版次：01  修改码：02                            编号：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 为了指导律师制作法律意见书和工作报告，制订本规范。

1.2 本规范规定了律师出具法律意见书和工作报告的范围和基本要求、基本内容、出具程序、修改程序、反馈意见及工作底稿等。

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 本规范适用于本所全体律师。

2.2 下列人员应通晓本规范：

    1）律师

2.3 下列人员应了解本规范：

1）业务辅助人员

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 法律意见书：是指律师对有关的法律问题明确发表的结论性意见。

3.2 律师工作报告：是指律师详尽、完整地阐述所履行尽职调查的情况，在法律意见书中所发表意见或结论的依据、进行有关核查验证的过程、所涉及的必要资料或文件的文本。

3.3 工作底稿：是指律师在制作法律意见书和工作报告过程中形成的工作记录及在工作中获取的文件、会议纪要、谈话记录等资料。

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.

 

本规范的编制和修订由本所标准化委员会提出，经合伙人会议批准后，由主任颁布。

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.

 

    《中华人民共和国公司法》

    《中华人民共和国证券法》

中国证监会《公开发行证券公司信息披露的编报规则（第12号）》

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 在下列情况下，律师可以向委托人出具法律意见书或律师工作报告：

    （1）有关法律、法规、规章要求律师制作的法律意见书、律师工作报告为必备文件的；

    （2）委托人要求律师就有关的法律问题明确发表结论性意见的；

    （3）本所作业文件要求的；

    （4）律师在承办案件或法律事务过程中认为有必要出具法律意见书和律师工作报告的。

6.2 有关法律、法规、规章和本所作业文件对法律意见书和律师工作报告的内容有明确规定的，律师在制作法律意见书和律师工作报告时应符合有关规定。某些具体规定确实对委托人不适用的，律师可根据实际情况作适当变更，但应向委托人说明变更的原因。

6.3 律师出具法律意见书和律师工作报告所用的语词应简洁明晰，不得使用“基本符合条件”或“除XXX以外，基本符合条件”一类的措辞。对不符合有关法律、法规、规章、本所作业文件规定的事项，或已勤勉尽责仍不能对其法律性质或其合法性作出准确判断的事项，律师应发表保留意见，并说明相应的理由。

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 法律意见书的基本内容

7.1.1 法律意见书开头部分

    （1）法律意见书开头部分应载明，律师是否根据有关法律、法规和规章的规定，按照律师行业公认的业务标准、道德规范和勤勉尽责精神，出具法律意见书。

    （2）律师应承诺依据有关法律、法规和规章的规定及本法律意见书出具日以前已发生或存在的事实发表法律意见。

    （3）律师应承诺已严格履行法定职责，遵循了勤勉尽责和诚实信用原则，对委托人委托事项的合法、合规、真实、有效性进行了充分的核查验证，保证法律意见书和律师工作报告不存在虚假记载、误导性陈述及重大遗漏。

    （4）律师应承诺同意对法律意见书和律师工作报告承担相应的法律责任。

    （5）律师应承诺同意委托人部分或全部引用法律意见书或律师工作报告的内容，但委托人作上述引用时，不得因引用而导致法律上的歧义或曲解。

（6）律师可作出其他适当声明，但不得做出违反律师行业公认的业务标准、道德规范和勤勉尽责精神的免责声明。

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 法律意见书正文

律师应在进行充分核查验证的基础上，对委托人委托的事项明确发表结论性意见。所发表的结论性意见应包括是否合法合规、是否真实有效，是否存在纠纷或潜在风险。

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 总体结论性意见

    （1）律师应对委托人委托的事项是否存在违法违规，明确发表总体结论性意见。

（2）律师已勤勉尽责仍不能发表肯定性意见的，应发表保留意见，并说明相应的理由。

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 律师工作报告的基本内容

7.2.1 律师工作报告开头部分

律师工作报告开头部分应载明，律师是否根据有关法律、法规和规章的规定，按照律师行业公认的业务标准、道德规范和勤勉尽责精神，出具律师工作报告。

7.2.2 律师工作报告引言

    （1）可以简介律师及律师事务所，包括（但不限于）注册地及时间、业务范围、执业律师人数、本次签名律师的执业记录及其主要经历、联系方式等。

    （2）说明律师制作法律意见书的工作过程，包括（但不限于）与委托人相互沟通的情况，对委托人提供材料的查验、走访、谈话记录、现场勘查记录、查阅文件的情况，以及工作时间等。

7.2.3 律师工作报告正文

    （1）根据有关法律、法规、规章以及委托人的章程等规定，委托事项是否合法有效，是否存在法律障碍、可能引致的风险等。

（2）律师认为需要说明的其他问题。

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见书和律师工作报告应是经至少一名以上执业律师签名，并经本所加盖公章、签署日期的正式文本。

8.2 法律意见书和律师工作报告在经本所盖章前，应经至少两名以上合伙人审阅并签署“同意”意见。

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 律师签署的法律意见书和律师工作报告提交委托人后，不得收回进行修改。如律师认为需补充或更正，应另行出具补充法律意见书和律师工作报告。

9.2 法律意见书和律师工作报告提交委托人后，律师应关注委托人的反馈意见。委托人对法律意见书和律师工作报告提出疑问的，律师认为有必要，可以出具补充法律意见书和补充报告。

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 律师在制作法律意见书和律师工作报告的同时，应制作工作底稿。

10.2 律师应及时、准确、真实地制作工作底稿，工作底稿的质量是判断律师是否勤勉尽责的重要依据。

10.3 工作底稿应包括（但不限于）以下内容：

　　（1）律师承担项目的基本情况，包括委托人名称、项目名称、制作项目的时间或期间、工作量统计；

　　（2）为制作法律意见书和律师工作报告制定的工作计划及其操作程序的记录；

　　（3）委托人设立及历史沿革有关的资料，如设立批准证书、营业执照、合同、章程等文件或变更文件的复印件；

　　（4）重大合同、协议及其他重要文件和会议记录的摘要或副本；

　　（5）与委托人及相关人员相互沟通情况的记录，对委托人提供资料的检查、调查访问记录、往来函件、现场勘察记录、查阅文件清单等相关的资料及详细说明；

　　（6）委托人及相关人员的书面保证或声明书的复印件；

　　（7）对保留意见及疑难问题所作的说明；

（8）其他与出具法律意见书和律师工作报告相关的重要资料。

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 上述资料应注明来源。凡涉及律师向有关当事人调查所作的记录，应由当事人和律师本人签名。

10.5

工作底稿由承办律师根据TY/GL05.03《律师业务档案立卷归档办法》的规定立卷归档。

    TY/GL02.01《律师执业规范》

    TY/GL02.02《律师职业道德和执业纪律规范》

    TY/GL05.03《律师业务档案立卷归档办法》

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"