美国律师协会 职业行为示范准则（2004年）（中英对照）（中）
ABA Model Rules of Professional Conduct (2004)
美国律师协会 职业行为示范准则（2004年）
（中）
（前接上）
Rule 1.11 Special Conflicts of Interest for Former and Current Government Officers and Employees
(a) Except as law may otherwise expressly permit, a lawyer who has formerly served as a public officer or employee of the government:(1) is subject toRule 1.9(c); and(2) shall not otherwise represent a client in connection with a matter in which the lawyer participated personally and substantially as a public officer or employee, unless the appropriate government agency gives itsinformed consent,confirmed in writing, to the representation.
(b) When a lawyer is disqualified from representation under paragraph (a), no lawyer in afirmwith which that lawyer is associated mayknowinglyundertake or continue representation in such a matter unless:(1) the disqualified lawyer is timelyscreenedfrom any participation in the matter and is apportioned no part of the fee therefrom; and(2)writtennotice is promptly given to the appropriate government agency to enable it to ascertain compliance with the provisions of this rule.(c) Except as law may otherwise expressly permit, a lawyer having information that the lawyerknowsis confidential government information about a person acquired when the lawyer was a public officer or employee, may not represent a private client whose interests are adverse to that person in a matter in which the information could be used to the material disadvantage of that person. As used in this Rule, the term "confidential government information" means information that has been obtained under governmental authority and which, at the time this Rule is applied, the government is prohibited by law from disclosing to the public or has a legal privilege not to disclose and which is not otherwise available to the public. Afirmwith which that lawyer is associated may undertake or continue representation in the matter only if the disqualified lawyer is timelyscreenedfrom any participation in the matter and is apportioned no part of the fee therefrom.
(d) Except as law may otherwise expressly permit, a lawyer currently serving as a public officer or employee:(1) is subject toRules 1.7and1.9; and(2) shall not:(i) participate in a matter in which the lawyer participated personally and substantially while in private practice or nongovernmental employment, unless the appropriate government agency gives itsinformed consent,confirmed in writing; or(ii) negotiate for private employment with any person who is involved as a party or as lawyer for a party in a matter in which the lawyer is participating personally and substantially, except that a lawyer serving as a law clerk to a judge, other adjudicative officer or arbitrator may negotiate for private employment as permitted byRule 1.12(b)and subject to the conditions stated in Rule 1.12(b).
(e) As used in this Rule, the term "matter" includes:(1) any judicial or other proceeding, application, request for a ruling or other determination, contract, claim, controversy, investigation, charge, accusation, arrest or other particular matter involving a specific party or parties, and(2) any other matter covered by the conflict of interest rules of the appropriate government agency.
第1.11条前任和现任政府官员及雇员的特殊利益冲突
（a） 除法律明确许可外，曾担任公职人员或政府雇员的律师：（1） 受本准则第1.9条（c）款约束；且（2） 不得以其他方式代理委托人处理该律师曾以公职人员或雇员身份亲自参与的事务，但相关政府机构书面确认其知情同意除外。
（b） 律师根据本条（a）款丧失代理资格时，该律师执业的律师事务所中的所有律师均不得在明知的情况下接受或继续代理有冲突的相应事项，但下列情形除外：（1） 丧失代理资格的律师回避并不参与该事项，并且不分摊任何费用；和（2） 立即书面通知相关政府机构，以确保其遵守本规则的规定。
（c） 除法律另有明确允许外，律师作为公职人员或雇员时获得的个人信息属于政府机密信息，律师不得在上述信息的使用会对该主体造成重大不利影响的事项中代理与该主体利益冲突的其他个人。在本准则中，“政府机密信息”是指在政府授权下获得的信息，在适用本准则时，是指法律禁止政府向公众披露或其拥有法律特权免于被披露，且公众无法以其他渠道获得的信息。该律师所任职的律师事务所只有在丧失代理资格的律师及时回避不参与委托事项，且未从该委托事项中分摊任何费用的情况下，才可以接受或继续代理该事项。
（d） 除法律另有明确许可外，担任公职人员或雇员的律师：（1） 应当遵守本准则第1.7条和第1.9条；且（2） 不得实施下列行为：（i） 参与其在独立执业或担任公职时亲自和实质性参与过的事项，除非相关政府机构书面确认知情同意；或（ii）与作为一方当事人或一方的律师参与其亲自实质性参与的事项中的主体磋商委托事宜，但本准则第1.12条（b）款规定的担任法官、其他裁判人员或仲裁员的书记员的律师根据第1.12条（b）款规定的条件进行委托谈判的除外。
（e） 在本条中的“事项”包括：（1） 涉及特定一方或多方的任何司法或其他程序、申请、裁决或其他裁定请求、合同、索赔、争议、调查、追索、指控、逮捕或其他特定事项，以及（2） 相关政府机构的利益冲突规则涵盖的任何其他事项。
Rule 1.12 Former Judge, Arbitrator, Mediator or Other Third-Party Neutral
(a) Except as stated in paragraph (d), a lawyer shall not represent anyone in connection with a matter in which the lawyer participated personally and substantially as a judge or other adjudicative officer or law clerk to such a person or as an arbitrator, mediator or other third-party neutral, unless all parties to the proceeding giveinformed consent,confirmed in writing.
(b) A lawyer shall not negotiate for employment with any person who is involved as a party or as lawyer for a party in a matter in which the lawyer is participating personally and substantially as a judge or other adjudicative officer or as an arbitrator, mediator or other third-party neutral. A lawyer serving as a law clerk to a judge or other adjudicative officer may negotiate for employment with a party or lawyer involved in a matter in which the clerk is participating personally and substantially, but only after the lawyer has notified the judge, or other adjudicative officer.
(c) If a lawyer is disqualified by paragraph (a), no lawyer in afirmwith which that lawyer is associated mayknowinglyundertake or continue representation in the matter unless:(1) the disqualified lawyer isscreenedfrom any participation in the matter and is apportioned no part of the fee therefrom; and(2)writtennotice is promptly given to the parties and any appropriatetribunalto enable them to ascertain compliance with the provisions of this rule.
(d) An arbitrator selected as a partisan of a party in a multimember arbitration panel is not prohibited from subsequently representing that party.
第1.12条 原法官、仲裁员、调解员或其他中立第三方
（a） 除本条（d）款规定外，律师不得代理与其担任法官、其他审判人员或类似决策者的书记员、仲裁员、调解员或其他第三方中立人士参与的事项有关的任何主体，但纠纷各方均书面确认已知情同意除外。
（b） 律师不得作为当事人或代理人与其以法官、其他审判人员、仲裁员、调解员或其他第三方中立人士的身份亲自或实质性参与的事项的当事人进行雇佣。担任法官或其他审判人员的书记员的律师可与其担任书记员时亲自实质性参与的事项的当事人或其律师协商委托事宜，但应事先通知相应法官或其他审判人员。
（c） 根据本条（a）款规定丧失代理资格的律师，其所在律师事务所中的任何律师都不得明知的情况下接受或继续代理该事项，但下列情形除外：（1） 丧失代理资格的律师回避不参与该委托事项，且不获取任何费用；且（2） 立即书面通知双方当事人和相关的所有法庭，以使他们能够确定遵守本条规定。
（d） 多名成员组成的仲裁庭中，被一方当事人推选的仲裁员随后不得代理该方当事人。
Rule 1.13 Organization as Client
(a) A lawyer employed or retained by an organization represents the organization acting through its duly authorized constituents.
