伦理意见299

对已停止经营的公司客户的保密义务

*[注:请参阅第299号意见如何受到第D .修正案的实质影响.C. 2007年2月1日生效的《澳门赌场官网》

规则1规定的保密义务.6 encompasses the attorney-client privilege and continues after the termination of the client-lawyer relationship. 因此，除非规则1的例外之一.6适用, an attorney must preserve the client's confidences even though the corporate client has ceased operations.

适用的规则

• 规则1.6(信息保密)

调查

The inquirer provided legal advice concerning federal government contracts to a non-profit corporation organized under the laws of the jurisdiction in which the corporation operated (not the District of Columbia). 大约四年前, 由于未支付费用，询问者终止了该公司的代理权. 此后，该公司已停止运营，其目前的法律地位是未知的. Former officers of the corporation have been indicted for offenses that may relate to or concern matters within the scope of the inquirer's former representation. Counsel representing an indicted former officer has contacted the inquirer and requested information relating to the inquirer's representation, 包括询问者认为在澳门赌场官网-当事人保密特权范围内的事项. The inquirer requests our advice regarding his duty of confidentiality to the former corporate client that has ceased operations.

讨论

The inquirer has informed us that counsel for a former officer of a corporate client seeks information covered by the attorney-client privilege—one of the oldest recognized privileges for confidential communications. Swidler & 柏林v. 美国, 118 S. Ct. 2081, 2084(1998)，引用 Upjohn有限公司. v. 美国, 449 U.S. 383, 389 (1981); 亨特v. 布莱克本, 128 U.S. 464, 470 (1888). The privilege is intended to encourage full and frank communication between attorneys and their clients regarding embarrassing or legally damaging information because clients can expect that such information will be protected from disclosure. 看到约翰, 449 U.S. at 389. 当客户是公司实体时，该特权也适用. Id. at 391.

澳门赌场官网-当事人保密特权的基本原则已纳入规则1.6, which provides that "a lawyer shall not knowingly reveal a confidence or secret of the lawyer's client" except in certain circumstances delineated under paragraphs (c) and (d) of the rule. "Confidence" refers to information protected by the attorney-client privilege under applicable law. 规则1.6(b). "Secret" refers to other information gained in the professional relationship that the client has requested be held inviolate or the disclosure of which would be embarrassing, 或者可能对客户不利.规则1.6(b). The inquirer's duty to preserve the client's confidences and secrets survives the termination of the inquirer's representation of that client.¹ 看到 规则1.6(f); Comment [28] to 规则1.6 ("The duty of confidentiality continues after the client-lawyer relationship has terminated"); D.C. 酒吧Op. 180(相同). 相应的, unless one of the exceptions to the duty of confidentiality provided in paragraphs (c) or (d) of 规则1.如适用，询问者不得披露所要求的资料. Cf. Swidler & 柏林, 118 S. Ct. 到2081年(通常澳门赌场官网-当事人保密特权在当事人死亡后仍然有效). 规则1 (c)款.允许澳门赌场官网泄露客户的秘密, "to the extent reasonably necessary to prevent a criminal act that the lawyer reasonably believes is likely to result in death or substantial bodily harm" or "to prevent the bribery or intimidation" of persons "involved in proceedings before a tribunal." The inquirer has not provided us with any facts that suggest that either circumstance is presented here.

规则1 (d)款.6, 另一方面, allows a lawyer to reveal client confidences or secrets: "(1) with the consent of the client affected, 但必须向客户充分披露,或(2)当其他澳门赌场官网公会规则允许或法律或法院命令要求时.² 询盘方通知我方该公司(原客户)已停止营业, 但其法律地位尚不清楚. The Committee cannot determine on the basis of the limited facts presented in the inquiry whether the corporate client still exists or whether another entity has succeeded to its management. 然而, 我们从调查中推断，那位前军官, 谁的澳门赌场官网联系了询问者, 不能代表公司同意泄露客户的机密，因为, 即使他在公司运作的时候有这样的权力, 作为前任军官，他不再有任何管理权力. 如果某个实体取得了公司的管理控制权, 经继任管理层同意，询问者可以披露所要求的信息. 获得披露信息的许可, the inquirer must fully disclose all relevant facts to the successor management to allow it to make an informed decision as to whether to allow the lawyer to reveal confidential information. 看,e.g.，马勒斯基诉. 公司生活. Co., 641 A.2d 1,3 (Pa. Commw. 1994)，以及其中引用的案例(继任管理层代表公司行事的权力).³

Even if the corporate client no longer exists and no one is authorized to consent to the disclosure of the corporation's confidences,⁴ the former officer still may have recourse to the corporation's confidences if he or she seeks and obtains a court order compelling disclosure of the information sought. 看到 规则1.6(d)(2)(A). 当收到这样的命令时, 询问者对客户的保密义务将被该命令所取代, 而查询人可遵从该命令. 看到 对规则1的注释[26].6 ("The lawyer may comply with the final orders of a court or other tribunal of competent jurisdiction requiring the lawyer to give information about the client. But a lawyer ordered by a court to disclose client confidences or secrets should not comply with the order until the lawyer has personally made every reasonable effort to appeal the order or has notified the client of the order and given the client the opportunity to challenge it"). 同样的, the former officer also may be able to petition a court to appoint a receiver or trustee for the corporation to decide whether to exercise the corporation's right to consent to the disclosure. 看到 上文关于规则1的讨论.6 (d)(1).

调查没有. 99-5-19
通过日期:2000年6月20日

1. 相应的, our analysis would be no different if the inquiry involved the client’s “secrets” instead of “confidences.”
2. 显然没有其他澳门赌场官网公会规则适用于本案的事实. 同样，规则1中的其他例外.6 (d) -(1)澳门赌场官网在回应刑事指控时披露, 纪律负责, or civil claim; (2) disclosure when the lawyer believes that the client has given implicit authorization to carry out the representation; or (3) disclosure necessary to establish or collect a fee—are not applicable.
3. 这样的结果与规则1一致.13, 哪个“说得很清楚, 当一个澳门赌场官网被雇佣代表一个公司, 澳门赌场官网的客户只能是公司, 透过获正式授权的人士(例如高级职员及雇员)行事.” D.C. 酒吧Op. 269(原文斜体，脚注省略).
4. 参见Maleski, 641 A.2d at 1; see also FDIC v. 阿蒙森，682 F. 增刊. 981 (D. 明尼苏达州. 1988) (dissolved corporation ceases to exist and no entity retains management authority to act on its behalf); FDIC v. 麦卡蒂，124楼.R.D. 662 (D. 菅直人. 1988)(相同).