GuzRev – Block G05 – Basic Legal Ethics Under Atty.

Fernandez – DLSU - College of Law

Table of Contents

INTRODUCTORY ................................................................................. 2
ADMISSION TO PRACTICE ................................................................ 3
PRACTICE OF LAW ............................................................................. 5
INTEGRATED BAR OF THE PHILIPPINES ...................................... 6
CHAPTER 1: LAWYER AND SOCIETY ............................................. 7
CHAPTER 2: THE LAWYER AND LEGAL PROFESSION ............. 10
CHAPTER 3: THE LAWYER AND THE COURTS .......................... 13

LEGAL ETHICS REVIEWER CHAPTER 4: THE LAWYER AND THE CLIENT............................ 17

JULIUS GUZMAN

“This is the most

simple and basic
component of life: our
struggles determine
PSA. THIS REVIEWER IS BASED ON THE BOOK OF AGPALO’S “LEGAL AND
JUDICIAL ETHICS”, ADDITIONAL NOTES AND DOCTRINES FROM ATTY.
FERNANDEZ CLASS’ LEGAL ETHICS, AND LASTLY, NOTES FROM ATENEO’S 2017
our successes.”
SUMMER BAR REVIEW. - Mark Ransom,
The Subtle Art of Not Giving a F*ck:
IT ONLY INCLUDES THE GENERAL CONCEPTS OF EACH PROVISIONS OF CPR A Counterintuitive Approach to Living a Good Life
(CODE OF PROFESSIONAL RESPONSIBILITY) WHICH I THINK IMPORTANT TO
ATTY. FERNANDEZ’S CLASS. THUS, THIS IS AN INCOMPLETE (ONLY IMPORTANT
CONCEPTS WERE DISCUSSED) AND NOT MEM-AID KIND OF REVIEWER.

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 GuzRev – Block G05 – Basic Legal Ethics Under Atty. Fernandez – DLSU - College of Law

LEGAL ETHICS REVIEWER c. Counsel de parte: an attorney retained by a party litigant, usually for a fee,
to prosecute or defend his cause in court. It implies freedom of choice, either
on the part of the attorney to decline or accept the employment.
d. Counsel de oficio: an attorney appointed by the court to defend an indigent
INTRODUCTORY defendant in a criminal action or to represent destitute a party in a case. It
connotes little or no other choice than the acceptance by the indigent party.
I. PRELIMINARY e. Attorney of record: is the attorney whose name, together with his address,
is entered into the record of a case as the designated counsel of the party
LEGAL ETHICS, meaning – litigant in the case and to whom judicial notices relative are sent.
• Branch of moral science which treats of the duties which an attorney owes f. Of Counsel: an experienced lawyer, who is usually a retired member of
to the court, to his client, to his colleagues in the profession and to the judiciary, employed by law firms as consultant.
public. g. Amicus Curiae: An experienced and impartial attorney invited by the court
to appear and help in the disposition of issues submitted to it. It implies the
SOURCES OF LEGAL ETHICS: friendly intervention of counsel to call the attention of the court to some
1. 1987 Constitution; matters of law or facts which might otherwise escape its notice, and in
2. Rules of Courts; regard to which it might go wrong.
3. Supreme Court Decisions; h. Bar: refers to legal profession.
4. Code of Professional Responsibility; i. Bench: means the judiciary.
5. Canons of Professional Ethics;
6. New Civil Code; III. POWER TO REGULATE PRACTICE OF LAW
7. Revised Penal Code; and • The Constitution vests the power of control and regulation in the Supreme
8. Local Government Code. Court.
o The right to define and regulate the practice of law belongs to the
HISTORY OF LEGAL ETHICS IN THE PHILIPPINES judiciary represented by the high tribunal since the practice of law
• It was taken from the United States. The Canon of Professional Ethics is inseparable connected with the exercise of it judiciary power in
observed in this jurisdiction are those of the American Bar Association. the administration of justice. (In re: Cunanan)
o SC’s power includes the following:
II. DEFINITIONS 1. authority to define and prescribe the qualifications of a
a. Terms used to describe a member of the legal profession: candidate to and the subjects of the bar examinations;
1. Lawyer; 2. decide who will be admitted to practice, discipline, suspend,
2. Attorney; or disbar any unfit and unworthy member of the bar;
3. Attorney-at-law; 3. reinstate any disbarred, or indefinitely suspended attorney;
4. Advocate; 4. ordain the IBP;
5. Barrister; 5. punish for contempt any person for unauthorized practice of
6. Counsel or counselor; law; and
7. Proctor; and 6. in general exercise overall supervision of the legal
8. Solicitor. profession.
b. Lawyer/Attorney/Attorney-at-law/Counsel o It is the duty of the court to exercise it by a sound and just judicial
o A member of the Philippine bar discretion, where the rights and independence of the bar may be
o Class of persons who by license are officers of the court and who guarded and maintained by the court as the rights and dignity of
are empowered to appear, prosecute and defend and on whom the court itself.
peculiar duties, responsibilities and liabilities are devolved by law • The Legislature, in the exercise of its police power, may enact laws
as a consequence. regulating the practice of law to protect and promote the public welfare.
o Note: Those who pass Shari’a Bar are not entitled to be called
“Attorneys”, they need to be admitted to the Philippine Bar.

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o However, legislature cannot pass a law that will control the SC in • Their enforcement by the courts and observance by lawyers is indicative of
the performance of its function to decide who may enjoy the a due appreciation of their responsibilities to the courts, to the clients, to the
privilege of practicing law – This is Unconstitutional. bar, and to the public
• Supreme Court applied some of the Canons in case of professional
IV. NATURE OF OFFICE OF ATTORNEY misconduct.
• An attorney possesses special power of trust and confidence reposed in him • The Integrated Bar of the Philippines adopted in 1980 a proposed Code of
by his client. Professional Responsibility submitted to the Supreme Court for approval.
• A public officer; Occupies in a quasi-judicial office. • In 1988, the Supreme Court promulgated the Code of Professional
• The title “attorney” is reserved to those who: Responsibility.
o Having obtained the necessary degree in the study of law and
successfully taken the bar examination; The Code consists of 22 Canons and 77 Rules, and divided into 4 Chapters–
o Admitted to the IBP; and 1. The Lawyer and Society;
o Remain members of good standing; and 2. The Lawyer and the Legal Profession;
o Been authorized to practice law. 3. The Lawyer and the Courts; and
4. The Lawyer and the Clients.
V. FOUR-FOLD DUTIES OF A LAWYER
1. Duties to SOCIETY – should not violate his responsibility to society, ADMISSION TO PRACTICE
exemplar for righteousness, ready to render legal aid, foster social reforms,
guardian of due process, aware of special role in the solution of special I. QUALIFICATIONS FOR ADMISSION
problems and be always ready to lend assistance in the study and solution
of social problems. Requirement for Admission to the Bar:
2. Duties to the LEGAL PROFESSION – candor, fairness, courtesy and 1. Citizen of the Philippines.
truthfulness, avoid encroachment in the business of other lawyers, uphold 2. Resident of the Philippines
the honor of the profession. 3. At least 21 years old
3. Duties to the COURT – respect or defend against criticisms, uphold 4. Successfully completed all prescribed courses.
authority and dignity, obey order and processes, assist in the administration 5. Passed the bar exams.
of justice. 6. Production before the Supreme Court satisfactory evidence of:
4. Duties to the CLIENT – entire devotion to client’s interest. a. Good moral character
b. No charges against him, involving moral turpitude, have been
VI. PUBLIC VERSUS PRIVATE AND PERSONAL DUTIES filed or are pending in any court in the Philippines.
• PUBLIC DUTY: Obey the law; Aid in the administration of Justice; and
Cooperate whenever justice is imperiled. Citizenship and Residence
• PRIVATE DUTY: Faithfully, honestly, and conscientiously represent the • Privilege denied to foreigners.
interest of his client. • Takes into account the close connection of the practice of law with the
• PERSONAL DUTY: the obligation he owes to himself. administration of justice.
• An alien cannot well maintain allegiance to the Republic of the
VII. CODE OF PROFESSIONAL RESPONSIBILITY Philippines, which is required in the Oath of a Lawyer.
History Good Moral Character
• In 1917, the Philippine Bar Association, realizing that something more than • Continued possession of good moral character after admission is a
the Oath and Duties of a Lawyer was needed to attain the full measure of requirement for enjoyment of privilege to practice.
public respect, adopted as its own Canons 1 to 32 of the Canons of
• Moral character is what a person really is as distinguished from good
Profession Ethics of the American Bar Association.
reputation or opinion generally entertained of him.
• In 1946, it again adopted as its own, Canons 33 to 47.
• Includes at least common honesty.

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• Opposite of immorality, which is the indifference to the moral norms of 2. Eight (8) members of the Philippine bar, who shall serve as
society. examiners in the 8 bar subjects and hold office for a period of one
• This requirement aims to maintain and uphold the high moral standard and year.
the dignity of the legal profession. 3. Bar Confidant as liaison officer between the Court and Chairman and
the Committee members. Also, a deputy clerk of court.
Educational Qualifications
• Public Policy demands that a person seeking admission to the practice of Application and supporting documents
law must: • Time for filing proof of qualifications — All applicants for admission shall
1. Possess the required educational qualifications. file with the clerk of the Supreme Court a duly accomplished application
2. Show a degree of learning and proficiency in law necessary for the form together with supporting documents concerning his qualifications at
due performance of the duties of a lawyer. least 15 days before the beginning of the examination.
• To the lawyer is entrusted the protection of life, liberty, property, or honor. • Applicants shall also file at the same time their own affidavits as to their
• To approve officially one who is not adequately prepared to such a age, residence, and citizenship. (Rule 138, Sec. 7)
delicate task is to create a social danger. • Notice of applications—Notice of applications for admission shall be
published by the clerk of the Supreme Court in newspapers published in
Bar Examination Pilipino, English and Spanish, for at least 10 days before the beginning of
• Subjects chosen for these exams are designed to eliminate any one whose the examination. (Rule 138, sec. 8)
general intelligence, learning, and mental capacity are inadequate to
enable him to assume and discharge the duties of an attorney. Administration of Oath
• Passing Grade: A general average of 75% in all subjects without falling • Qualified applicants shall take and subscribe to the Oath of Office as a
below 50% in any subject. Lawyer.
• In determining the average, the subjects given the following relative • A prerequisite to the admission of practice of law and may only be taken
weights: before the Supreme Court.
1. Civil Law 15% • The court may deny the petition to take the lawyer’s oath for:
2. Labor and Social Legislation 10% 1. Grave misconduct;
3. Mercantile Law 15% 2. Pending complaint against the applicant
4. Criminal Law 10%
5. Political and International Law 15% LAWYER’S OATH
6. Taxation 10% I _____, do solemnly swear that I will maintain allegiance to the Republic of the Philippines;
7. Remedial Law 20%
I will support and defend its Constitution and obey the laws as well as the legal orders of the
8. Legal Ethics and Practical Exercises 5% duly constituted authorities therein;
• A candidate who fails for three times is disqualified from taking another
examination, unless he has shown to the satisfaction of the Court that he I will do no falsehood nor consent to its commission;
has:
1. Enrolled and passed regular fourth year review classes; I will not wittingly or willingly promote or sue any groundless, false or unlawful suit nor give
2. Attended a pre-bar review course. aid nor consent to the same;

I will not delay any man’s cause for money or malice and will conduct myself as a lawyer
II. PROCEDURE FOR ADMISSIONS according to the best of my knowledge and discretion with all good fidelity as well to the
court as to my clients; and
Bar Examination Committee
• Examinations shall be conducted by a committee of bar examiners to be I will impose upon myself this obligation voluntarily, without any mental reservation or
appointed by the Supreme Court. This committee shall be composed of: purpose of evasion.
1. A Justice of the Supreme Court, as chairman and designated by the
court to serve for one year. So help me God.