(b) If a lawyer for an organizationknowsthat an officer, employee or other person associated with the organization is engaged in action, intends to act or refuses to act in a matter related to the representation that is a violation of a legal obligation to the organization, or a violation of law thatreasonablymight be imputed to the organization, and that is likely to result insubstantialinjury to the organization, then the lawyer shall proceed as is reasonably necessary in the best interest of the organization. Unless the lawyer reasonably believes that it is not necessary in the best interest of the organization to do so, the lawyer shall refer the matter to higher authority in the organization, including, if warranted by the circumstances to the highest authority that can act on behalf of the organization as determined by applicable law.
(c) Except as provided in paragraph (d), if(1) despite the lawyer's efforts in accordance with paragraph (b) the highest authority that can act on behalf of the organization insists upon or fails to address in a timely and appropriate manner an action, or a refusal to act, that is clearly a violation of law, and(2) the lawyerreasonablybelieves that the violation is reasonably certain to result insubstantialinjury to the organization, then the lawyer may reveal information relating to the representation whether or notRule 1.6permits such disclosure, but only if and to the extent the lawyer reasonably believes necessary to prevent substantial injury to the organization.
(d) Paragraph (c) shall not apply with respect to information relating to a lawyer's representation of an organization to investigate an alleged violation of law, or to defend the organization or an officer, employee or other constituent associated with the organization against a claim arising out of an alleged violation of law.
(e) A lawyer whoreasonably believesthat he or she has been discharged because of the lawyer's actions taken pursuant to paragraphs (b) or (c), or who withdraws under circumstances that require or permit the lawyer to take action under either of those paragraphs, shall proceed as the lawyer reasonably believes necessary to assure that the organization's highest authority is informed of the lawyer's discharge or withdrawal.
(f) In dealing with an organization's directors, officers, employees, members, shareholders or other constituents, a lawyer shall explain the identity of the client when the lawyer knows orreasonably should knowthat the organization's interests are adverse to those of the constituents with whom the lawyer is dealing.
(g) A lawyer representing an organization may also represent any of its directors, officers, employees, members, shareholders or other constituents, subject to the provisions ofRule 1.7. If the organization's consent to the dual representation is required by Rule 1.7, the consent shall be given by an appropriate official of the organization other than the individual who is to be represented, or by the shareholders.
第1.13条 机构委托人
（a） 机构雇用或聘请的律师代表该机构通过其正式授权的成员处理委托事务。
（b） 如果一个机构的律师知道与该机构有关的公职人员、雇员或其他人员正在实施、计划实施或拒绝实施与该代理事项有关且违反该机构法定义务的活动、可能合理归咎于该机构的违法行为和可能对该机构造成实质性损害的行为，则律师应当为保护该机构的最佳利益采取合理必要的行动。除非该律师有理由认为，为维护机构的最大利益，没有必要采取该等行动，否则律师应当将此事提交给该机构的上级主管机关，包括在条件允许的情况下，提交给相关法律确定的、能够代表机构行事的最高级别主管机关。
（c） 除本条（d）款另有规定外，律师应当遵守下列规定：（1）虽然律师根据本条（b）款采取行动，但代表该机构行事的最高级别主管机关坚持或未能及时、妥善处理明显违法的行为或拒绝处理，且（2） 如果律师有理由相信，违法行为肯定会对机构造成实质性伤害，并且有理由认为有必要采取措施防止对机构造成实质性损害，律师可以披露与其代理事项相关的信息，无论根据本准则第1.6条是否允许披露。
（d） 本条 （c）款不适用于与律师代理机构调查被诉违法行为，或就指称的违法行为引起的索赔为该机构或该机构的公职人员、雇员或其他组成人辩护相关的信息。
（e） 如果律师有理由相信其因根据本条（b）款或（c）款采取行动而被解除职务，或在要求或允许律师根据上述任一款规定采取行动的情况下退出代理，应按照律师合理认为必要的方式进行，以确保将律师的解职或退出被送达该机构的最高决策机构。
（f） 在与机构委托人的董事、高级职员、雇员、会员、股东或其他成员打交道时，如果律师知道或应当知道该机构的利益与律师正在与之打交道的成员的利益冲突，律师应当声明其作为机构委托人的身份。
（g） 根据本准则第1.7条规定，代理机构委托人的律师也可以代理该机构的任何董事、高级职员、雇员、成员、股东或其他成员。如果第1.7条要求本机构同意双方代理，则应由本机构除拟代表个人以外的适当公职人员或股东同意。
Rule 1.14 Client With Diminished Capacity
(a) When a client's capacity to make adequately considered decisions in connection with a representation is diminished, whether because of minority, mental impairment or for some other reason, the lawyer shall, as far asreasonablypossible, maintain a normal client-lawyer relationship with the client.
(b) When the lawyerreasonably believesthat the client has diminished capacity, is at risk ofsubstantialphysical, financial or other harm unless action is taken and cannot adequately act in the client's own interest, the lawyer may takereasonablynecessary protective action, including consulting with individuals or entities that have the ability to take action to protect the client and, in appropriate cases, seeking the appointment of a guardian ad litem, conservator or guardian.
(c) Information relating to the representation of a client with diminished capacity is protected byRule 1.6. When taking protective action pursuant to paragraph (b), the lawyer is impliedly authorized under Rule 1.6(a) to reveal information about the client, but only to the extentreasonablynecessary to protect the client's interests.
第1.14条 能力减弱的客户
（a） 当委托人深思熟虑作出代理决定的能力下降时，无论是因弱势群体、精神障碍还是其他原因，律师均应尽可能与委托人保持正常的代理关系。
（b） 当律师有理由认为委托人的能力减弱，如果不采取行动将会面临重大人身、财产或其他损害风险，且其无法适当地为委托人自身利益采取行动，则律师可以采取合理必要的保护措施，包括咨询有能力采取行动以保护委托人的个人或组织，在适当市后申请指定诉讼监护人、保护人或监护人。
（c） 与能力减弱的委托人的代理事项相关的信息受本准则第1.6条保护。在根据本条（b）款采取保护行动时，律师根据第1.6条（a）款规定被默认获取授权披露有关委托人的信息，但该等披露仅限于保护委托人利益所必要的合理范围。
Rule 1.15 Safekeeping Property
(a) A lawyer shall hold property of clients or third persons that is in a lawyer's possession in connection with a representation separate from the lawyer's own property. Funds shall be kept in a separate account maintained in the state where the lawyer's office is situated, or elsewhere with the consent of the client or third person. Other property shall be identified as such and appropriately safeguarded. 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) A lawyer may deposit the lawyer's own funds in a client trust account for the sole purpose of paying bank service charges on that account, but only in an amount necessary for that purpose.
(c) A lawyer shall deposit into a client trust account legal fees and expenses that have been paid in advance, to be withdrawn by the lawyer only as fees are earned or expenses incurred.
