版次：01  修改碼：02                            編號：TY/ZY01.05-2002

 Making legal submissions and lawyers work standardized version of the report: 01 to amend Code: 02 #: TY/ZY01.05-2002

 

1.1 為了指導律師制作法律意見書和工作報告，制訂本規(guī)范。

1.2 本規(guī)范規(guī)定了律師出具法律意見書和工作報告的范圍和基本要求、基本內(nèi)容、出具程序、修改程序、反饋意見及工作底稿等。

1 purpose and content of 1.1 to guide the theme of making legal submissions and lawyers work report, the formulation of the Code. 1.2 norms issued by a lawyer provided legal submissions and report on the work of the scope and basic requirements, the basic content, issued procedures, modify the program, feedback and working papers, and so on.

 

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 persons should be proficient in the standards: 1) 230 lawyers should understand the following specifications: 1) operational support staff

 

3.1 法律意見書：是指律師對有關(guān)的法律問題明確發(fā)表的結(jié)論性意見。

3.2 律師工作報告：是指律師詳盡、完整地闡述所履行盡職調(diào)查的情況，在法律意見書中所發(fā)表意見或結(jié)論的依據(jù)、進行有關(guān)核查驗證的過程、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書和工作報告過程中形成的工作記錄及在工作中獲取的文件、會議紀要、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: that lawyers are detailed and complete exposition of the due diligence performed by the circumstances, legal advice in the book published by the observations or conclusions on the basis of the verification carried out the verification process, involving the necessary information or documents to the text. 3。3 working papers: refers to lawyers in the production of legal submissions and report 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.

 

本規(guī)范的編制和修訂由本所標準化委員會提出，經(jīng)合伙人會議批準后，由主任頒布。

4 duties of the norms and the establishment of the amendments by the Committee for Standardization, proposed, the approval by the partners, promulgated by the Director.

 

    《中華人民共和國公司法》

    《中華人民共和國證券法》

中國證監(jiān)會《公開發(fā)行證券公司信息披露的編報規(guī)則（第12號）》

5 cited laws, regulations, "the PRC Company Law," "PRC Securities Law," the China Securities Regulatory Commission "public offering of securities companies for disclosure of information on the rules (No. 12)"

 

6.1 在下列情況下，律師可以向委托人出具法律意見書或律師工作報告：

    （1）有關(guān)法律、法規(guī)、規(guī)章要求律師制作的法律意見書、律師工作報告為必備文件的；

    （2）委托人要求律師就有關(guān)的法律問題明確發(fā)表結(jié)論性意見的；

    （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)過程中認為有必要出具法律意見書和律師工作報告的。

6.2 有關(guān)法律、法規(guī)、規(guī)章和本所作業(yè)文件對法律意見書和律師工作報告的內(nèi)容有明確規(guī)定的，律師在制作法律意見書和律師工作報告時應(yīng)符合有關(guān)規(guī)定。某些具體規(guī)定確實對委托人不適用的，律師可根據(jù)實際情況作適當變更，但應(yīng)向委托人說明變更的原因。

6.3 律師出具法律意見書和律師工作報告所用的語詞應(yīng)簡潔明晰，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，或已勤勉盡責仍不能對其法律性質(zhì)或其合法性作出準確判斷的事項，律師應(yīng)發(fā)表保留意見，并說明相應(yīng)的理由。

6 issued by the scope and basic requirements of 6.1 in the following cases, lawyers can be issued to the client or the legal counsel report on the work of the submissions: (1) the relevant laws, regulations, rules require the production of legal counsel submissions, lawyers for the report on the work necessary documents ; (2) client requested the Law Society on the legal issues explicitly made the concluding observations (3) of this document by the operating requirements of (4) lawyers in the case or contractors in the course of Legal Affairs consider it necessary to issue legal opinions And the report on the work of lawyers.

6 issued by the scope and basic requirements of 6.1 in the following cases, lawyers can be issued to the client or the legal counsel report on the work of the submissions: (1) the relevant laws, regulations, rules require the production of legal counsel submissions, lawyers for the report on the work necessary documents ; (2) client requested the Law Society on the legal issues explicitly made the concluding observations (3) of this document by the operating requirements of (4) lawyers in the case or contractors in the course of Legal Affairs consider it necessary to issue legal opinions And the report on the work of lawyers. 6。3 lawyers issued legal submissions and report on the work of lawyers used by the words should be simple clarity, shall not be used "in line with the basic conditions" or "XXX addition, in line with the basic conditions of" a class of the wording. For non-compliance with the relevant laws, regulations, rules, the document provided by operating issues, or diligence is not its nature or the legitimacy of the law to make an accurate judgement of the matter, lawyers should be made reservations, as well as the corresponding reasons.