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PRACTICE OF LAW
Meaning –
• To engage in the practice of law is to do any of those acts which are
characteristic of the legal profession.
• Any activity in or out of court which requires the application of law, legal
principle, practice or procedure and calls for legal knowledge, training and
experience. (Cayetano vs Monsod)
• It is not limited to the conduct of cases in court.
• Includes legal advice, counseling, and the preparation of legal instruments
and contracts by which legal rights are secured, which may or may not be
pending in court.
• Strictly speaking, the word practice of law implies the customary or habitual
holding out of oneself to the public as a lawyer and demanding
compensation for his services. (People vs. Villanueva 14 SCRA 111)
3 Principal Types of Professional Activities
1. Legal advice and instructions to the clients to inform them of their rights
and obligations.
2. Preparation for clients of documents requiring knowledge of legal principles
not possessed by ordinary layman.
3. Appearance for clients before public tribunals.
Essential Criteria Determinative of Engaging in the Practice of Law
1. Habituality- implies customarily or habitually holding oneself out to the
public as a lawyer
2. Compensation- implies that one must have presented himself to be in the
active practice and that his professional services are available to the public
for compensation, as a source of his livelihood or in consideration of his
said services.
3. Application of law, legal principle, practice, or procedure which calls for
legal knowledge, training and experience.
4. Attorney-client relationship.
Who May Practice Law?
General Rule:
• Any person who has been duly licensed as a member of the bar in
accordance with the statutory requirements and who is in good and regular
standing is entitled to practice law.
• Two basic statutory requirements:
1. Must have been admitted to the bar.
2. After admission, must remain in good and regular standing (a
continuing requirement).
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Must Have been Admitted to the Bar. A lawyer is one who:
1. Passed the bar exams.
2. Taken the lawyer’s oath before the Supreme Court en banc.
3. Signed in the roll of attorneys.
4. Received a certificate of license to practice law from the Clerk of Court
of the Supreme Court.
5. Furnished satisfactory proof or educational, moral, and other
qualifications.
After Admission he or she must:
1. Remain an IBP member in good standing by regularly paying IBP dues
and other lawful assessments.
2. Pay annual privilege tax.
3. Faithfully observe the rules and ethics of the legal profession.
4. Be continually subjected to judicial disciplinary control.
Exceptions:
A. Practice without examination: Exceptions to the privilege afforded to
Filipino citizens who have passed the bar exams to practice law:
a. Citizens of the US who:
1. Before July 4, 1946, were duly licensed members of
the Philippine Bar.
2. In active practice in the courts of the Philippines.
3. In good and regular standing as such.
4. Took the oath of office.
b. Filipino Citizens, in the discretion of the Court may be admitted
without examination, who:
1. Are applicants for admission and are enrolled
attorneys in good standing in the Supreme Court of
the United States or in any circuit of Appeals or
district court therein, or in the highest court of any
State or Territory of the United States.
2. Can show certificates that they have practiced before
July 4, 1946.
3. Have never been suspended nor disbarred.
B. Practice without admission.
a. Before the MTC – a party may conduct his case or litigation in
person with the aid of an agent or friend appointed by him. (Sec.
34, Rule 138)
b. Before any other court – a party may conduct his litigation
personally. (Sec. 34, Rule 138) He is bound by the same rules in
conducting the trial of his case. He cannot, after judgment, claim
that he was not properly represented.
c. In a criminal case before the MTC – in a locality where a duty
licensed member of the Bar is not available, the judge may
 GuzRev – Block G05 – Basic Legal Ethics Under Atty. Fernandez – DLSU - College of Law

appoint a non-lawyer who is a resident of that province, of good INTEGRATED BAR OF THE PHILIPPINES
repute for probity and ability to represent the accused in his
defense. (Sec. 7, Rule 116) Integration of the Bar
d. Student Practice Rule – A law student who has successfully • The official unification of the entire lawyer population.
completed his 3rd year of the regular 4-year prescribed law
• Requires membership and financial support of every attorney as a condition
curriculum and is enrolled in a recognized law school’s clinical
sine qua non to the practice of law.
legal education program approved by the SC – may appear
• Bar integration signifies the setting up by the government authority of a
without compensation in any civil, criminal or administrative case
national organization of the legal profession based on the recognition of the
before any trial court, tribunal, board or officer, to represent
lawyer as an officer of the court.
indigent clients accepted by the Legal Clinic of the School. (Sec.
1, Rule 138-A) The student shall be under the direct supervision
Purpose and Objectives
and control of a member of the IBP duly accredited by the law
1. Assist in the administration of justice;
school. (Sec. 2, Rule 138-A)
2. Foster and maintain on the part of its members high ideals of integrity,
e. Under the Labor Code – non-lawyers may appear before the
learning, professional competence, public service and conduct;
NLRC or any Labor Arbiter if they: (a) represent themselves; and
3. Safeguard the professional interests of its members;
(b) represent their organization or member thereof. (Art. 222, PD
4. Cultivate among its members a spirit of cordiality and brotherhood;
442)
5. Provide a forum for the discussion of law, jurisprudence, law reform,
f. A non-lawyer or layman may represent a claimant before the
pleading, practice and procedure, and the relations of the Bar to the Bench
Cadastral Court (Sec. 9, Act 2259)
and to the public, and publish information relating thereto;
g. Any official or other person appointed to appear for the
6. Encourage and foster legal education;
Government of the Philippines in accordance with law shall have
7. Promote a continuing program of legal research in substantive and adjective
all the rights of a duly authorized member of the bar in any case
law, and make reports and recommendations thereon; and
in which said government has an interest. (Sec. 33, Rule 138)
8. Enable the Bar to discharge its public responsibility effectively.
Who May Not Practice Law?

Relative Prohibition
1. Senators and members of the House of Rep. (Prohibition to appear)
2. Members of Sanggunian

Absolute Prohibition
1. All members of the Judiciary
2. Judges and other officials as employees of the SC.
3. Government prosecutors.
4. President, VP, members of the Cabinet.
5. Members of Constitutional Commissions.
6. Ombudsman and his deputies.
7. Solicitor General and Asst. Solgen.
8. All governors, city and municipal mayors.
9. Those prohibited by special laws – retired members of the judiciary.

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CHAPTER 1: LAWYER AND SOCIETY
CANONS UNDER THIS CHAPTER:
1. Canon 1 – Promote and Respect the Law and Legal Process
2. Canon 2 – Provide Efficient and Convenient Legal Services
3. Canon 3 – Information on Legal Services that is True, Honest, Fair and
Dignified.
4. Canon 4 – Support for Legal Reforms and Administration of Justice
5. Canon 5 – Participate in Legal Education Program.
6. Canon 6 – Applies to Lawyers in Government.
• Is one that is so corrupt and false as to constitute a criminal act or so
unprincipled or disgraceful as to be reprehensible to a high degree.
Moral Turpitude, meaning –
• Includes everything which is done contrary to justice, honesty, modesty, or
good morals.
• It involves an act of baseness, vileness or depravity in the private duties
which a man owed his fellowmen, or to society in general, contrary to the
accepted and customary rule of right and duty between man and woman,
or conduct contrary to justice, honesty, modesty or good morals.

CANON 1 — A lawyer shall uphold the constitution, obey the laws of the land RULE 1.02 A lawyer shall not counsel or abet activities aimed at defiance of the
and promote respect for law and for legal processes. law or at lessening confidence in the legal system.

Duty of Lawyer: Examples of Duty Not to Counsel Illegal Activities

1. Maintain allegiance to the RP; • A lawyer who defies a writ or preliminary injunction has flouted his duties
2. Uphold the Constitution; and as a lawyer.
3. Obey the laws of the Land. • He should not promote an organization known to be violating the law nor
assist it in a scheme which he knows is dishonest.
Role of Lawyers in the Community:
• A lawyer assumes responsibilities well beyond the basic requirements of RULE 1.03 A lawyer shall not, for any corrupt motive or interest, encourage any
good citizenship. suit or proceeding or delay any man's cause.
• As a servant of the law, a lawyer should moreover make himself an
example for others to emulate. Duty Not to Encourage Lawsuits
• Being a lawyer, he is supposed to be a model in the community in so far as • This rule aims to prevent barratry and ambulance chasing.
respect of the law is concerned.
Barratry, meaning –
Lawyer’s Oath – is a source of obligations and its violation is a ground for suspension, • An offense of frequently exciting and stirring up quarrels and suits, either
disbarment. And other disciplinary proceedings. at law or otherwise.
• It is the lawyer’s act of fomenting suits among the individuals and offering
RULE 1.01 A lawyer shall not engage in unlawful, dishonest, immoral or deceitful his legal services to one of them for monetary motives of purposes.
conduct.
Ambulance Chasing, meaning –
Unlawful Conduct, meaning – • Solicitation of almost any kind of legal business by an attorney, personally
• An act or omission against the law. (Samson v. Restrivera, G.R. No. or through an agent, in order to gain employment.
178454, 2011)
RULE 1.04 A lawyer shall encourage his clients to avoid, end or settle the
Dishonesty, meaning – controversy if it will admit of a fair settlement.
• Involves lying or cheating
Duty to Encourage Amicable Settlements
Immoral or Deceitful Conduct, meaning – • A lawyer serve as a mediator for comprises rather than an
• Willful, flagrant or shameless and which shows a moral indifference to the instigator of controversies or conflicts. (De Ysasi v. NLRC)
opinion of the good and respectable members of the community.
Grossly Immoral Act, meaning –