(d) Upon receiving funds or other property in which a client or third person has an interest, a lawyer shall promptly notify the client or third person. Except as stated in this rule or otherwise permitted by law or by agreement with the client, 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, upon request by the client or third person, shall promptly render a full accounting regarding such property.
(e) When in the course of representation a lawyer is in possession of property in which two or more persons (one of whom may be the lawyer) claim interests, the property shall be kept separate by the lawyer the dispute is resolved. The lawyer shall promptly distribute all portions of the property as to which the interests are not in dispute.
第1.15条 保管财产
（a） 律师持有其代理关系相关的委托人或第三人的财产时，应确保该财产独立于律师的自有财产。资金应存入律师事务所所在州或经委托人或第三人同意的其他地方的独立账户中。其他财产应做类似标记并适当保护。律师应保存该账户资金和其他财产的完整记录，并在代理关系终止后保存[五年]。
（b） 律师可将其自有资金存入委托人的信托账户，其仅限于为支付该账户的银行服务费。
（c） 律师应当将已预付的法律费用和开支存入客户信托账户，仅在收取法律服务费用或支出时由律师提取。
（d） 律师收到委托人或第三人的资金或其他财产后，应立即通知委托人或第三人。除本准则另有规定、法律或与委托人的委托协议同意外，律师应立即向委托人或第三人交付该等主体有权接收的任何资金或其他财产，并应当根据接收人的要求立即提供有关此类财产的完整账目。
（e）当律师在代理过程中保管的财产被两人或两人以上（其中一人可能是律师）主张权益时，该财产应在争议解决后由律师分开保管。律师应立即向权利人归还无权属争议的财产。
Rule 1.16 Declining or Terminating Representation
(a) Except as stated in paragraph (c), a lawyer shall not represent a client or, where representation has commenced, shall withdraw from the representation of a client if:(1) the representation will result in violation of the Rules of Professional Conduct or other law;(2) the lawyer's physical or mental condition materially impairs the lawyer's ability to represent the client; or(3) the lawyer is discharged.
(b) except as stated in paragraph (c), a lawyer may withdraw from representing a client if:(1) withdrawal can be accomplished without material adverse effect on the interests of the client;(2) the client persists in a course of action involving the lawyer's services that the lawyerreasonably believesis criminal orfraudulent;(3) the client has used the lawyer's services to perpetrate a crime orfraud;(4) the client insists upon taking action that the lawyer considers repugnant or with which the lawyer has a fundamental disagreement;(5) the client fails substantially to fulfill an obligation to the lawyer regarding the lawyer's services and has been givenreasonablewarning that the lawyer will withdraw unless the obligation is fulfilled;(6) the representation will result in an unreasonable financial burden on the lawyer or has been rendered unreasonably difficult by the client; or(7) other good cause for withdrawal exists.
(c) A lawyer must comply with applicable law requiring notice to or permission of atribunalwhen terminating a representation. When ordered to do so by a tribunal, a lawyer shall continue representation notwithstanding good cause for terminating the representation.
(d) Upon termination of representation, a lawyer shall take steps to the extentreasonablypracticable to protect a client's interests, such as givingreasonablenotice to the client, allowing time for employment of other counsel, surrendering papers and property to which the client is entitled and refunding any advance payment of fee or expense that has not been earned or incurred. The lawyer may retain papers relating to the client to the extent permitted by other law.
第1.16条 拒绝或终止代理
（a）除本条（c）款规定情形外，在下列情况下，律师不得接受委托并终止已开始的代理：（1）该代理违反职业行为准则或其他法律；（2）律师的身体或精神状况严重损害律师的代理能力；或（3）律师被解雇了。
（b）除本条（c）款所规定情况外，在下列情形发生时，律师可以终止代理活动：（1）在不会对委托人的利益造成重大不利影响的情况下退出代理关系；（2）律师有理由认为委托人坚持要求律师提供服务的事项涉及犯罪或欺诈；（3）委托人利用律师服务实施犯罪或欺诈；（4）委托人坚持实施律师反感或律师不同意的行为；（5）委托人未能履行其因律师服务而对律师承担的实体义务，并在收到关于拒绝履行将导致律师终止代理的合理催告后仍拒绝履行；（6）该代理将导致律师承担不合理的经济负担，或被委托人施加不合理地困难；或（7）存在终止代理的其他正当理由。
（c）律师在终止代理时必须遵守申请向法庭发出通知或获得法庭许可的正当程序。法庭命令律师继续代理时，即使有正当理由终止代理，律师仍应继续代理。
（d）代理终止后，律师应在合理可行的范围内采取措施保护委托人的利益，例如向委托人发出合理通知、预留时间供其雇佣其他律师，向委托人交付其有权获得的文件和财产，并退还尚未赚取或发生的任何费用或开支预付款。在其他法律允许的范围内，律师可以保留与委托人有关的文件。
Rule 1.17 Sale of Law Practice
A lawyer or alaw firmmay sell or purchase a law practice, or an area of law practice, including good will, if the following conditions are satisfied:
(a) The seller ceases to engage in the private practice of law, or in the area of practice that has been sold, [in the geographic area] [in the jurisdiction] (a jurisdiction nay elect either version) in which the practice has been conducted;
(b) The entire practice, or the entire area of practice, is sold to one or more lawyers orlaw firm;
(c) The seller giveswrittennotice to each of the seller's clients regarding:(1) the proposed sale;(2) the client's right to retain other counsel or to take possession of the file; and(3) the fact that the client's consent to the transfer of the client's files will be presumed if the client does not take any action or does not otherwise object within ninety (90) days of receipt of the notice.If a client cannot be given notice, the representation of that client may be transferred to the purchaser only upon entry of an order so authorizing by a court having jurisdiction. The seller may disclose to the court in camera information relating to the representation only to the extent necessary to obtain an order authorizing the transfer of a file.
(d) The fees charged clients shall not be increased by reason of the sale.
第1.17条 销售法律实务
下列条件成就时，律师或律师事务所可以出售或购买法律业务或区域法律业务，包括商誉：
（a）卖方停止从事执业活动，或停止在拟出售的区域[地理区域][司法管辖区]（司法管辖区可选择任何一种版本）从事执业活动；
（b）将整个业务或整个业务领域出售给一名或多名律师或律师事务所；
（c）卖方就以下事项向卖方的每一位委托人发出书面通知：（1）拟议出售；（2）委托人聘请其他律师或获取文件的权利；以及（3）如果委托人在收到通知后九十（90）天内未采取任何行动或未提出异议，则视为委托人同意移交委托人文件。如果无法向委托人发出通知，则只有在有管辖权的法院作出授权后，该委托人的代理业务才能转让给买方。卖方只能在获得授权转让文件的命令所需的范围内向法院披露与陈述有关的保密信息。
（d）向委托人收取的费用不得因销售而增加。
Rule 1.18 Duties to Prospective Client
(a) A person who discusses with a lawyer the possibility of forming a client-lawyer relationship with respect to a matter is a prospective client.