 

7.1 法律意見書的基本內(nèi)容

7.1.1 法律意見書開頭部分

    （1）法律意見書開頭部分應(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)公認的業(yè)務(wù)標準、道德規(guī)范和勤勉盡責精神，出具法律意見書。

    （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)定及本法律意見書出具日以前已發(fā)生或存在的事實發(fā)表法律意見。

    （3）律師應(yīng)承諾已嚴格履行法定職責，遵循了勤勉盡責和誠實信用原則，對委托人委托事項的合法、合規(guī)、真實、有效性進行了充分的核查驗證，保證法律意見書和律師工作報告不存在虛假記載、誤導性陳述及重大遺漏。

    （4）律師應(yīng)承諾同意對法律意見書和律師工作報告承擔相應(yīng)的法律責任。

    （5）律師應(yīng)承諾同意委托人部分或全部引用法律意見書或律師工作報告的內(nèi)容，但委托人作上述引用時，不得因引用而導致法律上的歧義或曲解。

（6）律師可作出其他適當聲明，但不得做出違反律師行業(yè)公認的業(yè)務(wù)標準、道德規(guī)范和勤勉盡責精神的免責聲明。

7 elements of the law from 7.1 the basic content of the law from the beginning of 7.1.1 (1) The law should specify the beginning of the submissions, lawyers are in accordance with the relevant laws and regulations on the basis of the legal profession recognized business standards, Ethics and the spirit of diligence, issued by legal submissions. (2) lawyers should undertake in accordance with the relevant laws and regulations and the provisions of this legal submissions on the issue before or the fact that the existence of a legal opinion. (3) lawyers should have strict commitment to perform their 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 lawyers work There is no report of false records, misleading statements and major omissions. (4) lawyers should commit themselves to agree on the legal submissions and report on the work of lawyers bear the corresponding legal responsibility. (5) lawyers agree that clients should commit themselves to quote some or all of the legal submissions of counsel or the contents of the report, but made the above quote when the client, not to invoke a result of the legal ambiguity or misinterpretation. (6) lawyers can make other appropriate statement, but not to breach the legal profession recognized business standards, ethics and diligence of the disclaimer.

 

7.1.2 法律意見書正文

律師應(yīng)在進行充分核查驗證的基礎(chǔ)上，對委托人委托的事項明確發(fā)表結(jié)論性意見。所發(fā)表的結(jié)論性意見應(yīng)包括是否合法合規(guī)、是否真實有效，是否存在糾紛或潛在風險。

7.1.2 legal counsel from the body should be in full verification on the basis of verification, the client commissioned a clear matter of concluding observations. Published by the concluding observations should include the legality of the regulation, whether real, valid, the existence of disputes or potential risks.

 

7.1.3 總體結(jié)論性意見

    （1）律師應(yīng)對委托人委托的事項是否存在違法違規(guī)，明確發(fā)表總體結(jié)論性意見。

（2）律師已勤勉盡責仍不能發(fā)表肯定性意見的，應(yīng)發(fā)表保留意見，并說明相應(yīng)的理由。

7.1.3 overall concluding observations (1) commissioned a lawyer to clients of the existence of illegal matters, a clear overall concluding observations. (2) lawyers have diligence can not express the views of certainty, should be made reservations, as well as the corresponding reasons.

 

7.2 律師工作報告的基本內(nèi)容

7.2.1 律師工作報告開頭部分

律師工作報告開頭部分應(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)公認的業(yè)務(wù)標準、道德規(guī)范和勤勉盡責精神，出具律師工作報告。

7.2.2 律師工作報告引言

    （1）可以簡介律師及律師事務(wù)所，包括（但不限于）注冊地及時間、業(yè)務(wù)范圍、執(zhí)業(yè)律師人數(shù)、本次簽名律師的執(zhí)業(yè)記錄及其主要經(jīng)歷、聯(lián)系方式等。

    （2）說明律師制作法律意見書的工作過程，包括（但不限于）與委托人相互溝通的情況，對委托人提供材料的查驗、走訪、談話記錄、現(xiàn)場勘查記錄、查閱文件的情況，以及工作時間等。

7.2.3 律師工作報告正文

    （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，委托事項是否合法有效，是否存在法律障礙、可能引致的風險等。

（2）律師認為需要說明的其他問題。

7.2 Counsel report on the work of the basic elements 7.2.1 lawyers report on the work of lawyers beginning of the beginning of the work report should contain, lawyers are in accordance with the relevant laws and regulations on the basis of the legal profession recognized business standards, ethics and the spirit of diligence , Issued by the Law Society report on the work.。7.2.2 report on the work of lawyers Introduction (1) Introduction lawyers and law firms, including (but not limited to) the time and place of registration, business scope, the number of lawyers, this lawyer's signature practice record and its main experience, contacts, etc. . (2) Description of the lawyers making legal submissions process, including (but not limited to) and the client to communicate with each other, to provide information on the client identification, 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 with the relevant laws, regulations, rules and provisions of the statute of clients, whether the commission valid, the existence of legal barriers, may lead to the risks. (2) lawyers need to note that the other issues.