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CANON 2 — A lawyer shall make his legal services available in an efficient and
convenient manner compatible with the independence, integrity and effectiveness
of the profession.
Making Legal Services Available
• A lawyer shall make his legal services available in an efficient and
convenient manner compatible with the independence, integrity and
effectiveness of the profession.
RULE 2.01 A lawyer shall not reject, except for valid reasons, the cause of the
defenseless or the oppressed.
A Lawyer Shall Not Reject the Cause of the Defenseless
• The duty of a lawyer to accept the cause of the defenseless and the oppressed
empowers the court to require him to render professional services to any
party in a case, if the party is without means to employ an attorney and the
services of a lawyer are necessary to protect the rights of such party or
secure the ends of justice.
• Every lawyer should:
1. Welcome the assignment as an opportunity to render public service;
2. Show that the practice of law is a profession; and
3. Demonstrate that the efficient discharge of his duties does not depend
upon payment or amount of fees.
RULE 2.02 In such cases, even if the lawyer does not accept a case, he shall not
refuse to render legal advice to the person concerned if only to the extent necessary
to safeguard the latter's rights.
A Lawyer Shall Not Refuse to Render Legal Advice
• GENERAL RULE: A lawyer may refuse to accept the cause of the
defenseless or the oppressed. A lawyer is not obliged to act as legal counsel
for any person who may wish to become his client.
• EXCEPTIONS:
1. If he is in no position to carry out the work effectively or competently;
or
2. If he labors under a conflict of interest between him and a prospective,
or between a present client and the prospective client. (Rule 14.03,
CPR)
RULE 2.03 A lawyer shall not do or permit to be done any act designed primarily
to solicit legal business.
Among those that fall under the prohibition:
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a. A lawyer who recommends employment of himself, his partner, associate,
or member of his legal staff to a non-lawyer who has not sought his advice
regarding employment of a lawyer.
b. A lawyer who compensates and gives anything of value to a person or
organization to recommend or secure his employment of a client.
c. A lawyer who gives a reward for having made a recommendation resulting
in his employment by a client.
RULE 2.04 A lawyer shall not charge rates lower than those customarily
prescribed unless the circumstances so warrant.
A lawyer shall not charge lower rates to attract business
• What the rule prohibits is the competition in the matter of charging
professional fees for the purpose of attracting clients in favor of a lawyer
with lower rates.
• The rule does not prohibit the charging of a reduced fee or none at all, to an
indigent or a person having difficulty paying the usual fee.
CANON 3 — A lawyer in making known his legal services shall use only true,
honest, fair, dignified and objective information or statements of facts.
RULE 3.01 A lawyer shall not use or permit the use of any false, fraudulent,
misleading, deceptive, undignified, self-laudatory or unfair statement or claim
regarding his qualifications or legal services.
A Lawyer Shall Not Solicit Legal Business
• The law prohibits lawyers from soliciting cases for the purpose of gain,
either personally or through paid agents or brokers, which constitutes
malpractice. (Sec. 27, Rule 138)
A Lawyer Cannot Advertise His Talent
• Advertisements are not allowed. The most worthy and effective
advertisement possible is the establishment of a well-merited reputation for
professional capacity and fidelity to trust.
Following Are Considered Permissible Advertisements:
a. Yellow Pages
b. Legal Publication
c. Reputable Law lists
d. Simple announcement of the opening of a law firm
e. Ordinary simple professional card.
f. Advertisements or simple announcement of the Existence of lawyer.
 GuzRev – Block G05 – Basic Legal Ethics Under Atty. Fernandez – DLSU - College of Law
RULE 3.02 In the choice of a firm name, no false, misleading or assumed name
shall be used. The continued use of the name of a deceased partner is permissible
provided that the firm indicates in all its communications that said partner is
deceased.
Lawyers Shall Not Use False or Misleading Firm Name
• A law partnership is a mere association of lawyers of such purpose and is a
non-legal entity.
• Filipino Lawyers cannot practice law under the name of a foreign law firm,
as the latter cannot practice law in the Philippines. (Dacanay v. Baker &
McKenzie)
• The used of a deceased person’s name as part of the firm name is allowed
as long as the public is not misled, e.g. there is an indication that the person
is deceased (For example, by placing a cross beside the name of the
deceased lawyer).
RULE 3.03 Where a partner accepts public office, he shall withdraw from the firm
and his name shall be dropped from the firm name unless the law allows him to
practice law concurrently.
Partner Who Accepts Public Office Should Withdraw from the Firm
• The purpose of the rule is to prevent the law firm from using the partner’s
name to attract business, and to avoid suspicion or undue influence.
• Exception: A partner may opt not to withdraw from the firm if the law
allows him to practice law concurrently.
RULE 3.04 A lawyer shall not pay or give anything of value to representatives of
the mass media in anticipation of, or in return for, publicity to attract legal business.
Lawyer Shall Not Seek Media Publicity
• Media publicity, as a normal by-product of efficient legal service is not
improper.
• What is improper is for a lawyer to resort to propaganda to secure media
publicity for the purpose of attracting legal business.
CANON 4 — A lawyer shall participate in the development of the legal system by
initiating or supporting efforts in law reform and in the improvement of the
administration of justice.
Participation in the Improvement and Reforms in the Legal System
• It is not a strict duty of lawyers to contribute to the improvement of the legal
system.
• However, it is a duty that stems from at lawyer’s sense of responsibility.
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CANON 5 — A lawyer shall keep abreast of legal developments, participate in
continuing legal education programs, support efforts to achieve high standards in
law schools as well as in the practical training of law students and assist in
disseminating information regarding the law and jurisprudence.
Participation in Legal Education Program
• Legal education should be a continuing requirement.
• Mandatory Continuing Legal Education –
o Members of the IBP, except those exempt under Rule 7 of Bar
Matter No. 850 (Mandatory Continuing Legal Education), are
required every 3 years to complete at least 36 hours of continuing
legal education activities, with appropriate penalties for failure to
do so.
CANON 6 — These canons shall apply to lawyers in government service in the
discharge of their official tasks.
Lawyers in Government Services
• Lawyers in government service are held to higher and more exacting
standards under the CPR. As counsels of the State, it is their duty to promote
high ethical standards in public service in keeping with the fundamental
principle that a public office is a public trust and that a public servant owes
utmost fidelity to public service.
RULE 6.01 The primary duty of a lawyer engaged in public prosecution is not to
convict but to see that justice is done. The suppression of facts or the concealment
of witnesses capable of establishing the innocence of the accused is highly
reprehensible and is cause for disciplinary action.
Duty of A Lawyer Engaged in Public Prosecution
• As a representative of the State, the prosecutor has an obligation to govern
with impartiality and must see to it that either guilt shall not escape or
innocence suffer; that while he may strike hard blows, he is not a t liberty
to strike foul ones.
• As a quasi-judicial officer, his primary duty is not to convict but to see that
justice is done.
RULE 6.02 A lawyer in the government service shall not use his public position
to promote or advance his private interests nor allow the latter to interfere with his
public duties.
A Lawyer In Government Service Must Not Use His Position for Private Interests
• General Rule: The private practice of the profession is prohibited while
they remain in government service.
 GuzRev – Block G05 – Basic Legal Ethics Under Atty. Fernandez – DLSU - College of Law
• Exception: When private practice is authorized by the Constitution or law,
provided that such practice will not conflict with their official function.
RULE 6.03 A lawyer shall not, after leaving a government service, accept
engagement or employment in connection with any matter in which he had
intervened while in said service.
A Lawyer After Leaving Government Service Must Refrain from Any Conflict of
Interests
• A lawyer who has left government service may not accept engagement or
employment in connection with any matter in which he had intervened
while in said service.
• The purpose of this prohibition is to avoid a conflict of interest, whether
adverse-interest conflicts or congruent-interest conflicts, between the
lawyer and his former clients.
• In PCGG v Sandiganbayan –
1. The meaning of ―matter referred to in the rules.
2. The metes and bounds of the intervention made by the former government
lawyer on the matter.
• General Rule: Public officials and employees during their incumbency
shall not engage in the private practice of their profession. (RA 6713, par.
7(b))
-END OF CHAPTER 1-
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CHAPTER 2: THE LAWYER AND LEGAL
PROFESSION
CANON 7 — A lawyer shall at all times uphold the integrity and dignity of the
legal profession and support the activities of the integrated bar.
Upholding the Dignity and Integrity of the Profession
• Maintenance of a high standard of legal proficiency as well as honesty and
fair dealing is a pre-requisite to making the bar an effective instrument in
the proper administration of justice.
RULE 7.01 A lawyer shall be answerable for knowingly making a false statement
or suppressing a material fact, in connection with his application for admission to
the bar.
A Person Shall make No False Statement in His Application for Admission to the
Bar
• Failure to live up to the standards of conduct may prevent an aspiring lawyer
from being admitted to practice.
RULE 7.02 A lawyer shall not support the application for admission to the bar of
any person known by him to be unqualified in respect to character, education, or
other relevant attribute.
A Lawyer Shall Not Support Unqualified Applicant to the Bar
• He should volunteer information or cooperate in any investigation
concerning alleged anomalies in the bar examination so that those
candidates who failed therein can be ferreted out and those lawyers
responsible therefor can be disbarred.
RULE 7.03 A lawyer shall not engage in conduct that adversely reflects on his
fitness to practice law, nor shall he, whether in public or private life, behave in a
scandalous manner to the discredit of the legal profession.
A Lawyer Shall Always Conduct Himself Ethically and Morally
• He should conduct himself at all time in such a way as to give credit to the
legal profession and to inspire the confidence, respect and trust of his clients
and the community.
• Thus, a lawyer may be disciplined for misconduct committed either in his
profession or private capacity.
o The test is whether his conduct shows him to be wanting in moral
character, honesty, probity, and good demeanor, or whether it
renders him unworthy to continue as an officer of the court.
 GuzRev – Block G05 – Basic Legal Ethics Under Atty. Fernandez – DLSU - College of Law
Gross immorality reflective of unfitness to practice
• Acts of gross immorality, justifying denial of application to take the
lawyer’s oath or suspension or disbarment:
1. Living an adulterous life with a married woman.
2. Maintaining illicit relations with a niece.
3. Abandonment of his lawful wife to live with another woman.
4. Contracting marriage while first marriage still subsisting.
5. Seducing a woman to have carnal knowledge with her on the basis of
misrepresentation that he is going to marry her, that he is single, or that they
are already married upon signing a mere application for marriage license.
6. Carnal knowledge with a student by taking advantage of his position.
Conviction of a crime involving moral turpitude
• Lawyer convicted of such crime, are either suspended or disbarred.
Commission of fraud or falsehood
• Commission of such may badly reflect on his fitness to practice law.
• He may be administratively disciplined.
• Acts of misconduct calling for disciplinary actions:
1. Falsely stating in a deed of sale that the property is free from liens or
encumbrances.
2. Knowingly taking part in a false and simulated transaction.
3. Making it appear that a vendor, long dead, executed a document of sale
in his favor.
CANON 8 — A lawyer shall conduct himself with courtesy, fairness and candor
toward his professional colleagues, and shall avoid harassing tactics against
opposing counsel.
Courtesy, Fairness, and Candor Towards Professional Colleagues
• Membership in the bar imposes upon lawyer’s certain obligations to one
another.
• What makes the practice of law a profession:
o Observance of honorable, candid, and courteous dealings with
other lawyers.
o Fidelity to known and recognized customs and practices of the
bar.
RULE 8.01 A lawyer shall not, in his professional dealings, use language which
is abusive, offensive or otherwise improper.
A Lawyer Should Use Temperate Language
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• His arguments, written or oral, should be gracious to both the court and the
opposing counsel.
• Should be of such words as may be properly addressed by one gentleman to
another.
• “Do as adversaries do in law: strive mightily but eat and drink as friends.”
• Whatever may be the ill-feelings between the clients should not influence
counsel in their conduct and demeanor toward each other.
• They should scrupulously avoid all personalities and personal history or
personal peculiarities and idiosyncrasies of the other.
RULE 8.02 A lawyer shall not, directly or indirectly, encroach upon the
professional employment of another lawyer; however, it is the right of any lawyer,
without fear or favor, to give proper advice and assistance to those seeking relief
against unfaithful or neglectful counsel.
A Lawyer Should Not Encroach Upon the Business of Another
• A lawyer should not steal the other lawyer’s client nor induce the latter to
retain him by promise of better service, good result or reduced fees for his
services. Neither should he disparage another, make comparisons or
publicize his talent as a means to further his law practice.
• It is, however, the right of a lawyer, without fear or favor, to give proper
advice to those seeking relief against unfaithful or neglectful counsel.
• He may accept employment to handle a matter previously handled by
another lawyer, provided that the other lawyer has been given notice of
termination of service. Without such notice, he shall only appear once he
has obtained conformity or has, at the very least, given sufficient notice of
contemplated substitution.
• A lawyer’s appearance in the case without notice to the first lawyer amounts
to an improper encroachment upon the professional employment of the
original counsel.
Negotiation with the Opposite Party
• A lawyer should not in any way communicate with a party represented by
counsel, much less should he undertake to negotiate or compromise the
matter with him but should deal only with his counsel.
• It is incumbent upon the lawyer most particularly to avoid everything that
may tend to mislead a party not represented by counsel, and he should not
undertake to advise him as to the law.
• The act of a lawyer, representing the defendants of the case, of preparing
the affidavit of desistance encroached upon the legal functions of the
complainants’ attorney.
o It was unscrupulous of the defendants to execute the affidavit of
desistance sans the knowledge and agreement of the latter’s
counsel.
 GuzRev – Block G05 – Basic Legal Ethics Under Atty. Fernandez – DLSU - College of Law