(b) Even when no client-lawyer relationship ensues, a lawyer who has had discussions with a prospective client shall not use or reveal information learned in the consultation, except asRule 1.9would permit with respect to information of a former client.
(c) A lawyer subject to paragraph (b) shall not represent a client with interests materially adverse to those of a prospective client in the same or a substantially related matter if the lawyer received information from the prospective client that could be significantly harmful to that person in the matter, except as provided in paragraph (d). If a lawyer is disqualified from representation under this paragraph, no lawyer in afirmwith which that lawyer is associated mayknowinglyundertake or continue representation in such a matter, except as provided in paragraph (d).
(d) When the lawyer has received disqualifying information as defined in paragraph (c), representation is permissible if:(1) both the affected client and the prospective client have giveninformed consent,confirmed in writing, or:(2) the lawyer who received the information tookreasonablemeasures to avoid exposure to more disqualifying information than was reasonably necessary to determine whether to represent the prospective client; and(i) the disqualified lawyer is timelyscreenedfrom any participation in the matter and is apportioned no part of the fee therefrom; and(ii)writtennotice is promptly given to the prospective client.
第1.18对潜在客户的责任
（a）与律师讨论就某一事项建立代理关系的人是潜在客户。
（b）即使没有委托代理关系，与潜在委托人交流过的律师也不得使用或披露在咨询过程中获得的信息，除本准则第1.9条允许使用原委托人的信息外。
（c）除本条（d）款另有规定外，受本条（b）款约束的律师不得代理与潜在委托人在同一事项或实质性相关事项中的利益存在重大不利关系的委托人，前提是该律师从潜在委托人处收到的信息可能对该主体在该事项中造成重大损害。如果律师根据本款规定丧失代理资格，则该律师执业的律师事务所中的任何律师均不得在知情的情况下接受或继续代理该事项，除非本条（d）款另有规定。
（d）当律师收到本条（c）款中定义的代理资格丧失信息时，如果：（1）受影响的委托人和潜在委托人均已书面表示知情同意，或：（2）收到信息的律师采取了合理措施避免接触到超出其确定是否代理潜在委托人所合理必要的不合格信息；且（i） 不具备代理资格的律师回避不参与委托事项，并且不获取任何费用；且（ii）立即向潜在委托人发出书面通知。
COUNSELOR 法律顾问
Rule 2.1 Advisor
In representing a client, a lawyer shall exercise independent professional judgment and render candid advice. In rendering advice, a lawyer may refer not only to law but to other considerations such as moral, economic, social and political factors, that may be relevant to the client's situation.
第2.1条 法律顾问
律师代理其委托人时，应当作出独立的专业判断，并真诚提供的意见。在提供咨询意见时，律师不仅可以参考法律，还可以参考可能与委托人情况有关的其他因素，如道德、经济、社会和政治因素。
Rule 2.2 Intermediary{Deleted}
第2.2条 居中调解【已删除】
Rule 2.3 Evaluation for Use by Third Persons
(a) A lawyer may provide an evaluation of a matter affecting a client for the use of someone other than the client if the lawyerreasonably believesthat making the evaluation is compatible with other aspects of the lawyer's relationship with the client.
(b) When the lawyerknowsorreasonably should knowthat the evaluation is likely to affect the client's interests materially and adversely, the lawyer shall not provide the evaluation unless the client givesinformed consent.
(c) Except as disclosure is required in connection with a report of an evaluation, information relating to the evaluation is otherwise protected byRule 1.6.
第2.3条 第三方评估
（a） 如果律师有理由认为不损害委托关系，其可以对影响委托人的事项进行评估以供委托人之外的主体所用。
（b） 当律师知道或理应知道评估可能对委托人的利益产生重大不利影响时，未经委托人知情同意，律师不得提供评估。
（c） 除评估报告按要求披露外，与评估有关的信息应当根据本准则第1.6条保密。
Rule 2.4 Lawyer Serving as Third-Party Neutral
(a) A lawyer serves as a third-party neutral when the lawyer assists two or more persons who are not clients of the lawyer to reach a resolution of a dispute or other matter that has arisen between them. Service as a third-party neutral may include service as an arbitrator, a mediator or in such other capacity as will enable the lawyer to assist the parties to resolve the matter.
(b) A lawyer serving as a third-party neutral shall inform unrepresented parties that the lawyer is not representing them. When the lawyerknowsorreasonably should knowthat a party does not understand the lawyer's role in the matter, the lawyer shall explain the difference between the lawyer's role as a third-party neutral and a lawyer's role as one who represents a client.
第2.4条 作为中立第三方的律师
（a）律师协助两名或两名以上非委托人就他们之间发生的纠纷或其他事项达成解决方案时，律师作为中立第三方。作为中立第三方的服务服务范围可以包括，律师为协助双方解决问题而作为仲裁员、调解员或其他身份提供的服务。
（b）担任中立第三方的律师应通知其并未代理的无代理人当事人。当律师知道或应当知道一方当事人不了解律师在该事项中的角色时，律师解释其作为中立第三方中立者角色与律师作为一方当事人的代理人的角色的区别。
ADVOCATE 倡导性规定
Rule 3.1 Meritorious Claims and Contentions
A lawyer shall not bring or defend a proceeding, or assert or controvert an issue therein, unless there is a basis in law and fact for doing so that is not frivolous, which includes a good faith argument for an extension, modification or reversal of existing law. A lawyer for the defendant in a criminal proceeding, or the respondent in a proceeding that could result in incarceration, may nevertheless so defend the proceeding as to require that every element of the case be established.
第3.1条 倡导的主张和抗辩
律师提起诉讼、为诉讼辩护、主张或反驳诉讼中的具体问题均应当有相应的法律和事实依据，其中包括对现行法律的扩张、修改或撤销进行善意论证。但刑事诉讼或可能判决监禁的诉讼案件中的被告人的代理律师可以提出辩护主张要求认定案件的每一个构成要件。
Rule 3.2 Expediting Litigation
A lawyer shall makereasonableefforts to expedite litigation consistent with the interests of the client.
第3.2条 推进诉讼
律师应尽合理努力推进诉讼进程，以符合委托人的利益。[评论][2002年以前的版本][陈述说明]
Rule 3.3 Candor Toward the Tribunal
(a) A lawyer shall notknowingly:(1) make a false statement of fact or law to atribunalor fail to correct a false statement of material fact or law previously made to the tribunal by the lawyer;(2) fail to disclose to thetribunallegal authority in the controlling jurisdictionknownto the lawyer to be directly adverse to the position of the client and not disclosed by opposing counsel; or(3) offer evidence that the lawyerknowsto be false. If a lawyer, the lawyer's client, or a witness called by the lawyer, has offered material evidence and the lawyer com es to know of its falsity, the lawyer shall takereasonableremedial measures, including, if necessary, disclosure to thetribunal. A lawyer may refuse to offer evidence, other than the testimony of a defendant in a criminal matter, that the lawyerreasonably believesis false.
(b) A lawyer who represents a client in an adjudicative proceeding and whoknowsthat a person intends to engage, is engaging or has engaged in criminal orfraudulentconduct related to the proceeding shall takereasonableremedial measures, including, if necessary, disclosure to thetribunal.
