职业行为准则

规则1.15:财产保管

(a)靠谱的滚球平台应持有靠谱的滚球平台拥有的与代理有关的客户或第三人的财产，与靠谱的滚球平台自己的财产分开. 靠谱的滚球平台拥有的客户或第三人的资金(信托资金)应保存在一个或多个按照(b)款设立的信托账户中。. 其他财产也应予以标识并予以适当保护. 靠谱的滚球平台应保存该账户、资金和其他财产的完整记录，并在代理终止后保存五年.

(b)所有信托资金应存放在“核准存管人”处，该术语的定义见《哥伦比亚特区靠谱的滚球平台协会规则》第11条. 名义上的或预计在短期内持有的信托基金, and as such would not be expected to earn income for a client or third-party in excess of the costs incurred to secure such income, 应按照哥伦比亚特区靠谱的滚球平台信托账户利息(DC IOLTA)计划，在经批准的存管处持有. The title on each DC IOLTA account shall include the name of the lawyer or law firm that controls the account, 以及“DC IOLTA帐户”或“IOLTA帐户”.” The title on all other trust accounts shall include the name of the lawyer or law firm that controls the account, 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, the trust accounting rules and the IOLTA program of the jurisdiction in which the lawyer is licensed and principally practices.

(c) Upon receiving funds or other property in which a client or third person has an interest, 靠谱的滚球平台应当及时通知委托人或者第三人. Except as stated in this rule or otherwise permitted by law or by agreement with the client, 靠谱的滚球平台应当及时向委托人或者第三人交付委托人或者第三人有权收受的款项或者其他财产, 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)靠谱的滚球平台在代理过程中拥有财产，该财产的权益由该靠谱的滚球平台和另一人提出, 或者由靠谱的滚球平台可能对其负有义务的两个或两个以上的人, the property shall be kept separate by the lawyer until there is an accounting and severance of interests in the property. If a dispute arises concerning the respective interests among persons claiming an interest in such property, 无争议的部分由靠谱的滚球平台分配，有争议的部分由靠谱的滚球平台单独保管，直至争议解决. Any funds in dispute shall be deposited in a separate account meeting the requirements of paragraph (a) and (b).

(e)未赚得的费用和未发生的费用垫款在赚得或发生之前应视为客户根据(a)款的财产，除非客户知情同意另一种安排. 不管是否提供了这种同意，规则1.第16(d)条适用于在根据规则1终止靠谱的滚球平台服务时，要求向委托人退还任何未赚得的预付靠谱的滚球平台费和未发生的费用.16(d).

(f)本条不禁止靠谱的滚球平台将靠谱的滚球平台资金的一小部分存入信托帐户，仅用于支付该帐户可能产生的银行费用.

评论

[1] A lawyer should hold property of others with the care required of a professional fiduciary. 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. 所有属于委托人或第三人的财产应与靠谱的滚球平台的业务和个人财产分开保管, 如果款项, in one or more trust accounts maintained with financial institutions meeting the requirements of this rule. 这条规则, 除此之外, 规定了长期禁止挪用靠谱的滚球平台委托资金和靠谱的滚球平台委托资金与靠谱的滚球平台财产混用的规定. 这条规则还要求靠谱的滚球平台保护客户的“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. 靠谱的滚球平台公会法律道德委员会意见第1号. 283.

[2]规则1 (a)款.第15条要求靠谱的滚球平台保留“[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): "The 职业行为准则 should be interpreted with reference to their purposes. 保持“完整记录”的目的是为了使文件记录本身讲述靠谱的滚球平台如何处理客户或第三方资金的全部情况，以及靠谱的滚球平台是否遵守了委托人或第三方资金不被挪用或混合的信托义务. 只有保留了足以证明靠谱的滚球平台遵守其道德义务的文件，财务记录才算完整. 要求完整记录的原因是，即使靠谱的滚球平台或客户，纪律顾问也可以完成对靠谱的滚球平台处理客户资金的任何审计, 或两个, 是不可用的.规则1.第15条要求靠谱的滚球平台保存记录，以便在没有靠谱的滚球平台或靠谱的滚球平台的客户协助的情况下回答客户资金的所有权或任何其他问题. 实现这一结果的精确记录显然是不同的, but lawyers may wish to look for guidance on records from the 2010 ABA Model 规则 For Client Trust Account Records.