CANON 9 — A lawyer shall not, directly or indirectly, assist in the unauthorized
practice of law.
Preventing Unauthorized Practice of Law
• Public policy requires that the practice of law be limited to those individuals
found duly qualified in education and character.
• The permissive right conferred on the lawyer is an individual and limited
privilege subject to withdrawal if he fails to maintain proper standards of
moral and professional conduct.
• The third exception to the rule does not involve, strictly speaking, a division
of legal fees with non-lawyer employees. The retirement benefits in the
form of pension represent additional deferred wages or compensation for
past services of the employees.
Impropriety Arises Where the Effect of the Arrangement
a. Make the estate or heir a member of the partnership along with the surviving
partners.
b. Makes the estate or heir the recipient of a percentage of the fees that may
be paid from the future business of the deceased lawyer’s clients.

RULE 9.01 A lawyer shall not delegate to any unqualified person the performance
of any task which by law may only be performed by a member of the Bar in good -END OF CHAPTER 2-
standing.

A Lawyer Shall Not Delegate to Non-Lawyers

• Unauthorized practice is committed when a person not a lawyer pretends to
be one and performs acts which are exclusive to the members of the bar; it
is punishable by fine or imprisonment or both.
• He should not delegate to a layman any work which involves the application
of law, such as:
1. The computation and determination of the period within which to appeal
and adverse judgment.
2. Examination of witnesses.
3. Presentation of evidence.

RULE 9.02 A lawyer shall not divide or stipulate to divide a fee for legal services
with persons not licensed to practice law, except:

a) Where there is a pre-existing agreement with a partner or associate that, upon

the latter's death, money shall be paid over a reasonable period of time to his estate
or to persons specified in the agreement; or

b) Where a lawyer undertakes to complete unfinished legal business of a deceased

lawyer; or

c) Where a lawyer or law firm includes non-lawyer employees in a retirement plan,

even if the plan is based in whole or in part, on a profit-sharing arrangement.

Lawyer Shall Not Divide Fees with Non-Lawyers

• The first two exceptions to the rule represent compensation for legal service
rendered by the deceased lawyer during his lifetime, which is paid to his
estate or heirs.