(c) The duties stated in paragraphs (a) and (b) continue to the conclusion of the proceeding, and apply even if compliance requires disclosure of information otherwise protected byRule 1.6.
(d) In anex parteproceeding, a lawyer shall inform thetribunalof all material factsknownto the lawyer that will enable the tribunal to make an informed decision, whether or not the facts are adverse.
第3.3条 面对法庭时实事求是
（a） 律师故意：（1）向法庭虚假陈述案件事实或法律，或怠于纠正其此前就重要事实或法律向法庭作出的虚假陈述。（2）未能向法庭披露其已知的、有管辖权司法权力机关存在与委托人利益相悖且未被对方代理人披露的事项；或（3）不得故意提供其明知为虚假的证据。如果律师明知其自身、委托人或律师传唤的证人提供的物证为虚假证据，律师应采取合理的补救措施，包括在必要时向法庭披露。律师可以拒绝提供律师有理由认为是虚假的证据，但刑事案件中被告的证词除外。
（b） 在审判程序中代理一方当事人并知道该方当事人有意向实施、正在实施或已经实施与该审判程序有关的犯罪或欺诈行为的律师，应当采取合理的补救措施，包括在必要时向法庭披露。
（c） 本条（a）款和（b）款项下的义务在相关诉讼终结时继续有效，包括根据合规要求披露本准则第1.6条所保护的信息时，也应遵守上述规定。
（d） 在单方诉讼程序（即只有一方当事人的诉讼程序--译者注）中，为使法庭能够作出知情决定，律师应将其所知的所有重大事实均告知法庭，无论这些事实是否不利于其委托人。
Rule 3.4 Fairness to Opposing Party and Counsel
A lawyer shall not:
(a) unlawfully obstruct another party's access to evidence or unlawfully alter, destroy or conceal a document or other material having potential evidentiary value. A lawyer shall not counsel or assist another person to do any such act;
(b) falsify evidence, counsel or assist a witness to testify falsely, or offer an inducement to a witness that is prohibited by law;
(c)knowinglydisobey an obligation under the rules of atribunalexcept for an open refusal based on an assertion that no valid obligation exists;
(d) in pretrial procedure, make a frivolous discovery request or fail to makereasonablydiligent effort to comply with a legally proper discovery request by an opposing party;
(e) in trial, allude to any matter that the lawyer does notreasonably believeis relevant or that will not be supported by admissible evidence, assert personal knowledge of facts in issue except when testifying as a witness, or state a personal opinion as to the justness of a cause, the credibility of a witness, the culpability of a civil litigant or the guilt or innocence of an accused; or
(f) request a person other than a client to refrain from voluntarily giving relevant information to another party unless:(1) the person is a relative or an employee or other agent of a client; and(2) the lawyerreasonably believesthat the person's interests will not be adversely affected by refraining from giving such information.
第3.4条 对对方当事人和代理人的公平
律师不得实施下列行为：
（a） 非法妨碍对方获取证据，或非法更改、销毁或隐藏具有潜在证据价值的文件或其他材料。律师不得接受他人咨询或协助他人做出任何此类行为；
（b） 伪造证据、指使或协助证人作伪证，或引诱法律禁止的证人作证；
（c） 故意违反法庭规则规定的义务，但以不存在有效义务为由公开回绝的除外；
（d） 在审前程序中，随意提出证据开示请求，或者未能合理审慎地遵守对方当事人提出的合法正当的证据开示请求；
（e） 在庭审中，提及律师有理由怀疑其关联性或不会得到合格证据支持的任何事项，并未作为证人作证却在争议中将宣称个人对事实的认知，或就诉讼的公正性、证人的可信度陈述个人意见，民事诉讼当事人的有罪或被告的有罪或无罪；或
（f） 要求委托人以外的主体避免主动向其他主体披露相关信息，但下列情形除外：（1） 该主体是委托人的亲属、雇员或其他代理人；且（2） 律师有理由相信，不提供此类信息不会对当事人的利益造成不利影响。
Rule 3.5 Impartiality and Decorum of the Tribunal
A lawyer shall not:
(a) seek to influence a judge, juror, prospective juror or other official by means prohibited by law;
(b) communicateex partewith such a person during the proceeding unless authorized to do so by law or court order;
(c) communicate with a juror or prospective juror after discharge of the jury if:(1) the communication is prohibited by law or court order;(2) the juror has madeknownto the lawyer a desire not to communicate; or(3) the communication involves misrepresentation, coercion, duress or harassment; or
(d) engage in conduct intended to disrupt atribunal.
第3.5庭审的公正性和礼仪律师不得实施下列行为：
（a）试图通过法律禁止的方式影响法官、陪审员、潜在陪审员或其他官方人员；
（b）未经法律或法院命令授权，在诉讼期间与上述人员进行单方面沟通；
（c）在下列情况下，于陪审团解散后与陪审员或潜在陪审员沟通：（1） 法律或法院命令禁止该等沟通；（2） 陪审员已向律师表明不愿沟通；或（3） 该等沟通涉及虚假陈述、强迫、胁迫或骚扰；或
（d） 涉及故意扰乱法庭的行为。
Rule 3.6 Trial Publicity
(a) A lawyer who is participating or has participated in the investigation or litigation of a matter shall not make an extrajudicial statement that the lawyerknowsorreasonably should knowwill be disseminated by means of public communication and will have asubstantiallikelihood of materially prejudicing an adjudicative proceeding in the matter.
(b) Notwithstanding paragraph (a), a lawyer may state:(1) the claim, offense or defense involved and, except when prohibited by law, the identity of the persons involved;(2) information contained in a public record;(3) that an investigation of a matter is in progress;(4) the scheduling or result of any step in litigation;(5) a request for assistance in obtaining evidence and information necessary thereto;(6) a warning of danger concerning the behavior of a person involved, when there is reason to believe that there exists the likelihood ofsubstantialharm to an individual or to the public interest; and(7) in a criminal case, in addition to subparagraphs (1) through (6):(i) the identity, residence, occupation and family status of the accused;(ii) if the accused has not been apprehended, information necessary to aid in the apprehension of that person;(iii) the fact, time and place of arrest; and(iv) the identity of investigating and arresting officers or agencies and the length of the investigation.
(c) Notwithstanding paragraph (a), a lawyer may make a statement that areasonablelawyer would believe is required to protect a client from thesubstantialundue prejudicial effect of recent publicity not initiated by the lawyer or the lawyer's client. A statement made pursuant to this paragraph shall be limited to such information as is necessary to mitigate the recent adverse publicity.
(d) No lawyer associated in afirmor government agency with a lawyer subject to paragraph (a) shall make a statement prohibited by paragraph (a).
