LAWYERS’ ETHICS
A comparative review of
PROFESSIONAL CODE OF CONDUCT
Tuan A PHUNG Esq. Managing

Partner | VCI Legal
Vice Chairman |VAFI Vietnam Association of Financial Investors
LocalInsights
InsightsMeet
MeetInternational
InternationalExpertise
Expertise
Local


TABLE OF CONTENTS
I.
1.
2.
3.
II.
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.

11.

OVERVIEW:
VBF’s Professional Code of Ethics and Conduct (“VBF COE”)
ABA’s Model Rules of Professional Conduct (“ABA COC”)
IBA’s Code of Ethics and The Principles on Conduct for the legal profession (“IBA Code”)
IBA - ABA– VBF Code of Conduct Comparison
Lawyer – Client Privilege CONFIDENTIAL
Avoiding Conflict of Interest
Duty of Diligence and Competence
MIX FUNDING
Commingling
Self – dealing
Fee – splitting
Withdrawal from presentation
Duties towards tribunal
Limitations on legal advertising
Report misconduct of other lawyers
Penalties
Local Insights Meet International Expertise


OVERVIE
W
LocalInsights
InsightsMeet
MeetInternational
InternationalExpertise
Expertise
Local



VBF’S PROFESSIONAL CODE OF ETHICS
& CONDUCT (“VBF COE”)

• The VBF COE was issued together with Decision No. 201 /
QD-HDLSTQ dated December 13, 2019 by the National Lawyers’
Council.
• This New Code has replaced the Professional Code of Ethics and
Conduct dated July 20, 2011.

Local Insights Meet International Expertise


VBF’S PROFESSIONAL CODE OF ETHICS & CONDUCT
(“VBF COE”)

The VBF COE consists of 6 Chapters with total 32 rules
Chapter 1: General Rules (4 Rules);
Chapter 2: Clients Relationship (12 Rules);
Chapter 3: Colleague Relationship (9 Rules);
Chapter 4: Relationship with Proceeding Authorities/Officers (3 Rules);
Chapter 5: Relationship with Other State Agencies, Organizations and Individuals (2
Rules);
Chapter 6: Other Rules (2 Rules).

Local Insights Meet International Expertise


ABA’S MODEL RULES

OF
PROFESSIONAL CONDUCT (“ABA COC”)
• The ABA COC were adopted by the ABA House of Delegates in 1983, which serve as
models for the ethics rules of most jurisdictions.
• Previously, ABA issued the Model Code of Professional Responsibility in 1969.
• Preceding the Model Code were the 1908 Canons of Professional Ethics with the
contents were primarily based on the Alabama’s Canons of Ethics (1887).

Local Insights Meet International Expertise


ABA’S MODEL RULES
of PROFESSIONAL CONDUCT (“ABA COC”)
The ABA COC consists of 8 Chapters with total 55 rules:
Chapter 1: Client – Lawyer Relationship (18 Rules);
Chapter 2: Counselor (3 Rules);
Chapter 3: Advocate (9 Rules);
Chapter 4: Transactions with Persons Other Than Clients (4 Rules);
Chapter 5: Law Firms and Associations (7 Rules);
Chapter 6: Public Service (5 Rules);
Chapter 7: Information About Legal Services (4 Rules);
Chapter 8: Maintaining the Integrity of the Profession (5 Rules)
Local Insights Meet International Expertise


IBA’S INTERNATIONAL CODE OF ETHICS & PRINCIPLES
On CONDUCT FOR THE LEGAL PROFESSION (“IBA Code”)
• The International Code of Ethics was first adopted in 1956 (this is edition 1988)
by the International Bar Association, consisting of 21 rules.
• The International Principles on Conduct for the Legal Profession (2019) consists

of 10 rules:
1. Independence

6. Lawyers’ undertaking

2. Honesty, integrity and fairness

7. Clients’ freedom

3. Conflicts of interest

8. Property of clients and third parties

4. Confidentiality/ professional secrecy

9. Competence

5. Clients’ interest

10. Fees

Local Insights Meet International Expertise


IBA – ABA– VBF
Code of Conduct
COMPARISON

LocalInsights
InsightsMeet

MeetInternational
InternationalExpertise
Expertise
Local


LAWYER – CLIENT PRIVILEGE

LocalInsights
InsightsMeet
MeetInternational
InternationalExpertise
Expertise
Local


IBA Code

ABA COC

VBF COE

Rule 14 (Code of Ethics)

Rule 1.6:

Rule 7:

- Lawyers should never disclose, unless
lawfully ordered by the Court/Statute,

what has been communicated to them
by the clients even after the client’s
counsel.