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 GuzRev – Block G05 – Basic Legal Ethics Under Atty. Fernandez – DLSU - College of Law
CHAPTER 3: THE LAWYER AND THE COURTS
CANON 10 — A lawyer owes candor, fairness and good faith to the court.
Duties to the Courts
• A lawyer is an officer of the court. He is an officer of the court because he
is one with the court in upholding justice.
• His first duty is not to his client, but to the administration of justice.
• To that end, his client’s success is wholly subordinate; and his conduct
ought to and must always be scrupulously observant of the law and ethics
of profession.
A Lawyer should be Candid and Truthful to the Court.
• A lawyer must conduct his duties and affairs with full respect to the judicial
office.
• Courts are entitled to expect only complete honesty from lawyers appearing
and pleading before them.
RULE 10.01 A lawyer shall not do any falsehood, nor consent to the doing of any
in Court; nor shall he mislead or allow the Court to be misled by any artifice.
Lawyer Should Do No Falsehood
• He should not mislead the court or the adverse party nor make false
allegations in a pleading.
• He swore, upon his admission to the practice, that will do no falsehood and
conduct himself according to the best of his knowledge and discretion with
all good fidelity to the court and to his client; never to seek to mislead the
courts by an artifice or false statement of fact or law.
RULE 10.02 A lawyer shall not knowingly misquote or misrepresent the contents
of a paper, the language or the argument of opposing counsel, or the text of a
decision or authority, or knowingly cite as law a provision already rendered
inoperative by repeal or amendment or assert as a fact that which has not been
proved.
A Lawyer Should Not Misquote nor Misrepresent
• A lawyer who deliberately made it appear that the quotations in his motion
for reconsideration were findings of the Supreme Court, when they were
just part of the memorandum of the Court Administrator, and who
misspelled the name of the complainant and made the wrong citation of
authority.
• Thus, knowingly misquoting or misrepresenting is both unprofessional and
contemptuous.
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RULE 10.03 A lawyer shall observe the rules of procedure and shall not misuse
them to defeat the ends of justice.
A Lawyer Shall Not Misuse Rules of Procedure
• Rules of procedure offer innumerable opportunities and means for delay and
to defeat the ends of justice.
• Procedural rules are instruments in the speedy and efficient administration
of justice. They should be used to achieve such end and not to derail it.
• Filing of multiple petitions constitutes abuse of the court’s processes.
• He should not use his knowledge of law as an instrument to harass a party.
• While a lawyer owes fidelity to the cause of his client, it should not be at
the expense of truth and administration of justice.
CANON 11 — A lawyer shall observe and maintain the respect due to the Courts
and to judicial officers and should insist on similar conduct by others.
Respect for Courts and Judicial Officers
• This canon should constantly remind lawyers that second only to the duty
of maintaining allegiance to the Republic, and to support the Constitution,
and obey the laws of the land, it is the duty of all attorneys to observe and
maintain the respect due to the courts of justice and judicial officers.
A lawyer violates Canon 11 of the code when:
• He threatens the judge with the filing of an administrative charge if his
motion is not granted.
• Berating the researcher of the court in his pleading is disrespectful to the
court itself.
• A lawyer who openly defied the temporary restraining order issued by the
Court of Appeals.
Obeying the Court Orders
• The highest sign of respect to the courts are the lawyers’ obedience to court
orders and processes. Court orders must be respected, however, erroneous
they may be.
Defending Judges from Unjust Criticism
• It is a lawyer’s duty as an officer of the court to defend a judge from
unfounded criticism or groundless personal attack.
• This requires of him not only to refrain from subjecting the judge to wild
and groundless accusation but also to discourage other people from so
doing.
 GuzRev – Block G05 – Basic Legal Ethics Under Atty. Fernandez – DLSU - College of Law
RULE 11.01 A lawyer shall appear in court properly attired.
Lawyer Shall Appear in Proper Attire
• Both male and female lawyers must always be in business attire.
o For male lawyers – Barong Tagalog or coat and tie.
• Appearing in court properly attired helps in maintaining the dignity and
esteem of the courts and the legal profession are entitled to.
• Thus, the court can hold the lawyer in contempt of court if he appears in
improper attire.
RULE 11.02 A lawyer shall punctually appear at court hearings.
Lawyer Shall Be Punctual
• A lawyer shows respect to the court by appearing during the trial punctually
and in proper attire.
• Inexcusable absence from, or repeated tardiness in attending a pre-trial or
hearing may subject the lawyer to disciplinary action and may prejudice his
client who may be declared in default.
RULE 11.03 A lawyer shall abstain from scandalous, offensive or menacing
language or behavior before the Courts.
Lawyer Shall Abstain from Offensive Language or Behavior
• A lawyer’s language should be forceful but dignified, emphatic but
respectful as befitting an advocate and in keeping with the dignity of the
legal profession.
• His arguments should be gracious to both the court and opposing counsel
and be of such words as may be properly addressed by one gentleman to
another.
• The use of abusive language by counsel against the opposing counsel
constitutes at the same time, a disrespect to the dignity of the court.
Judge Should be Courteous to Lawyer to Merit Respect
• The duty to observe and maintain respect is not a one-way duty from a
lawyer to a judge. A judge should also be courteous to counsel, especially
those who are young and inexperienced.
RULE 11.04 A lawyer shall not attribute to a Judge motives not supported by the
record or have no materiality to the case.
Lawyer Shall Not Attribute to A Judge Improper Motives
• A judge may commit errors, he may abuse his discretion in the resolution
of issues before him. They do not, however, justify a lawyer to attribute to
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a Judge, motives not supported by the record or have no materiality to the
case. (Rule 11.04).
• His right to criticize the acts of courts and judges in a proper and respectful
way and through legitimate channels is well recognized.
RULE 11.05 A lawyer shall submit grievances against a Judge to the proper
authorities only.
Lawyer Shall Submit Grievances to Proper Authorities Only
• The Supreme Court shall have administrative supervision over all courts
and the personnel thereof. (Art. VIII, Sec. 6, 1987 Constitution)
• A lawyer may prefer charges against a judge only after proper
circumspection and without the use of disrespectful language or offensive
personalities.
• A lawyer may not file administrative complaints against judges until he has
exhausted judicial remedies which result in a finding that the judge has
gravely erred.
Ombudsman Has Jurisdiction
• It has jurisdiction to investigate criminal offenses committed by judges,
regardless if such offense relates to official duties or not.
• However, the Ombudsman must defer to the Supreme Court the factual
determination WON the judge committed such crime.
CANON 12 — A lawyer shall exert every effort and consider it his duty to assist
in the speedy and efficient administration of justice.
Assisting the Court in Speedy and Efficient Administration of Justice
• Being an officer of the court, he is an instrument to advance its ends – the
speedy, efficient, impartial, correct, and inexpensive adjudication of cases
and the prompt satisfaction of final judgments.
• He is first and foremost an officer of the court. His duties to the court are
more significant than those which he owes to his client.
RULE 12.01 A lawyer shall not appear for trial unless he has adequately prepared
himself on the law and the facts of his case, the evidence he will adduce and the
order of its profference. He should also be ready with the original documents for
comparison with the copies.
Lawyer Should Come to Court Adequately Prepared
• Without adequate preparation, the lawyer may not be able to effectively
assist the court in the speedy and efficient administration of justice nor can
he serve his client with competence and negligence.
• A lawyer’s unpreparedness can also lead to postponements and delays.
 GuzRev – Block G05 – Basic Legal Ethics Under Atty. Fernandez – DLSU - College of Law
RULE 12.02 A lawyer shall not file multiple actions arising from the same cause.
A Lawyer Shall Not File Multiple Actions
• Litigation must end and terminate sometime and somewhere.
• Once a judgment has become final, the winning party be not deprived of
that verdict.
• For this reason, a lawyer should not file several actions arising from the
same cause or seeking substantially identical reliefs as those that had
already been finally disposed of.
• A lawyer violates his oath when he prostitutes judicial process to secure for
his client what is not justly and validly due him such as improper steps taken
as a means of draining the resources of the proper party.
Duty to Disclose Pending Case
• A disclosure of any pending cases at the time the initiatory pleading is filed
must be made, even if:
a. He has withdrawn the pending case, or it has otherwise been
terminated; or
b. The initiatory pleading is not based on the same cause of action
as the pending case.
A Lawyer Shall Not Resort to Forum Shopping
• Forum Shopping – is the improper practice of going from one court to
another in the hope of securing favorable relief in one court which another
court has denied or the filing of repetitious suits or proceedings in different
courts concerning substantially the same subject matter.
Test to Determine Forum Shopping
• Whether the elements of litis pendentia are present or whether a final
judgment in one case will amount to res judicata in another.
The Certification Against Forum Shopping Must be Signed by the Party, Not His
Counsel.
• GR: The party himself must sign such certification as he has personal
knowledge of the facts stated therein.
• XPN: A certification executed by counsel of the party must certify that he
has personal knowledge of the facts stated therein and must give a justifiable
reason or explanation why the party himself cannot sign the certification.
Sanctions for Non-Filing of Certificate Against Forum Shopping and Failure to
Comply with its Requirements
• Failure to comply shall not be curable by mere amendment of the complaint
or other initiatory pleading but shall be cause for the dismissal of the case
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without prejudice, unless otherwise provided, upon motion and after
hearing.
Sanctions for Willful and Deliberate Forum Shopping
a. Summary dismissal of all actions, with prejudice;
b. Criminal, Civil and/or Administrative Liability;
c. Direct Contempt of Court
RULE 12.03 A lawyer shall not, after obtaining extensions of time to file
pleadings, memoranda or briefs, let the period lapse without submitting the same
or offering an explanation for his failure to do so.
Lawyer Shall File His Pleadings Within the Prescribed Period
• Pressure of work or the need for more time to finish the job often constrains
a lawyer to ask the court for an extension of time to file a pleading,
memorandum, or brief. The lawyer’s failure to make an explanation
constitutes discourtesy to the court.
• Where a lawyer’s motion for extension of time to file a pleading,
memorandum or brief has remained unacted by the court, the least that is
expected of him is to file it within the period asked for.
Duty of Lawyer to Inform Court of Client’s Death
• It is the duty of a lawyer to inform the court, within 30 days, of the death of
his client in a pending case.
• If there is not notice made, the court will proceed as if the party is alive and
its decision thereon binding upon the heirs of the deceased.
RULE 12.04 A lawyer shall not unduly delay a case, impede the execution of a
Judgment or misuse Court processes.
Lawyer Shall Not Delay nor Impede the Execution of Judgment
• It is essential to an effective and efficient administration of justice that once
a judgment has become final, the winning party be not, through subterfuge
and misuses of legal process, be deprived of verdict.
Lawyer to Discourage Appellate Review
• If a lawyer is honestly convinced of the futility of an appeal in a civil suit,
he should not hesitate to inform his disappointed client that most likely the
verdict will not be altered.
• A lawyer who interposes an appeal manifestly for the purpose delay does
so with full awareness of his responsibility as an officer of the court and of
the risk of being disciplined therefore.
 GuzRev – Block G05 – Basic Legal Ethics Under Atty. Fernandez – DLSU - College of Law
RULE 12.05 A lawyer shall refrain from talking to his witness during a break or
recess in the trial, while the witness is still under examination.
Lawyer Shall Not Talk to Witness During Recess
• Purpose: To avoid any suspicion that he is coaching the witness what to say
during the resumption of the examination.
RULE 12.06 A lawyer shall not knowingly assist a witness to misrepresent himself
or to impersonate another.
A Lawyer Shall Not Assist a Witness to Misrepresent
• While he may interview witnesses in advance of trial or attend to their needs
if they have no adequate means of defraying their own expenses, the lawyer
should avoid any such action as may be misinterpreted as an attempt to
influence the witness as to what to say in court.
• A lawyer who presents a witness whom he knows will give a false testimony
may be subjected to disciplinary action.
RULE 12.07 A lawyer shall not abuse, browbeat or harass a witness nor needlessly
inconvenience him.
Lawyer Shall Not Harass a Witness
• Duty to always treat adverse witnesses with fairness and due consideration.
• Rules of Court, Rule 138, Section 20: (f) To abstain from all offensive
personality and to advance no fact prejudicial to the honor or reputation of
a party or witness, unless required by the justice of the cause with which he
is charged.
RULE 12.08 A lawyer shall avoid testifying in behalf of his client, except:
a) on formal matters, such as the mailing, authentication or custody of an
instrument, and the like: or
b) on substantial matters, in cases where his testimony is essential to the ends of
justice, in which event he must, during his testimony, entrust the trial of the case
to another counsel.
Lawyer Shall Avoid Testifying for a Client
• The rule prohibits the practice of the lawyer taking the witness stand and
asking questions to him and answering them as a witness.
• While the law does not disqualify a lawyer from being a witness and an
advocate at the same time in a case, the practice is violative of the rule on
professional conduct.
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• It would also be improper for a lawyer to accept employment in a case where
it would be his duty to attack the testimony to be given by his partner on
behalf of the opposite side.
CANON 13 — A lawyer shall rely upon the merits of his cause and refrain from
any impropriety which tends to influence or gives the appearance of influencing
the Court.
Lawyer Should Rely on the Merits of His Case and Refrain from Impropriety
• Improper acts lessen the confidence of the public in the impartial
administration of justice and should be avoided.
RULE 13.01 A lawyer shall not extend extraordinary attention or hospitality to,
nor seek opportunity for cultivating familiarity with Judges.
Lawyer Shall Not Extend Hospitality or Extraordinary Attention to a Judge
• The unusual attention may subject both the judge and the lawyer to
suspicion.
• The common practice of some lawyers making judges and prosecutors
godfathers of their children to enhance their influence and their law practice
should be avoided by judges and lawyers alike.
• A lawyer should not see a judge in chamber and talk to him about a case he
is handling and pending in the judge’s court. o A lawyer should not
communicate to the judge the merits of a pending case.
RULE 13.02 A lawyer shall not make public statements in the media regarding a
pending case tending to arouse public opinion for or against a party.
Lawyer Shall Not Publicly Discuss Pending Cases
• Newspaper publications by a lawyer concerning pending litigation may
interfere with a fair trial and prejudice the impartial administration of
justice.
• The restriction, however, does not prohibit issuance of statements made by
public officials charged with the duty of prosecuting or defending actions
in court.
• However, such statements should avoid any statement of fact likely to create
an adverse attitude in the public mind.
Criticism of Pending and Concluded Litigation
• The court, in pending litigation, must be shield from embarrassment or
influence in its all-important duty of deciding the case.
• However, once litigation is concluded, the judge who decided it is subject
to the same criticism as other people because then his ruling becomes public
property and is thrown open to public consumption.
 GuzRev – Block G05 – Basic Legal Ethics Under Atty. Fernandez – DLSU - College of Law

Limitations on Right to Criticize CHAPTER 4: THE LAWYER AND THE CLIENT

• The right of a lawyer to comment is not unlimited. It is the cardinal
condition of all such criticism that it shall be bona fide and shall not spell
over the walls of decency and propriety.
• Unfair criticism is a gross violation of the lawyer’s duty to respect the Nature of the Client-Relationship
courts.
Right and Duty of Lawyer to Criticize
• The rule is not, however, intended to prevent criticism of the judicial acts.
For the guarantees of free speech and free press include the right to criticize Characteristics of the Relationship
the judicial conduct.
• Whether the law was wisely or badly enforced is a fit subject for proper
comment.
• If the people cannot criticize a judge the same as any other public official,
public opinion will be effectively muzzled. Rules Protective of Relation
Sub-Judice Rule
• A newspaper publication tending to impede, obstruct, embarrass or
influence to the courts in administering justice in a pending case constitutes
criminal contempt, but the rule is otherwise after the litigation is ended.
RULE 13.03 A lawyer shall not brook nor invite interference by another branch
or agency of the government in the normal course of judicial proceedings.
Lawyer Shall Not Invite Interference by Another Branch of Government
• Principle of Separation of Powers
-END OF CHAPTER 3-
Nature of Relation
• A lawyer is more than an agent or servant since he possesses special power
of trust and confidence, independence and powers superior to those of an
ordinary agent aside from being an officer of the court.
• Strict personal;
• Highly confidential; and
• Fiduciary
• Rules promulgated, in the nature of injunctions peculiarly addressed to an
attorney:
1. To exert his best effort and learning in the protection of the interest of his
client;
2. To promptly account for any fund or property entrusted by or received
for his client;
3. Not to purchase or acquire, any property or interest of is client in
litigation;
4. To forever keep inviolate his client’s secrets or confidence, and not to
abuse them;
5. Not to represent a party whose interest is adverse to that of his client even
after the termination of the relation.
• The Supreme Court requires strict obedience to those rules and subjects the
attorney to discipline and administrative liability for inexcusable breach
thereof to protect the public, the court, and the client from dishonesty and
incompetence of unfaithful lawyers.

Attorney-Client Relationship
• It is said to exist when a lawyer voluntarily permits or acquiesces with the
consultation of a person, who in respect to a business or trouble of any kind,
consults a lawyer with a view of obtaining professional advice or assistance.