[Comment][Pre-2002 version][State Narratives]
第3.6条 宣判
（a）正在或已经参与某项调查或诉讼的律师不得作出其知道或应当知道将通过公共通信方式传播且极有可能严重损害法院的审判程序的庭外陈述。
（b） 律师陈述如下事项，不视为违反本条（a）款的规定明：（1） 所涉索赔、犯罪或辩护，以及所涉人员的身份（法律禁止的情况除外）；（2） 公开记录中包含的信息；（3） 正在对某事项进行调查；（4） 诉讼中任何步骤的时间安排或结果；（5） 请求协助获取必要的证据和信息；（6） 在有理由相信可能对个人或公共利益造成实质性损害时，就所涉及人员的行为发出危险警告；以及（7） 在刑事案件中，除本款第（1）至（6）项外，陈述的如下事项：（i） 被告的身份、住所、职业和家庭状况；（ii）在被告人尚未被捕时提供协助逮捕该人所需的资料；（iii）逮捕的事实、时间和地点；以及（iv）执行调查和逮捕任务的官员或机构的身份及调查时间。
（c） 当明智的律师认为有必要为保护委托人免受其自身或该委托人之外主体的近期宣传的重大不当有害影响，律师作出声明不视为违反本条（a）款的规定。根据本款作出的声明、陈述应限于缓解近期负面宣传所需的信息。
（d） 受本条（a）款约束的律师所在律师事务所或政府机构中的其他律师均不得发表本条（a）款所禁止的声明。
Rule 3.7 Lawyer as Witness
(a) A lawyer shall not act as advocate at a trial in which the lawyer is likely to be a necessary witness unless:(1) the testimony relates to an uncontested issue;(2) the testimony relates to the nature and value of legal services rendered in the case; or(3) disqualification of the lawyer would worksubstantialhardship on the client.
(b) A lawyer may act as advocate in a trial in which another lawyer in the lawyer'sfirmis likely to be called as a witness unless precluded from doing so byRule 1.7orRule 1.9.
第3.7条 律师作证
（a） 律师不得在可能成为必要证人的诉讼案件中担任辩护人，但下列情况除外：（1） 证词涉及无争议的问题；（2） 证词涉及案件中提供的法律服务的性质和价值；或（3） 显示律师的代理资格会导致委托人面临巨大困难。
（b） 律师所任职律师事务所的其他律师可能被传唤成为证人的诉讼案件中，该律师可以担任辩护人，但本准则第1.7条或第1.9条禁止时除外。
Rule 3.8 Special Responsibilities of a Prosecutor
The prosecutor in a criminal case shall:
(a) refrain from prosecuting a charge that the prosecutorknowsis not supported by probable cause;
(b) makereasonableefforts to assure that the accused has been advised of the right to, and the procedure for obtaining, counsel and has been given reasonable opportunity to obtain counsel;
(c) not seek to obtain from an unrepresented accused a waiver of important pretrial rights, such as the right to a preliminary hearing;
(d) make timely disclosure to the defense of all evidence or informationknownto the prosecutor that tends to negate the guilt of the accused or mitigates the offense, and, in connection with sentencing, disclose to the defense and to thetribunalall unprivileged mitigating information known to the prosecutor, except when the prosecutor is relieved of this responsibility by a protective order of the tribunal;
(e) not subpoena a lawyer in a grand jury or other criminal proceeding to present evidence about a past or present client unless the prosecutorreasonably believes:(i) the information sought is not protected from disclosure by any applicable privilege;(ii) the evidence sought is essential to the successful completion of an ongoing investigation or prosecution; and(iii) there is no other feasible alternative to obtain the information;
(f) except for statements that are necessary to inform the public of the nature and extent of the prosecutor's action and that serve a legitimate law enforcement purpose, refrain from making extrajudicial comments that have asubstantiallikelihood of heightening public condemnation of the accused and exercisereasonablecare to prevent investigators, law enforcement personnel, employees or other persons assisting or associated with the prosecutor in a criminal case from making an extrajudicial statement that the prosecutor would be prohibited from making underRule 3.6or this Rule.
第3.8条 检察官的特殊责任刑事案件的检察官应当：
（a） 避免提出其明知没有合理依据支持的指控；
（b） 采取合理措施确保被告已经获悉其拥有的寻求律师帮助的权利以及寻求律师帮助的程序，且被告已经获得合理机会寻求律师帮助；
（c） 不要求无代理人的被告放弃重要的庭前权利，如初审权；
（d） 及时向辩方披露检察官已知的、往往会否定或减轻被告的罪行的所有证据或信息，并且在判决方面，向辩方和法庭披露检察官已知的所有未经授权的减轻罪行的信息，但法庭签发保护令解除检察官的上述责任的不受本条限制；
（e） 不得在大陪审团或其他刑事诉讼中传唤律师要求律师提供有关其过去或当时委托人的证据，检察官合理相信存在下列情形的除外：（i） 所调查的信息不受任何适用特权规则保护不应被披露；（ii）所调查的证据对成功完成正在进行的调查或起诉至关重要；且（iii）没有其他可行的替代方案来获取信息；
（f） 除为向公众通报检察官行为的性质和范围以及为合法执法目的所作的必要陈述外，避免发表极有可能加重公众对被告谴责的法外评论，并采取合理谨慎的措施防止调查人员、执法人员、在刑事案件中协助检察官或与检察官有关联的雇员或其他人作出检察官根据本准则第3.6条或本准则应当被禁止作出的法外陈述。
Rule 3.9 Advocate in Nonadjudicative Proceedings
A lawyer representing a client before a legislative body or administrative agency in a nonadjudicative proceeding shall disclose that the appearance is in a representative capacity and shall conform to the provisions ofRules 3.3(a) through (c),3.4(a) through (c), and3.5.
第3.9条 非审判程序中的辩护人
在非诉讼程序中，代表委托人的律师与立法机构或行政机构沟通时应披露其代理人身份，并应遵守本准则第3.3条（a）款至（c）款、第3.4条（a）至（c）款和第3.5条的规定。
TRANSACTIONS WITH PERSONS OTHER THAN CLIENTS
与委托人之外的主体交易
Rule 4.1 Truthfulness in Statements to Others
In the course of representing a client a lawyer shall notknowingly:
(a) make a false statement of material fact or law to a third person; or
(b) fail to disclose a material fact when disclosure is necessary to avoid assisting a criminal orfraudulentact by a client, unless disclosure is prohibited byRule 1.6.
第4.1对他人陈述的真实性
在代理委托人的过程中，律师不得故意实施下列行为：
（a） 向第三人虚假陈述重大事实或法律；或
（b） 除本准则第1.6条禁止披露外，未能在避免帮助委托人实施犯罪或欺诈行为而必须披露时披露重大事实。
Rule 4.2 Communication with Person Represented by Counsel
In representing a client, a lawyer shall not communicate about the subject of the representation with a party the lawyerknowsto be represented by another lawyer in the matter, unless the lawyer has the consent of the other lawyer or is authorized to do so by law or a court order.
第4.2与有代理人的主体沟通
在代理活动中，律师不得与其明知有律师代理的当事人沟通代理事项，但其已经该当事人的律师的同意，或法律或法院命令授权该等沟通的除外。
Rule 4.3 Dealing with Unrepresented Person
In dealing on behalf of a client with a person who is not represented by counsel, a lawyer shall not state or imply that the lawyer is disinterested. When the lawyerknowsorreasonably should knowthat the unrepresented person misunderstands the lawyer's role in the matter, the lawyer shall makereasonableefforts to correct the misunderstanding. The lawyer shall not give legal advice to an unrepresented person, other than the advice to secure counsel, if the lawyer knows or reasonably should know that the interests of such a person are or have a reasonable possibility of being in conflict with the interests of the client.