 

8.1 提交委托人的法律意見書和律師工作報告應(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 法律意見書和律師工作報告在經(jīng)本所蓋章前，應(yīng)經(jīng)至少兩名以上合伙人審閱并簽署“同意”意見。

8 to 8.1 procedures issued by clients of legal submissions and lawyers should be a report on the work of the lawyers over at least one signature, and as with official seals by the signing date of the official text. 8.2 legal submissions and lawyers in the work report by the seal of the former, it shall be at least two more partners reviewed and signed the "consent" views.

 

9.1 律師簽署的法律意見書和律師工作報告提交委托人后，不得收回進行修改。如律師認為需補充或更正，應(yīng)另行出具補充法律意見書和律師工作報告。

9.2 法律意見書和律師工作報告提交委托人后，律師應(yīng)關(guān)注委托人的反饋意見。委托人對法律意見書和律師工作報告提出疑問的，律師認為有必要，可以出具補充法律意見書和補充報告。

9 Laws 9.1 and feedback from the law signed by 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 additional legal submissions and report on the work of lawyers. 9.2 legal submissions and lawyers work report to the client, lawyers should be concerned about client feedback. Clients of the legal submissions and lawyers raise questions about the report, the lawyers considered it necessary, can produce additional legal submissions and supplementary report.

 

10.1 律師在制作法律意見書和律師工作報告的同時，應(yīng)制作工作底稿。

10.2 律師應(yīng)及時、準確、真實地制作工作底稿，工作底稿的質(zhì)量是判斷律師是否勤勉盡責的重要依據(jù)。

10.3 工作底稿應(yīng)包括（但不限于）以下內(nèi)容：

　�。�1）律師承擔項目的基本情況，包括委托人名稱、項目名稱、制作項目的時間或期間、工作量統(tǒng)計；

　�。�2）為制作法律意見書和律師工作報告制定的工作計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)立批準證書、營業(yè)執(zhí)照、合同、章程等文件或變更文件的復印件；

　�。�4）重大合同、協(xié)議及其他重要文件和會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，對委托人提供資料的檢查、調(diào)查訪問記錄、往來函件、現(xiàn)場勘察記錄、查閱文件清單等相關(guān)的資料及詳細說明；

　�。�6）委托人及相關(guān)人員的書面保證或聲明書的復印件；

　�。�7）對保留意見及疑難問題所作的說明；

（8）其他與出具法律意見書和律師工作報告相關(guān)的重要資料。

10 working papers of 10.1 lawyers in the production of legal submissions and report on the work of lawyers at the same time, should produce working papers. 10.2 lawyers should be timely, accurate and true to create working papers, working papers of the quality of judgement whether the lawyer an important basis for diligence. 10.3 working papers should include (but are not limited to) the following: (1) counsel's basic commitment to the project, including the names of clients, project name, the production projects or the time period, the workload statistics (2) for the production of legal submissions Report on the work of lawyers and develop a work plan and operational procedures of the record, (3) the establishment 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 documents and meeting records or copies of the summary (5) and associated personnel and clients to communicate with each other in the records, provide information on clients of inspection, survey records, correspondence, the scene Inspection records, access to the list of documents and other relevant information and details, (6) clients and associated personnel a written guarantee or a copy of the statement (7) and the reservations made by the difficult issue of the note, (8) and other Issued by the law and lawyers from the relevant report on the work of important information.

 

10.4 上述資料應(yīng)注明來源。凡涉及律師向有關(guān)當事人調(diào)查所作的記錄，應(yīng)由當事人和律師本人簽名。

10.5

工作底稿由承辦律師根據(jù)TY/GL05.03《律師業(yè)務(wù)檔案立卷歸檔辦法》的規(guī)定立卷歸檔。

    TY/GL02.01《律師執(zhí)業(yè)規(guī)范》

    TY/GL02.02《律師職業(yè)道德和執(zhí)業(yè)紀律規(guī)范》

    TY/GL05.03《律師業(yè)務(wù)檔案立卷歸檔辦法》

10.4 The above information should be specified sources. Where counsel to the relevant parties involved in the investigation records, I should be the parties and lawyers signature. 10.5 working papers by the contractor in accordance with the Law Society TY/GL05.03 "Filing lawyers file archiving business approach" Filing the provisions of archiving. 11 cited documents TY/GL02.01 "lawyers norms" TY/GL02.02 "lawyers professional ethics and practice discipline norms" TY/GL05.03 "business lawyers to file archiving Filing"