[3]第(a)款涉及由“陈述”产生的信托基金.” The obligations of a lawyer under this rule are independent of those arising from activity other than rendering legal services. 例如, 作为托管代理人的靠谱的滚球平台受有关受托人的适用法律管辖，即使靠谱的滚球平台在交易中不提供法律服务. Separate trust accounts may be warranted when administering estate monies or acting in similar fiduciary capacities.

[4]第(b)段规定应在何处持有信托存款，并进一步规定参与哥伦比亚特区的IOLTA计划. This paragraph is intended to reach every lawyer who is admitted in this jurisdiction regardless of where the lawyer practices, 除非有规定的例外情况. 因此, a lawyer should follow the contrary mandates of a tribunal regarding deposits that are subject to that tribunal’s oversight. 类似的, if the lawyer principally practices in a foreign jurisdiction in which the lawyer is also licensed, and the lawyer maintains trust accounts compliant with that foreign jurisdiction’s trust accounting rules, the lawyer may deposit trust funds to an approved depository or to a banking institution acceptable to that foreign jurisdiction. 最后, a lawyer is not obligated to participate in the District of Columbia IOLTA program if the lawyer is participating in, 并且符合, the IOLTA program in the jurisdiction in which the lawyer is licensed and principally practices. 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. 本规则预期，拥有获准在哥伦比亚特区执业的靠谱的滚球平台的靠谱的滚球平台事务所可能有义务维护符合公司靠谱的滚球平台主要执业的其他司法管辖区的IOLTA规则的账户. 由于靠谱的滚球平台行使了退出的权利而未参加其主要执业的司法管辖区的IOLTA计划的靠谱的滚球平台, 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, shall not thereby be excused from participating in the District of Columbia’s IOLTA program. (b)款不能解决多司法管辖区冲突的情况，见规则8.5. Nothing in this rule is intended to limit the power of any tribunal to direct a lawyer in connection with a pending matter, 包括一名执业靠谱的滚球平台, 按照法庭的指示持有信托基金. For a list of approved depositories and additional information regarding DC IOLTA program compliance, 参见规则十一, 20节, 《哥伦比亚特区靠谱的滚球平台规则, 和D.C. 靠谱的滚球平台基金会网站 www.dcbarfoundation.org.

[5]规则1的例外.15(b) requires a lawyer to make a good faith determination of the jurisdiction in which the lawyer principally practices. “主要执业”一词指的是靠谱的滚球平台个人的行为, not to the principal place of practice of his or her law firm (which might yield a different result for a lawyer with partners). 就本条而言, 个人靠谱的滚球平台主要在其持有执照的司法管辖区执业，其收入的绝大部分来源于此. 如果没有这样的管辖权, then a lawyer should identify the physical location of the office where the lawyer devotes the largest portion of his or her time. 无论如何, 只有在靠谱的滚球平台的情况发生重大变化并且预计这种变化将无限期持续下去的情况下，才应改变对靠谱的滚球平台主要执业地点的最初善意认定.

[6]判定, 根据(b)段, 是否期望信托基金赚取超过成本的收益, 取决于靠谱的滚球平台的正确判断. 靠谱的滚球平台应每隔一段合理的时间审查信托惯例，以确定情况是否需要对任何客户或第三方的资金采取进一步行动. 因为(b)款是靠谱的滚球平台特有的义务, this rule anticipates that a law firm may be obligated to maintain accounts compliant with the IOLTA rules of other jurisdictions, to the extent the lawyers in that firm do not all principally practice in the District of Columbia.

[7] Paragraphs (c) and (d) recognize that lawyers often receive funds from third parties from which the lawyer’s fee will be paid. The lawyer is not required to remit to the client funds that the lawyer reasonably believes represent fees owed. 然而, a lawyer may not hold funds to coerce a client into accepting the lawyer’s contention. The disputed portion of the funds should be kept in trust and the lawyer should suggest means for prompt resolution of the dispute, 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, 可能只是对靠谱的滚球平台保管的资金或其他财产提出索赔. A lawyer may have a duty under applicable law to protect such third-party claims against wrongful interference by the client, 并有权拒绝将财产交给委托人. 然而, a lawyer should not unilaterally assume to arbitrate a dispute between the client and the third party. 看到维.C. 靠谱的滚球平台协会法律道德委员会意见293.

[9]第(e)款允许将未获费用和未发生费用的预支款项视为委托人的财产或靠谱的滚球平台的财产, 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, advances against fees that have not been incurred must be returned to the client as provided in 规则1.16(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).