第4.3 条 与无代理人的主体交易
在代表委托人与无法律顾问的主体进行交易时，律师不得声称或暗示其无利害关系。当律师知道或理应知道无法律顾问的主体误解其在该事项中的角色时，律师应适当努力纠正其误解。如果律师知道或理应知道没有法律顾问的主体的利益与其委托人的利益存在冲突，或有合理的可能性与其委托人的利益存在冲突，律师不得向该无法律顾问的主体提供法律建议，但建议其寻求律师帮助除外。
Rule 4.4 Respect for Rights of Third Persons
(a) In representing a client, a lawyer shall not use means that have nosubstantialpurpose other than to embarrass, delay, or burden a third person, or use methods of obtaining evidence that violate the legal rights of such a person.
(b) A lawyer who receives a document relating to the representation of the lawyer's client andknowsorreasonably should knowthat the document was inadvertently sent shall promptly notify the sender.
第4.4条尊重第三人的权利
（a） 在代表委托人时，律师不得使用只会使第三人难堪、拖延或加重其负担而没有实质意义的手段，或使用侵犯该第三人合法权利的取证方法。
（b） 收到与委托人的代理有关的文件并知道或理应知道该文件是无意中发出时，律师应立即通知发送人。
LAW FIRMS AND ASSOCIATIONS 律所与执业
Rule 5.1 Responsibilities of Partners, Managers, and Supervisory Lawyers
(a) Apartnerin alaw firm, and a lawyer who individually or together with other lawyers possesses comparable managerial authority in a law firm, shall makereasonableefforts to ensure that the firm has in effect measures giving reasonable assurance that all lawyers in the firm conform to the Rules of Professional Conduct.
(b) A lawyer having direct supervisory authority over another lawyer shall makereasonableefforts to ensure that the other lawyer conforms to the Rules of Professional Conduct.
(c) A lawyer shall be responsible for another lawyer's violation of the Rules of Professional Conduct if:(1) the lawyer orders or, with knowledge of the specific conduct, ratifies the conduct involved; or(2) the lawyer is apartneror has comparable managerial authority in thelaw firmin which the other lawyer practices, or has direct supervisory authority over the other lawyer, andknowsof the conduct at a time when its consequences can be avoided or mitigated but fails to takereasonableremedial action.
第5.1条 合伙人、经理和督导律师的责任
（a） 律师事务所的合伙人以及单独或与其他律师一起在律师事务所拥有类似管理权限的律师，应尽到合理的努力确保律师事务所采取有效措施合理保证律师事务所的所有律师遵守本职业行为准则。
（b） 对其他律师有直接监督权的律师应当尽到合理努力，确保被监督的律师遵守本职业行为准则。
（c） 在下列情况下，律师应对其他律师违反本职业行为准则的行为负责：（1） 律师命令或在了解具体行为的情况下批准所涉行为；或（2） 该律师是其他律师所在律师事务所的合伙人或具有类似的管理权限，或对其他律师具有直接监督权限，并在知道该行为且其后果可以避免或减轻时未能采取合理补救措施。
Rule 5.2 Responsibilities of a Subordinate Lawyer
(a) A lawyer is bound by the Rules of Professional Conduct notwithstanding that the lawyer acted at the direction of another person.
(b) A subordinate lawyer does not violate the Rules of Professional Conduct if that lawyer acts in accordance with a supervisory lawyer'sreasonableresolution of an arguable question of professional duty.
第5.2条 下属律师的责任
（a） 律师即使是按照他人的指示行事，也应遵守本职业行为准则。
（b） 如果下属律师按照督导律师对有争议的职业责任问题的合理解决方案行事，则该下属律师不违反职业行为规则。
Rule 5.3 Responsibilities Regarding Nonlawyer Assistants
With respect to a nonlawyer employed or retained by or associated with a lawyer:
(a) apartner, and a lawyer who individually or together with other lawyers possesses comparable managerial authority in alaw firmshall makereasonableefforts to ensure that the firm has in effect measures giving reasonable assurance that the person's conduct is compatible with the professional obligations of the lawyer;
(b) a lawyer having direct supervisory authority over the nonlawyer shall makereasonableefforts to ensure that the person's conduct is compatible with the professional obligations of the lawyer; and
(c) a lawyer shall be responsible for conduct of such a person that would be a violation of the Rules of Professional Conduct if engaged in by a lawyer if:(1) the lawyer orders or, with the knowledge of the specific conduct, ratifies the conduct involved; or(2) the lawyer is apartneror has comparable managerial authority in thelaw firmin which the person is employed, or has direct supervisory authority over the person, andknowsof the conduct at a time when its consequences can be avoided or mitigated but fails to takereasonableremedial action.
第5.3关于非律师助理的责任
对于由律师雇佣、聘请或协助律师工作的非律师助理：
（a） 合伙人和单独或与其他律师一起在律师事务所拥有类似管理权限的律师应尽到合理努力，确保律师事务所采取有效措施合理保证该等人士的行为符合律师的专业义务标准；
（b） 对非律师有直接监督权的律师应尽合理努力确保该等人士的行为律师的专业义务标准；且
（c） 律师实施下列行为的，应对非律师助理违反本职业行为准则的行为承担责任：（1） 命令或在知道具体行为的情况下批准所涉行为；或（2） 作为非律师助理所在律师事务所的合伙人或具有类似管理权限的人员，或对该非律师助理有直接监督权限，并在知道该行为且其后果可以避免或减轻时未能采取合理补救措施。
Rule 5.4 Professional Independence of a Lawyer
(a) A lawyer orlaw firmshall not share legal fees with a nonlawyer, except that:(1) an agreement by a lawyer with the lawyer'sfirm,partneror associate may provide for the payment of money, over areasonableperiod of time after the lawyer's death, to the lawyer's estate or to one or more specified persons;(2) a lawyer who purchases the practice of a deceased, disabled, or disappeared lawyer may, pursuant to the provisions ofRule 1.17, pay to the estate or other representative of that lawyer the agreed-upon purchase price;(3) a lawyer orlaw firmmay include nonlawyer employees in a compensation or retirement plan, even though the plan is based in whole or in part on a profit-sharing arrangement; and(4) a lawyer may share court-awarded legal fees with a nonprofit organization that employed, retained or recommended employment of the lawyer in the matter.
(b) A lawyer shall not form a partnership with a nonlawyer if any of the activities of the partnership consist of the practice of law.
(c) A lawyer shall not permit a person who recommends, employs, or pays the lawyer to render legal services for another to direct or regulate the lawyer's professional judgment in rendering such legal services.
(d) A lawyer shall not practice with or in the form of a professional corporation or association authorized to practice law for a profit, if:(1) a nonlawyer owns any interest therein, except that a fiduciary representative of the estate of a lawyer may hold the stock or interest of the lawyer for areasonabletime during administration;(2) a nonlawyer is a corporate director or officer thereof or occupies the position of similar responsibility in any form of association other than a corporation; or(3) a nonlawyer has the right to direct or control the professional judgment of a lawyer.