A lawyer shall not reveal information
relating to the representation of a client
unless having client informed consent or
exceptions:
(1) to prevent reasonably certain death or
substantial bodily harm;
- duty extends to partners, junior (2) crime- fraud prevention
lawyers & their employees.
(3) prevent, mitigate or rectify
substantial injury to financial interests
Rule 4 ( Principles on Conduct)
or property of another resulted from the
client's crime/fraud
A lawyer shall at all times maintain and (4) to secure legal advice about the
be afforded protection of confidentiality lawyer's compliance
regarding the affairs of present or former (5) to establish a claim or defense on
clients.
behalf of the lawyer in a controversy
….

Local Insights Meet International Expertise

+ Lawyers are obliged to keep clients'
information confidential during/after legal
services provision, unless otherwise
agreed by clients or

provided by the law.
+ A lawyer shall be responsible for asking
colleagues/staff to keep clients’
information confidential as well
BUT Article 19.3 of the amended
Criminal Code requests Lawyer to
disclose (accuse) the clients for crimes
relating to national security & other
crimes which are "extremely serious"?!
BIG CONTROVERSY


AVOIDING
CONFLICT OF
INTEREST

LocalInsights
InsightsMeet
MeetInternational
InternationalExpertise
Expertise
Local


IBA Code

ABA COC

Rule 13 (Code of Ethics)


Rule 1.7:

Lawyers should never represent A concurrent conflict of interest exists if:
conflicting interests in litigation.

VBF COE
Rule 15
A lawyer must refuse to accept/ continue
representing:

1) the representation of one client will be 1)
directly adverse to another client; or 2)
In non-litigation matters, lawyers should

do so only after having disclosed all
conflicts/possible conflicts to all parties 2) there is a significant risk that the
representation of a client(s) will be
concerned and with their consent.
Applies to all lawyers in a firm
Rule 3 (Principles on Conduct)
lawyer shall not assume a position with
conflict of interests with another
lawyer in the same firm, or another
client

Local Insights Meet International Expertise

3)

materially limited by the lawyer's

responsibilities to another
4)
client/former client or a third person or
by a personal interest of the lawyer.

5)

Clients have adverse interests;
New clients have adverse current
clients;
new cases of current clients which
may include adverse interest to
another current clients;
New client has adverse interest to
former clients in the same case or
directly related case that the lawyer
has previously done for a former
client;
The client has adverse interest to the
lawyer or his/her father, mother,
spouse, children, siblings, etc.


DUTY OF DILIGENCE
& COMPETENCE

LocalInsights
InsightsMeet
MeetInternational
InternationalExpertise

Expertise
Local


IBA Code

ABA COC

Rule 10 (Code of Ethics)

Rule 1.1

Lawyers shall at all times give clients a
candid opinion on any case. They
shall render assistance with scrupulous
care and diligence. This applies also if
they are assigned as counsel for an
indigent person.

A lawyer shall provide competent
representation to a client. Competent
representation requires the legal
knowledge, skill, thoroughness and
preparation reasonably necessary for
the representation.

VBF COE
Rule 5
Lawyer shall dedicate themselves to their
work,

make the best use of their ability,
expertise, professional skills and lawful
measures to best protect clients’
legitimate rights and interests in
accordance with the law.

Rule 1.3
Rule 9 (Principles on Conduct)
Rule 12.1
A lawyer’s work shall be carried out in
a competent and timely manner. A lawyer shall act with reasonable
diligence
and
promptness
in Lawyer shall actively solve clients' cases
Otherwise lawyer shall not take on
representing a client.
and inform clients about the case resolution
work that the lawyer does not
process.
reasonably believe can be carried out
in that manner.

Local Insights Meet International Expertise


COMMINGLING

LocalInsights
InsightsMeet

MeetInternational
InternationalExpertise
Expertise
Local


IBA Code
Rule 15 (Code of Ethics)
…lawyers shall be most punctual and
diligent… never mingle funds of
others with their own & … at all times
be able to refund money they hold for
others. …. not retain money … for
their clients for longer than is
absolutely necessary.
Rule 8 (Principles on Conduct)
A lawyer shall account promptly and
faithfully for and prudently hold any
property of clients or third parties that
comes into the lawyer’s trust, and shall
keep it separate from the lawyer’s
own property.