Sufficiency of Professional Employment

1) Formality is not an essential element as the contract may be express or implied;
2) In the absence of a written contract circumstantial evidence is sufficient to
establish a professional relationship;
3) What is necessary to establish is that the advice and assistance of an attorney is
sought and received in any manner pertinent to his profession;
4) It is not necessary that:

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 GuzRev – Block G05 – Basic Legal Ethics Under Atty. Fernandez – DLSU - College of Law
a) A fee was paid or promised to be paid;
b) The lawyer was previously employed by the client;
c) The attorney consulted undertook the case; or that
d) Confidential information was confided information was confided or
acquired by the attorney.
Concept of Retainer
Concept of Term “Retainer”
• It may refer either to 2 concepts:
i) The act of the client by which he engages the services of an attorney to
render legal advice, or to defend or prosecute his cause in court; or
ii) The fee a client pays to an attorney when he is retained, a “retaining
fee”, paid to insure and secure his future services and to compensate
counsel for being forbidden from acting as counsel for the other.
(Hilado v. David)
Kinds of Retainer Agreements:
a) General Retainer – Its purpose is to secure beforehand, the services of an
attorney for any legal problem that may afterward rise.
b) Special Retainer – has reference to a particular case or service only.
Necessity of Retainer
• An attorney has no power to represent or appear in court on behalf of a client
without being retained or employed;
• There must be a contract of employment, express or implied between the
lawyer and the client or the client’s representative. (Hilado v. David)
Employment of the Law Firm
• The employment of a law firm is equivalent to the retainer of the member
even though only one of them is consulted.
i) A professional relationship arises when a client seeks and is given by
a member of the law firm.
ii) Employment of the law firm is employment of all members and
employment of a member of a firm is employment of the law firm.
iii) A member of the firm acts in the name and interest of the firm, thus
information disclosed to him as a member of the firm is deemed
disclosed to the firm.
iv) Employment of the firm results in the continuation of the professional
relationship after the death of the counsel.
v) Notice to a law firm as counsel of record is deemed to be notice to all
the members of the firm.
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Who can employ?
i) Any person with Legal capacity;
ii) Minors or incapacitated persons with the assistance of guardian ad
litem;
iii) Agents with special power of attorney with regard to principal’s
property or interest;
iv) Executors or administrators or trustee, on behalf of the estate or
beneficiary;
v) Wife in instances where law allows her to sue or be sued on her own;
and
vi) Board of directors of a corporation, a corporate officer with delegated
power to be hire an attorney or a stockholder in a derivative suit on
behalf of the corporation.
CANON 14 — A lawyer shall not refuse his services to the needy.
General Rule
• While the primacy task of the lawyer as advocate is to represent a party
litigant in court, he is not obliged to act as counsel for any person who
wishes to become his client.
Exception
• When rendering free legal services to the needy and oppressed who are
unable to pay attorney’s fees in order to aid the plight of the needy and in
fulfillment of the IBP’s goal to make legal services available to those who
need them.
RULE 14.01 A lawyer shall not decline to represent a person solely on account of
the latter's race, sex, creed or status of life, or because of his own opinion regarding
the guilt of said person.
Services Regardless of a Person’s Status
• A lawyer may ethically defend a person whom he believes to be guilty.
• A defense counsel who referred to his clients as the culprits that “salvaged”
the victim, has shown discrimination.
• Thus, a lawyer should not decline to represent an unpopular client regardless
of his personal feelings on the guilt or innocence of the accused.
• History shows that while he may champion an unpopular client or cause, he
receives accolades from his peers in the bar.
• This is distinct from a situation where a lawyer who knows that his client is
guilty, in which case he cannot put up an honest and whole-hearted defense.
 GuzRev – Block G05 – Basic Legal Ethics Under Atty. Fernandez – DLSU - College of Law
RULE 14.02 A lawyer shall not decline, except for serious and sufficient cause,
an appointment as counsel de oficio or as amicus curiae or a request from the
Integrated Bar of the Philippines or any of its chapters for rendition of free legal
aid.
Lawyer Shall Not Decline Appointment by the Court or by the IBP
• The relation of attorney and client may be created not only by voluntary
agreement but also by appointment as counsel de oficio for a poor or
indigent litigant.
• Rule 138, sec. 31 Attorney’s for destitute litigants — A court may assign an
attorney to render professional aid free of charge to any party in a case, if
upon investigation it appears that the party is destitute and unable to employ
an attorney, and that the services of counsel are necessary to secure the ends
of justice and to protect the rights of the party. It shall be the duty of the
attorney so assigned to render the required service, unless he is excused
therefrom by the court for sufficient cause shown.
In Criminal Action, the Court May Appoint Counsel de Oficio in the Following
Instances:
a) Duty of court to inform accused of his right to counsel — Before
arraignment, the court shall inform the accused of his right to counsel and
ask him if he desires to have one. Unless the accused is allowed to defend
himself in person or has employed counsel of his choice, the court must
assign a counsel de oficio to defend him. (Rule 116, Sec. 6, Rules of Court)
b) It shall be the duty of the clerk of the trial court, upon filing a notice of
appeal, to ascertain from the appellant, if confined in prison, whether he
desires the Regional Trial Court, Court of Appeals, or the Supreme Court to
appoint a counsel de oficio to defend him and to transmit with the record on
a form to be prepared by the clerk of court of the appellate court, a
certification of compliance with this duty and the response of the appellant
to his inquiry. (Rule 122, Sec. 13, Rules of Court)
c) Appointment of counsel de oficio for the accused – If it appears from the
record of the case transmitted that:
i) The accused is confine in prison;
ii) Is without de parte on appeal; or
iii) Has signed the notice of appeal himself, the clerk of court of the CA
shall designate counsel de oficio.
When Not Assigned?
a) Accused previously manifested to acquire services of counsel de parte,
otherwise the accused’s right to counsel of choice is violated and judgment
may be set aside.
b) Right to counsel of choice is violated when:
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i) Accused informed trial court his desire to acquire counsel of
choice;
ii) A counsel de officio is appoint;
iii) Accused protests appointment and actions of counsel de officio
Frequent Appointment of the Same Counsel Discouraged
• The burden of regular practice and the possibility of compensation as
counsel de oficio as a regular source of income should caution a court from
frequently appointing the same lawyer.
• The overburdened counsel may have too little time to spare for his de oficio
cases or may be eager to finish such cases to be able to collect his fees within
the earliest possible time.
• The accused stands to suffer, denied effective assistance.
RULE 14.03 A lawyer may not refuse to accept representation of an indigent client
unless:
a) he is in no position to carry out the work effectively or competently; or
b) he labors under a conflict of interest between him and the prospective client, or
between a present client and the prospective client.
A Lawyer May Refuse to Represent Indigent on Valid Grounds
• GR: A lawyer is not obliged to act as counsel for any person who may wish
to become his client. He has the right to decline employment.
• XPN:
1. A lawyer shall not refuse his services to the needy or indigent.
2. He shall not decline to represent a person solely on account of the latter’s
race, sex, creed or status of life or because of his own opinion regarding the
guilt of said person. (Canon 14, Rule 14.01)
3. If there is serious and sufficient cause, an appointment as counsel de
oficio or as amici curiae, or a request from the Integrated Bar of the
Philippines or any of its chapters for rendition of free legal aid. (Canon 14,
Rule 14.02)
Government Lawyer
• GR: A government lawyer called upon to represent the government, any
agency, or any officer in his official capacity either as plaintiff or defendant
in a case, may not generally decline the assignment.
• XPN: He is disqualified to act as counsel.
Solicitor General
• The Solicitor General is the principal law officer and legal defender of the
Government.
 GuzRev – Block G05 – Basic Legal Ethics Under Atty. Fernandez – DLSU - College of Law
o Has discretion in choosing whether to prosecute or not, or to
abandon a prosecution already started.
o To take a position adverse to the people of the Philippines in a
criminal case or to that of a government agency or official when
he believes that justice will be served by taking a different stand.
o But cannot refrain from performing his duty as lawyer of the
government.
o Mandamus will lie to compel him to perform if refusal is based
on flimsy grounds.
RULE 14.04 A lawyer who accepts the cause of a person unable to pay his
professional fees shall observe the same standard of conduct governing his
relations with paying clients.
A Lawyer Shall Observe the Same Standard for all Clients
• The purpose of the legal profession is to render public service and secure
justice for those who seek its aid.
• The gaining of a livelihood is only a secondary consideration.
CANON 15 — A lawyer shall observe candor, fairness and loyalty in all his
dealings and transactions with his client.
Entire Devotion Within the Law
• No lawyer is obliged to act as advocate for every person who may wish to
secure his services. He has the right to decline employment.
• No fear of judicial disfavor or public unpopularity should restrain him from
the full discharge of his duty.
• In the judicial forum, the client is entitled to the benefit of any and every
remedy and defense that is authorized by law, and he may expect his lawyer
to assert every such remedy or defense.
• Every case a lawyer accepts deserves his full attention, diligence, skill, and
competence regardless of its importance and whether he accepts it for a fee
or free. Certainly, a member of the Bar who is worth his title cannot afford
to practice the profession in a lackadaisical fashion. A lawyer’s lethargy is
both unprofessional and unethical
• A lawyer who performs his duty with diligence and candor not only protects
the interest of his client; he also serves the ends of justice, does honor to the
bar, and helps maintain the respect of the community to the legal profession.
Ethical Norms and Restrictions
• A lawyer may only be as successful in the practice as he has enough paying
clientele. Without clients, a lawyer may not be able to make a name as a
practitioner though how talented he may be.
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• On the other hand, a lawyer cannot just accept any case nor can he employ
business methods to solicit professional employment or to advertise his
talent and skill to attract prospective clients.
RULE 15.01 A lawyer, in conferring with a prospective client, shall ascertain as
soon as practicable whether the matter would involve a conflict with another client
or his own interest, and if so, shall forthwith inform the prospective client.
Lawyer Shall Ascertain Possible Conflict of Interests
• It is the duty of a lawyer to disclose and explain to a prospective client all
circumstances of his relations to the parties, and any interest in connection
with the controversy, which in his honest judgment, might influence the
client in the selection of a counsel.
• The disclosure is more for the protection of the lawyer than that of the client.
• If a lawyer conceals the fact that the adverse party used to be his client, the
new client may have reason to suspect, in case of an unfavorable judgment,
that the circumstance prevented him from the full discharge of his duty.
• Concealment of facts material to employment may cause his client to lose
confidence in him.
Duty to Decline Employment
• A lawyer should decline professional employment even though how
attractive the fee may be if its acceptance will involve a violation of any of
the rules of the legal profession.
• After giving advice to a plaintiff concerning a claim, the lawyer may not
thereafter accept retainer from the defendant to defeat that claim.
• He may not accept employment from another in a matter adversely affecting
any interest of his former client with respect to which, confidence has been
reposed.
• Nor may he handle a case to nullify a contract which he prepared.
• He should not accept employment as an advocate in any matter in which he
had intervened while in the government service. This canonical injunction
is based upon the necessity that professional integrity and public confidence
in that integrity be maintained.
• He may not accept employment from an organization to render legal
services to members thereof concerning questions submitted by the
members, the answers to which are printed for circulation.
• He may not accept employment as a columnist to answer inquiries for
advice as to individual rights through the medium of a newspaper column.
• Nor may he accept employment from a collection agency which solicits
business to collect its claims.
 GuzRev – Block G05 – Basic Legal Ethics Under Atty. Fernandez – DLSU - College of Law
