简论我国律师执业利益冲突的原则、规则与规制

发布时间：2018-05-17 03:23

本文选题：律师执业 + 利益冲突　；参考：《中国政法大学》2011年硕士论文

【摘要】：论文由引言、正文和结论组成。引言介绍了本文的研究目的、研究方法及创新之处。本文试图通过对利益冲突存在问题的梳理,在明晰现状、分析原因的基础上,从原则、规则和规制三方面对其加以完善。在研究方法上,以比较分析和个案研究为主。对中外制度文本及背景现状进行了比较,对实践中的具体案件展开了分析。创新之处在于:第一,提出了利益冲突问题中以委托人为中心的基本原则、冲突认定的合理怀疑原则以及冲突处置的最小损害原则。第二,分析了我国在政府律师领域引入屏蔽制度的必要性、可行性及需要完善的配套制度。第三,针对我国律师调解和律师公益活动引发的利益冲突问题,提出规则完善的对策建议。正文包括四章: 第一章介绍我国律师执业利益冲突的现状。界定了律师执业利益冲突的含义和类型。指出其在我国存在的四大问题:理论和实践研究尚少;律师事务所重视不够;律师对利益冲突认定、处置规范存有困惑;律师协会对违反利益冲突行为的监督、惩戒乏力。产生这些问题的原因在于利益冲突本身的复杂性、我国传统法律文化因素的影响以及我国当前律师行业整体状况的限制。通过对问题及原因的分析,指出我们应当从理论层面、制度层面和规制方面对其加以完善。第二章从理论构建的层面,设计了律师执业利益冲突问题的基本原则和认定、处置原则。基本原则是以委托人为中心,认定方面是合理怀疑原则,处置方面是最小损害原则。解释了我国确立原则的必要性。阐释了构建这些原则的理论考量,细化了原则的具体要求,并举例说明了这些原则在实践中的具体运用。其中,合理怀疑原则要求律师在认定利益冲突时需高于现行标准,注重事先预防。最小损害原则要求律师尽量争取委托人豁免,在律所内部化解争议,利益冲突的律所内仲裁机制体现了这一原则。第三章从规则完善的角度,提出了健全我国律师执业利益冲突规则的建议。对美国屏蔽制度的规则条文和应用情况加以介绍后,强调现阶段应针对我国国情,对其有限度地借鉴引进。重点分析了我国在政府律师领域实施屏蔽的必要性和可行性,简要说明了在律师调解和与潜在委托人沟通方面,暂无引入屏蔽制度的必要。指出我国引入屏蔽制度后需要完善的配套措施,包括明确利益冲突推断性回避制度,由律师协会负责屏蔽有效性的判断等。立足我国实际,分析了律师调解活动中律师调解人的地位和调解人应遵守的冲突规则。以引入案例的方式,对律师公益活动中的利益冲突规则提出完善建议。第四章从监督规制的角度,分析评价了法律约束、律所管理、行政干预、行业自律和社会监督的效果,指出律师协会和委托人应是当前最有效、最具潜力的规制力量。其一要加强律师协会对违反利益冲突行为的惩戒,优化律师协会的惩戒权,提高惩戒的适度主动性;其二是强化律师协会对律师事务所利益冲突管理的监管,完善利益冲突行业指引;其三要增强委托人对利益冲突的制衡能力,提高委托人对利益冲突的认识,便利委托人对律师诚信信息的查询。结论部分强调了本文观点。要规范律师执业利益冲突行为,理论研究、规范制定与内外规制缺一不可。在宏观上构建指导原则,在微观上借鉴国外制度、完善国内规则,并辅之以行业内外的监督规制,这应当是解决律师执业利益冲突问题的一条较为全面有效的途径。
[Abstract]:The thesis consists of preface , text and conclusion .

This paper introduces the research purpose , the research method and the innovation of this paper . In this paper , the author tries to improve the present situation and analyze the causes of conflicts of interest based on the analysis of the present situation and the reasons of conflict of interest .

The text includes four chapters :

The first chapter introduces the current situation of the conflict of interests of lawyers in our country . It defines the meaning and type of the conflict of interests conflict in our country . It points out the four major problems in our country : theory and practice research is few ; the law firms attach great importance to the conflict of interest ; lawyers are confused about the conflict of interest and the disposition norm . The reasons for these problems lie in the complexity of the conflict of interest , the influence of traditional legal culture factors in our country and the general situation of the current lawyer industry in our country . Through the analysis of the problems and reasons , it is pointed out that we should perfect it from the theoretical level , the system level and the regulation .

In the second chapter , the basic principle and the recognition and disposal principle of lawyer ' s practice of conflict of interest are designed from the theory construction level . The basic principle is that the principal is the center , the identification aspect is the principle of reasonable doubt and the disposal is the minimum damage principle .

The third chapter , from the angle of perfect rule , puts forward the suggestion of perfecting the rules of practice interest conflict in our country . After introducing the rules and application of American shielding system , it emphasizes the necessity and feasibility of introducing shielding system in the field of lawyer mediation and communication with potential clients .

The fourth chapter analyzes the effect of legal restriction , law management , administrative intervention , industry self - discipline and social supervision from the angle of supervision and regulation , and points out that lawyers ' associations and clients should be the most effective and potential regulatory forces . One is to strengthen the supervision of lawyers ' associations against conflict of interest and to improve the discipline ' s moderate initiative .

The conclusion part emphasizes the view of this paper . To standardize the practice of conflict of interests of lawyers , the theoretical study , the norm - making and the lack of internal and external regulation are indispensable . On the macro - scale , we should build the guiding principle , draw lessons from the foreign system , perfect the domestic rules , and supplement it with the supervision and regulation inside and outside the industry , which should be a more comprehensive and effective way to solve the problem of the conflict of interests of lawyers .
【学位授予单位】：中国政法大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D926.5

【参考文献】