Local Insights Meet International Expertise

ABA COC

VBF COE

Rule 1.15

Lawyer shall avoid commingling by
keeping the funds of clients and third
persons separate from those of the
lawyer. Commingling occurs when a
lawyer holds his or her own funds in
the same account that is holding client
or third-party funds. Commingling is,
itself, a violation of the ethics rules and
may subject a lawyer to discipline.

No rule


SELF-DEALIN
G

LocalInsights
InsightsMeet
MeetInternational
InternationalExpertise
Expertise
Local


IBA Code
Rule 12 (Code of Ethics)
Lawyers should not acquire a
financial interest in the subject
matter of a case which they are
conducting.

Not directly or indirectly, acquire
property about which litigation is
pending before the Court in which
they practice.

ABA COC

VBF COE

Rule 1.8
- A lawyer shall not enter into a business No rule stipulating that a lawyer
with a client or acquire an ownership, - may or may not engage in a
possessory, security or other pecuniary
transaction unfavorable to his or
interest
adverse
to
a
client
her clients,
unless otherwise provided

- nor are there any regulation
providing that a lawyer can not
- Lawyers are prohibited from acquiring
receive property that is a subject
a
proprietary
interest
in

matter of their representation.
litigation/ ownership interest in the
subject of the representation
Exceptions:
liens authorized by law to secure the
lawyer's fees/expenses and contracts for
reasonable contingent fees.

Local Insights Meet International Expertise


FEE – SPLITTING

LocalInsights
InsightsMeet
MeetInternational
InternationalExpertise
Expertise
Local


IBA Code
No rule

ABA COC
1)
2)

3)


4)

Rule 5.4
not share legal fees with a nonlawyer.
not form a partnership with a nonlawyer if any of
the activities of the partnership consist of the
practice of law.
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.
not practice with or in the form of a professional
corporation or association authorized to practice
law for a profit.

Local Insights Meet International Expertise

VBF COE
Rule 21.4
[Lawyers shall not] [h]ire or pay
for customer brokers or broker a
client to a colleague to receive
commissions.


WITHDRAWAL
FROM PRESENTATION

LocalInsights
InsightsMeet

MeetInternational
InternationalExpertise
Expertise
Local


IBA Code

ABA COC

Rule 1.16
A
lawyer may withdraw
from
representing a client if:
Lawyers shall at any time be free to
1) withdrawal can be accomplished
refuse to handle a case, unless it is
without material adverse effect on
assigned by a competent body.
the interests of the client;
Lawyers should only withdraw from a 2) The client persists in a course of
action involving the lawyer's services
case during its course for good cause,
that the lawyer reasonably believes is
and if possible in such a manner that
criminal or fraudulent;
the client’s interests are not adversely
3) the client has used the lawyer's
affected.

services to perpetrate a crime or
fraud;
4) the client insists upon taking action
that the lawyer considers repugnant or
with which the lawyer has a
fundamental disagreement, etc.

VBF COE

Rule 10 (Code of Ethics)

Rule 13
Optional withdrawal if:
1) Clients' new requests are outside of
the scope of law practice or
unethical or unlawful;
2) Clients refuse the lawyer's legal
advice;
3) Clients violate the Legal Service
Agreement or the relationship
between lawyer and
clients is damaged not due to the
lawyer's fault of ;
4) There is a threat forcing the lawyer
to violate the law and professional
ethics;
5) There are grounds to determine that
the client has deceived the lawyer.
(to be cont'd)


Local Insights Meet International Expertise


IBA Code

ABA COC

VBF COE
Rule 13
Compulsory withdrawal if:
1) There are grounds to identify clients
using legal services of the lawyer to
commit illegal or unethical acts;
2) Cases that the lawyer must refuse
upon the client's service request under
Rule 11: (a) clients requested legal
service via another person, but such
person abuses such representation to
seek improper benefits affecting the
clients' legal interest; (b) clients
intend to abuse the legal service for
illegal purposes; (c) clients provided
fake evidence; (d) cases of conflict of
interests.
3) Other cases under the law or due to
events of force majeure

Local Insights Meet International Expertise



DUTIES TOWARDS
TRIBUNAL

LocalInsights
InsightsMeet
MeetInternational
InternationalExpertise
Expertise
Local