第5.4条 律师的专业独立性
（a） 除下列情形外，律师或律师事务所不得与非律师分担法律费用：（1） 律师与律师事务所、合伙人或合伙人签订的协议可规定在律师死亡后的合理期限内向该律师的财产信托人、其指定的一名或多名人员支付款项；（2） 律师购买已故、残障或失踪律师的业务后，可根据本准则第1.17条规定向该律师的遗产继承人或其他代表支付约定的款项；（3） 律师或律师事务所可将非律师雇员纳入补偿或退休计划，即使该计划全部或部分基于利润共享安排；和（4） 律师可以与雇佣、聘用或建议雇佣他的非营利组织分享法庭判决支付的法律费用。
（b） 律师不得与非律师合伙设立完全从事法律服务的合伙企业。
（c） 律师不得允许推荐、雇佣或向其支付律师费用的人为他人提供法律以指导或规范该律师在提供此类法律服务时的专业意见。
（d） 在下列情况下，律师不得以专业集团或经授权的合伙的形式有偿执业：（1） 非律师在其中享有任何权益，但律师的遗产受托人可在其受托管理该律师遗产合理期间的内持有律师的股票或权益；（2） 非律师是公司董事或高级职员，或在公司以外的任何形式的合伙中担任类似职责；或（3） 非律师有权指导或控制律师的职业意见。
Rule 5.5 Unauthorized Practice of Law; Multijurisdictional Practice of Law
(a) A lawyer shall not practice law in a jurisdiction in violation of the regulation of the legal profession in that jurisdiction, or assist another in doing so.
(b) A lawyer who is not admitted to practice in this jurisdiction shall not:(1) except as authorized by these Rules or other law, establish an office or other systematic and continuous presence in this jurisdiction for the practice of law; or(2) hold out to the public or otherwise represent that the lawyer is admitted to practice law in this jurisdiction.
(c) A lawyer admitted in another United States jurisdiction, and not disbarred or suspended from practice in any jurisdiction, may provide legal services on a temporary basis in this jurisdiction that:(1) are undertaken in association with a lawyer who is admitted to practice in this jurisdiction and who actively participates in the matter;(2) are in or reasonably related to a pending or potential proceeding before a tribunal in this or another jurisdiction, if the lawyer, or a person the lawyer is assisting, is authorized by law or order to appear in such proceeding or reasonably expects to be so authorized;(3) are in or reasonably related to a pending or potential arbitration, mediation, or other alternative dispute resolution proceeding in this or another jurisdiction, if the services arise out of or are reasonably related to the lawyer's practice in a jurisdiction in which the lawyer is admitted to practice and are not services for which the forum requires pro hac vice admission; or(4) are not within paragraphs (c)(2) or (c)(3) and arise out of or are reasonably related to the lawyer's practice in a jurisdiction in which the lawyer is admitted to practice.
(d) A lawyer admitted in another United States jurisdiction, and not disbarred or suspended from practice in any jurisdiction, may provide legal services in this jurisdiction that:(1) are provided to the lawyer's employer or its organizational affiliates and are not services for which the forum requires pro hac vice admission; or(2) are services that the lawyer is authorized to provide by federal law or other law of this jurisdiction.
第5.5条 未经许可的职业行为；跨区域职业
（a）律师不得在某一司法管辖区违反该司法管辖区法律职业的规定执业，或协助他人执业。
（b）未获准在本辖区执业的律师不得实施下列行为：（1） 除本准则或其他法律另有规定外，在本司法管辖区内设立办事处或其他系统性持续存在的机构从事法律职业活动；或（2） 公开宣称或以其他方式表示其已获准在本司法管辖区从事法律职业活动。
（c）经许可在美国境内任一司法管辖区执业，且未在任何司法管辖区被取消职业资格或暂停执业的律师，可在其他司法管辖区临时提供以下法律服务：（1） 与获准在本司法管辖区执业并积极参与相应事项的律师共同承担；（2） 作为本司法管辖区或其他司法管辖区的法庭审理的未决或潜在诉讼的当事人或与该等程序合理相关的主体出庭，前提是该律师或其委托人根据法律规定或司法命令出庭或者其合理期待被许可出庭的情况下；（3） 作为司法管辖区或其他司法管辖区的未决或潜在仲裁、调解或其他替代争议解决程序中的当事人或与之合理相关的主体，前提是律师的服务源于其在其已获准执业的司法管辖区内的执业行为，或与其在该司法管辖区内的执业合理相关，且提供该等服务无需特殊许可；或（4） 虽然在第（c）款第（2）项或第（3）项规定的范围内，但服务源于该律师在其获准执业的司法管辖区内的执业行为，或与此类行为合理关联。
（d）经许可美国在任何司法管辖区执业，且未在任何司法管辖区被取消职业资格或暂停执业的律师，可在其他司法管辖区提供以下法律服务：（1） 向其雇主或其所执业机构的附属机构提供服务，但提供该等服务需特殊许可的除外；或（2） 联邦法律或该司法管辖区其他法律授权律师提供的服务。
Rule 5.6 Restrictions on Right to PracticeA
lawyer shall not participate in offering or making:
(a) a partnership, shareholders, operating, employment, or other similar type of agreement that restricts the right of a lawyer to practice after termination of the relationship, except an agreement concerning benefits upon retirement; or
(b) an agreement in which a restriction on the lawyer's right to practice is part of the settlement of a client controversy.
第5.6条 对职业权利的限制
律师不得与他人缔结或签订如下协议：
（a） 合伙、股东、经营、雇佣或其他类似协议以限制该律师在相应关系终止后执业的权利，但有关退休福利的协议除外；或
（b） 将限制律师执业权利作为委托人争议解决的一部分的协议。
Rule 5.7 Responsibilities Regarding Law-Related Services
(a) A lawyer shall be subject to the Rules of Professional Conduct with respect to the provision of law-related services, as defined in paragraph (b), if the law-related services are provided:(1) by the lawyer in circumstances that are not distinct from the lawyer's provision of legal services to clients; or(2) in other circumstances by an entity controlled by the lawyer individually or with others if the lawyer fails to takereasonablemeasures to assure that a person obtaining the law-related servicesknowsthat the services are not legal services and that the protections of the client-lawyer relationship do not exist.
(b) The term "law-related services" denotes services that mightreasonablybe performed in conjunction with and in substance are related to the provision of legal services, and that are not prohibited as unauthorized practice of law when provided by a nonlawyer.
第5.7条 法律相关服务的责任
（a）律师提供的法律相关服务存在下列情形时，该律师应遵守本条第（b）款关于提供法律相关服务的专业行为准则：（1）由该律师在其向委托人提供法律服务密不可分的情形下提供；或（2） 法律相关服务是由律师单独或与他人共同控制的实体在其他情况下提供，且律师未能采取合理措施确保获得法律相关服务的人知道其所接受的服务并非法律服务并且不受“委托人-律师关系”规定的保护。
（b） “法律相关服务”一词是指可以合理地与法律服务的提供相结合并在实质上与法律服务的提供有关，并且由非律师提供时并未被当作未经许可从事法律职业而禁止。
（后接下）