RULE 15.02 A lawyer shall be bound by the rule on privilege communication in
respect of matters disclosed to him by a prospective client.
Lawyer Shall Preserve the Secrets of a Prospective Client
• Matters disclosed by a prospective client to a lawyer are protected by the
rule on privileged communications even if the prospective client does not
thereafter retain the lawyer or the lawyer declines the employment.
• Reason: To make the prospective client discuss freely whatever he wishes
with the lawyer without fear that what he discloses will not be divulged nor
used against him and for the lawyer to be equally free to obtain information
from such prospective client.
RULE 15.03 A lawyer shall not represent conflicting interests except by written
consent of all concerned given after a full disclosure of the facts.
Lawyer Shall Not Represent Conflicting Interests
• Test of Inconsistency of Interests in Concurrent or Multiple Representations
o Would the acceptance of a new relation prevent the full discharge
of the lawyer’s duty of undivided fidelity or loyalty?
o Would the acceptance of a new relation invite suspicion of
unfaithfulness or double-dealing?
o In accepting the new relation, will the lawyer be called upon to
use confidential information acquired through their connection
against client?
Reasons for the Prohibition on Representing Conflicting Interests
a) The relationship of trust and confidence of the highest degree, between
attorney and client;
b) The lawyer knows the strength and weakness of his client’s action, and such
knowledge must be guarded;
c) To prevent fraudulent conduct;
d) To prevent a practitioner from putting himself in a position where he may
be required to choose between conflicting duties;
e) To prevent unfounded suspicion of professional conduct.
Effect of Termination of Relation
• GR: The termination of the attorney-client relationship does not allow a
lawyer to represent an interest adverse to or in conflict with that of the
former client.
• XPN: Where the former client expressly consents.
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Materiality of Confidential Information
• The prohibition against representation of conflicting interest applies to an
attorney accepting professional employment from the client’s adversary,
may it be in the same case, or a different one as long as the action is related.
• The prohibition applies whether or not the lawyer has acquired confidential
information from his client.
Opposing Clients in Same or Related Suits
• A conflict of interest exists when a lawyer accepts employment from his
client’s adversary in a case involving a related subject matter.
Opposing Clients in Unrelated Actions
• A lawyer may not appear as counsel for a party against his present client in
another totally unrelated action, for he might not be able to represent both
parties properly, or he might be suspected of disloyalty.
New Clients Against Former Client
• The lawyer is prohibited from representing a subsequent client against a
former client ONLY when the subject matter of the present controversy is
related, directly or indirectly, to the subject matter of the previous litigation
in which he appeared for the former client.
• However, it is allowable when the controversy is wholly unrelated, provided
that notice to previous client is given.
Conflicting Duties
• A lawyer may not perform conflicting duties any more than he may
represent antagonistic interests.
• Example: Being an employee, which attends to a company’s legal affairs,
and being a member of the labor union of the company’s employees.
Attorney’s Interest vs. Client’s Interest
• It is improper for an attorney, even with his client’s consent, to continue to
be his client’s counsel against a defendant when the former brings another
suit, in his own behalf, if it is uncertain whether the latter will be able to
satisfy both claims. The lawyer may also not have financial stakes in the
subject matter of the suit brought on behalf of his client.
Rules Applicable to the Law Firm
• When a lawyer is disqualified from appearing as counsel in a case because
of conflict of interests, his law firm, and all its members are also disqualified
from said case. Since the employment of the law firm is considered a
retainer of all its members.
 GuzRev – Block G05 – Basic Legal Ethics Under Atty. Fernandez – DLSU - College of Law
Limitations on the General Rule
a) The clients knowingly consent to the dual representation;
b) There is no true attorney-client relationship.
Where Clients Knowingly Consent
• GR: A lawyer may, before the controversy reaches the court, represent
conflicting interests as long as all parties give their express written consent
after a full disclosure of facts.
• Note: This general rule only applies when one client is a former client, not
when both clients are current clients in this case.
• XPN: Dual representation even when there is consent, is not allowed when:
o The conflict is between the attorney’s interest against his clients,
in such the client’s interest is superior.
o Conflict of interest between a private client against the
government and any of its instrumentalities in this case, dual
representation is absolutely prohibited.
Effects of Representation of Conflicting Interests
a) Disciplinary Action;
b) Disqualification from representing the new client upon petition of former
client;
c) When the representation of conflicting interests is unknown and works to
the prejudice of the new client, setting aside of adverse judgment against
the new client, provided the both are present:
a. That the attorney discharge or had the opportunity to discharge
conflicting duties; and
b. New client was prejudiced.
d) Right to be paid for his services to the former client may be affect, only
when:
a. The two matters are related; and
b. The former client objected to such representation.
RULE 15.04 A lawyer may, with the written consent of all concerned, act as
mediator, conciliator or arbitrator in settling disputes.
RULE 15.05 A lawyer, when advising his client, shall give a candid and honest
opinion on the merits and probable results of the client's case, neither overstating
nor understating the prospects of the case.
Lawyer Shall Give Candid Advice on Merits
• A lawyer should endeavor to obtain full knowledge of his client's cause
before advising thereon.
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• It is incumbent upon a lawyer to give his client an honest opinion on the
probable results of the case, with the end vie of promoting respect for the
law and legal processes.
• If a lawyer finds his client’s contemplated civil suit totally devoid of merit
or wholly defenseless, he should inform his client and dissuade him from
filing or to compromise rather than traverse the incontrovertible.
• If, on the other hand, he finds that his client’s cause is fairly meritorious and
ripe for judicial adjudication, he should refrain from making bold and
confident assurances of success.
RULE 15.06 A lawyer shall not state or imply that he is able to influence any
public official, tribunal or legislative body.
Lawyer Shall Not Undertake Influence Peddling
• Influence peddling is highly unethical and may constitute violation of the
Anti-Graft and Corrupt Practices Act.
RULE 15.07 A lawyer shall impress upon his client compliance with the laws and
the principles of fairness.
Lawyer Shall Perform Duty within the Law
• Duties of attorneys. - It is the duty of an attorney: (c) To counsel or maintain
such actions or proceedings only as appear to him to be just, and such
defenses only as he believes to be honestly debatable under the law. (Rule
138, Sec. 20, Rules of Court)
• Duty to secure for the client, through honorable means, only what is justly
due him.
• A lawyer is required to represent his client within the bounds of the law.
The CPR enjoins him to employ only fair and honest means to attain the
lawful objectives of his client and warns him not to allow his client to dictate
procedure in handling the case. He may use arguable construction of the law
or rules which are favorable to his client. But he is not allowed to knowingly
advance a claim or defense that is unwarranted under existing law.
RULE 15.08 A lawyer who is engaged in another profession or occupation
concurrently with the practice of law shall make clear to his client whether he is
acting as a lawyer or in another capacity.
Lawyer Shall Make Clear Whether he is Acting in Another Capacity
• The reason is that certain ethical considerations governing the attorney-
client relationship may be operative in one and not in the other.
 GuzRev – Block G05 – Basic Legal Ethics Under Atty. Fernandez – DLSU - College of Law
CANON 16 — A lawyer shall hold in trust all moneys and properties of his client
that may come into his possession.
RULE 16.01 A lawyer shall account for all money or property collected or
received for or from the client.
Accounting of Client’s Funds
• This Canon mandates that a lawyer shall hold in trust all moneys and
properties of his client that may come into his possession. He shall account
for all money or property collected or received from his client and shall
deliver the funds and property of his client when due or upon demand.
• A lawyer may receive money or property for or from his client in the course
of his professional relationship with his client.
• The lawyer holds such money or property in trust and he is under obligation
to make an accounting thereof.
RULE 16.02 A lawyer shall keep the funds of each client separate and apart from
his own and those of others kept by him.
Duty Not to Comingle Funds
• A lawyer should not commingle a client’s money with that of other clients
and with his private funds, nor use the client’s money for his personal
purpose without the client’s consent.
• He should report promptly the money of his client that has come to his
possession.
RULE 16.03 A lawyer shall deliver the funds and property of his client when due
or upon demand. However, he shall have a lien over the funds and may apply so
much thereof as may be necessary to satisfy his lawful fees and disbursements,
giving notice promptly thereafter to his client. He shall also have a lien to the same
extent on all judgments and executions he has secured for his client as provided for
in the Rules of Court.
Duty to Deliver Funds
• The failure of an attorney to return the client’s money upon demand gives
rise to the presumption that he has misappropriated it for his own use to the
prejudice of and in violation of the trust reposed in him by the client.
• However, this rule allows the lawyer to “apply so much thereof as may be
necessary to satisfy his lawful fees and disbursement, giving notice
promptly thereafter to his client”.
o This assumes that the client agrees with the lawyer as to the
amount of attorney’s fees and as to the application of the client’s
fund to pay his lawful fees and disbursement, in which case he
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may deduct what is due him and remit the balance to his client,
with full disclosure on every details.
o Without the client’s consent, the lawyer has no authority to apply
the client’s money for his fees, but he should in instead return the
money to his client, without prejudice to his filing a case to
recover his unsatisfied fees.
RULE 16.04 A lawyer shall not borrow money from his client unless the client's
interests are fully protected by the nature of the case or by independent advice.
Neither shall a lawyer lend money to a client except, when in the interest of justice,
he has to advance necessary expenses in a legal matter he is handling for the client.
Lawyer Shall Not Borrow from, nor Lend Money to Client
• This rule consists of two parts.
• First Part – Prohibits a lawyer from borrowing from his client, is intended
to prevent the lawyer from taking advantage of his influence over the client.
o While the lawyer may borrow money from his client where the
client’s interests are fully protected by the nature of the case he is
handling for the client or by independent advice from another
lawyer, he should not abuse the client’s confidence by delaying
payment.
• Second Part – Prohibits a lawyer from lending money to the client, except,
when in the interest of justice, he has to advance necessary expenses in a
legal matter he is handling, is intended to assure the lawyer’s independent
professional judgment, for if the lawyer acquires a financial interest in the
outcome of the case the free exercise of his judgment may be adversely
affected.
CANON 17 — A lawyer owes fidelity to the cause of his client and he shall be
mindful of the trust and confidence reposed in him.
Fidelity to Client’s Cause
• Generally, any benefit as a result of the abuse of his client’s confidence,
inures to the benefit of the client.
• A lawyer should now normally draw a will, which might give a suspicion
of undue influence.
• And if he were to receive a bequest, such should be reasonable and not more
than what he should receive under the law.
 GuzRev – Block G05 – Basic Legal Ethics Under Atty. Fernandez – DLSU - College of Law
CANON 18 — A lawyer shall serve his client with competence and diligence.
Competence and Diligence
• The lawyer is expected to employ all reasonable steps in the ordinary care
of his client.
RULE 18.01 A lawyer shall not undertake a legal service which he knows or
should know that he is not qualified to render. However, he may render such
service if, with the consent of his client, he can obtain as collaborating counsel a
lawyer who is competent on the matter.
Lawyer Shall Render Service Only When Qualified to do so
• A lawyer shall not accept employment in a specific area of law nor
undertake a particular legal service which he knows or should know he is
not quantified to render. For by accepting professional employment, he
holds himself out to his client that he is knowledgeable, competent and
skillful to handle the case. Some cases involve specialized fields of law and
require special training, of which a lawyer may not be knowledgeable.
