.
   [6] Appropriate remedial action would depend on the immediacy of the involvement and the seriousness of the misconduct. The supervisor is required to intervene to prevent avoidable consequences of misconduct if the supervisor knows that the misconduct occurred. 因此, if a supervising lawyer knows that a subordinate misrepresented a matter to an opposing party in a negotiation, 主管和下属都有责任纠正由此产生的误解.
   [7] Professional misconduct by a lawyer under supervision could reveal a violation of paragraph (b) on the part of the supervisory lawyer even though it does not entail a violation of paragraph (c) because there was no direction, 批准, 或者知道违规行为.
   [8]除本规则和规则8外.4(a), 澳门赌场官网对合伙人的行为不承担纪律责任, 联系, 或下属. Whether a lawyer may be liable civilly or criminally for another lawyer’s conduct is a question of law beyond the scope of these 规则.
   [9] The duties imposed by this rule on managing and supervisory lawyers do not alter the personal duty of each lawyer in a firm to abide by the 职业行为准则. 看到 规则5.2(a).