RULE 18.02 A lawyer shall not handle any legal matter without adequate
preparation.
Lawyer Shall Not Handle a Case Without Adequate Preparation
• A lawyer owes his client and the court the duty to be adequately prepared
to try the client’s case.
• The full protection of the client’s interests requires no less than a mastery
of the applicable law and the facts involved in a case, regardless of the
nature of the assignment.
• Inadequate preparations cause adverse effects. It may cast doubt upon the
lawyer’s intellectual honesty and capacity.
RULE 18.03 A lawyer shall not neglect a legal matter entrusted to him, and his
negligence in connection therewith shall render him liable.
Lawyer Shall Not Neglect
• He must constantly keep in mind that his actions or omissions or
nonfeasance would be binding upon his client. He is expected to be
acquainted with the rudiments of law and legal procedure, and a client who
deals with him has the right to expect not just a good amount of professional
learning and competence but also a whole- hearted fealty to the client’s
cause.”
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RULE 18.04 A lawyer shall keep the client informed of the status of his case and
shall respond within a reasonable time to the client's request for information.
Duty to Keep the Client Fully Informed
• A lawyer must advise his client promptly whenever he has any information
to give which it is important that the client receive.
• He should notify his client of an adverse decision well within the period to
appeal to enable his client to decide whether to seek an appellate review.
• The client is entitled to the fullest disclosure of the more or manner by which
his interest is defended or why certain steps are taken of omitted.
• However, it is also the client’s duty to make proper inquiries from his
counsel concerning his case.
CANON 19 — A lawyer shall represent his client with zeal within the bounds of
the law.
RULE 19.01 A lawyer shall employ only fair and honest means to attain the lawful
objectives of his client and shall not present, participate in presenting or threaten
to present unfounded criminal charges to obtain an improper advantage in any case
or proceeding.
Use of Fair and Honest Means
• Based on this rule, the lawyer should among other things:
o Not offer in evidence any document which he knows is false;
o Not present any witness whom he know will perjure;
o Only make such defenses which he believes to be debatable under
the law;
o Abstain from offensive personalities;
o Not advance a fact prejudicial to the honor or reputation of a party
or witness unless required to serve justice;
o Not state as fact what he merely expects to accomplish;
o Not in advocating his client’s cause state his personal belief as to
the soundness or justice of his case.
• An attorney’s act of filing a criminal complaint for resistance and
disobedience to a person in authority against the adverse party, for failure
to comply with an order of the court, was held to be a violation of Rule
19.01.
• Furthermore, 19.01 is violated only when the criminal complaint filed or
threatened to be filed is patently frivolous, meritless and clearly groundless
and is aimed solely at gaining the sole purpose of improper advantage.
 GuzRev – Block G05 – Basic Legal Ethics Under Atty. Fernandez – DLSU - College of Law
Two Elements are Indispensable Before a Lawyer can be Deemed to have Violated
this Rule:
a) The filing or threat of filing a Patently frivolous and meritless action or
appeal; and,
b) The filing or threat of filing the action is intended to Gain improper
advantage in any case or proceeding.
RULE 19.02 A lawyer who has received information that his client has, in the
course of the representation, perpetuated a fraud upon a person or tribunal, shall
promptly call upon the client to rectify the same, and failing which he shall
terminate the relationship with such client in accordance with the Rules of Court.
RULE 19.03 A lawyer shall not allow his client to dictate the procedure in
handling the case.
Procedure in Handling Cases
• By accepting a retainer, a lawyer implies that he:
o Possesses the requisite degree of learning, skill and ability which
is necessary to the practice of his profession and which other
similarly situated possess;
o Will exert his best judgment in the prosecution or defense of the
litigation entrusted to him;
o Will exercise reasonable and ordinary care and diligence in the
use of his skill and in application of his knowledge to his client’s
cause;
o Will take such step as will adequately safugard his client’s
interest.
CANON 20 — A lawyer shall charge only fair and reasonable fees:
General Concept
• The compensation of a lawyer should be a mere incident of the practice of
law as the practice of law is a profession and not a business. (Canon 12,
CPE)
Right to Attorney’s Fees
• A lawyer has the right to have and recover from his client a fair and
reasonable compensation for his services except in cases where he has
agreed to render service gratuitously or has been appointed.
Right to Protection of Counsel Fee
• A lawyer is as much entitled to judicial protection against injustice,
imposition or fraud on the part of his client as the client against abuse on
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the part of his counsel. The court muse to it that a lawyer is paid his just
fees.
Requisites for Right to Accrue
1. Accrual of the lawyer’s right to attorney’s fees requires the existence of an
attorney-client Relationship.
2. The rendition by the lawyer of Services to the client.
Written Agreements
• General Rule: It is not necessary to establish a client’s obligation to pay
attorney’s fees.
o Thus, the absence of an express undertaking on the client’s part
to pay attorney’s fees will not defeat the recovery if the lawyer
honestly and in good faith served and represented the interest of
his client.
• Exception: A contingency fee arrangement should always be in writing,
otherwise, it is unenforceable.
Who is liable for Attorney’s Fees?
• GR: Only the client who engaged the services of counsel either personally
of through an authorized agent is liable for the attorney’s fees.
• XPN: In the event a person who accepts the benefits of the legal
representation impliedly agrees to pay the lawyer’s services may not
unjustly enrich himself at the expense of the lawyer.
Who are Entitled to Attorney’s Fees or a Share therein?
• The lawyer who has been engaged by a client is the one entitled to have and
recover no more than a reasonable compensation for his services.
Non-Lawyer Not Entitled to Fees
• A non-lawyer cannot recover attorney’s fees even if there is a law
authorizing him to represent a litigant in court.
RULE 20.01 A lawyer shall be guided by the following factors in determining his
fees:
a) The time spent and the extent of the services rendered or required;
b) The novelty and difficulty of the questions involved;
c) The importance of the subject matter;
d) The skill demanded;
e) The probability of losing other employment as a result of acceptance of the
proffered case;
f) The customary charges for similar services and the schedule of fees of the IBP
chapter to which he belongs;
 GuzRev – Block G05 – Basic Legal Ethics Under Atty. Fernandez – DLSU - College of Law
g) The amount involved in the controversy and the benefits resulting to the client
from the service;
h) The contingency or certainty of compensation;
i) The character of the employment, whether occasional or established; and
j) The professional standing of the lawyer.
Factors to Taken into Account
• The foregoing factors, not one of which is controlling, are mere guides in
ascertaining the real value of the lawyer’s services. The determination of
the attorney’s fees involves questions of fact.
• This requires that there be evidence to prove the amount of fees taking into
account the facts determinative thereof.
Amount Fixed in a Valid Contract
• The amount of attorney’s fees due is that stipulated in the written retainer
agreement which is conclusive as to the amount of the lawyer’s
compensation.
• Once the lawyer has performed the task assigned to him in a valid written
agreement, his compensation shall be determined on the basis of what he
and his client have agreed and not on quantum meruit basis.
• Unless both the attorney and the client expressly or impliedly set aside the
contract and submit the question of reasonableness of the amount for the
court to resolve on a quantum meruit basis, neither may disregard the
amount fixed in the contract.
Nature of Services
• The value of the lawyer’s services is in large measure determined by the
nature, quality and quantity of such services.
• The layer’s service should not be fragmented and each fragment separately
value.
• Rather the importance and value of his services should be measured and
considered as a whole.
Skill and Standing of the Attorney
• The skill, experience and standing of a lawyer bear a direct proportion to
the amount of attorney’s fees to which he may be entitled for his services.
• The lawyer’s competence and ability must be judged by the character and
quality of his work and services not only in the field of law but in other
fields of public and private endeavors as well.
Value of the Interest Involved
• The bigger the size of value of the interest or property involved in litigation,
the higher the attorney’s fee is.
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o This is because the higher the stakes, the more the case is hotly
litigated and the greater the efforts the lawyer exerts.
RULE 20.02 A lawyer shall, in cases of referral, with the consent of the client, be
entitled to a division of fees in proportion to the work performed and responsibility
assumed.
Fees in Cases of Referral
• It is improper for a lawyer to receive compensation for merely
recommending another lawyer to his client for if such practice is permitted,
it would tend to germinate the evils of commercialism and to destroy the
proper appreciation of professional responsibility.
RULE 20.03 A lawyer shall not, without the full knowledge and consent of the
client, accept any fee, reward, costs, commission, interest, rebate or forwarding
allowance or other compensation whatsoever related to his professional
employment from anyone other than the client.
Lawyer Shall Not Receive Fee from Another Without Client’s Consent
• A lawyer should receive compensation for his services in a case only from
his client and not from any other person. This is to prevent a situation in
which the receipt by prevent a situation in which the receipt by him of a
rebate or commission from another in connection with the client’s cause
may interfere with the full discharge his duty to his client.
Rebates and Commission
• Whatever the client receives from the opposite party in the service of his
client belongs to the client, the absence of his client’s consent, after a full
disclosure of facts.
• Generally, “a lawyer may not claim the attorney’s fees in the concept of
damages awarded by the court in favor of his client, except when he and his
client have agreed that whatever amount the court may award as attorney’s
fees would form part of his compensation”.
Attorney Liens
• Lawyers are required at all times to exert utmost zeal and untainted fidelity
in upholding his client’s cause and subject to appropriate disciplinary action
should he fail to live up to such exacting standard, the lawyer in return is
given through his liens – retaining and charging – an effective hold on his
client to assure payment of his fees.
 GuzRev – Block G05 – Basic Legal Ethics Under Atty. Fernandez – DLSU - College of Law
Retaining Lien
• A retaining lien is a general lien for the balance of the account due to the
attorney from his client for services rendered in all matters which he may
have handled for the client regardless of their outcome.
Property to which Lien Attaches
• GR: possessory or retaining lien of an attorney attaches to all property,
papers, books, document or securities of the client that lawfully come to the
lawyer professionally or in the course of his professional employment, not
necessarily in connection with a particular case but any case or matter
handled.
o It also attaches to the client’s money which comes into his
possession by way of a writ of execution ordered by the court.
o It extends to funds collected by the attorney for his client in the
course of his employment, whether or not upon a judgment or
award.
• XPN: Retaining lien does not attach to funds, documents and papers which
come into the lawyer’s possession in some other capacity, such as an agent
of the client’s spouse, or as a mortgagee or trustee.
o It also does not attach to documents introduced as exhibits in
court, they being subject to the court’s custody over which it
exercises control.
When Lien Attaches
• The retaining lien attaches from the moment the attorney lawfully obtains
and retains possession of the funds, documents and papers of the client until
the client pays him his fees and disbursements.
Extinguishment of Retaining Lien
• It expires when possession lawfully ends, as when the lawyer voluntarily
parts with the funds, documents and papers of his client or offer them in
evidence in court.
Charging Lien
• It is an equitable right to have the fees and lawful disbursements due a
lawyer for his services in a suit secured to him out of the judgment for the
payment of money and executions issued in pursuance thereof in the
particular suit.
Requirements for an Enforceable Attorney’s Lien
a) Statement of claim made on record of case while the court has jurisdiction
over the same and before full satisfaction of the judgment; and
b) Written notice of his claim delivered to client and adverse party.
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Records and Notice of Lien
• Takes effect from and after the time the attorney has caused a notice of his
lien to be duly entered in the record of the case.
• The record to be valid, should be effected while the court has jurisdiction
over the case and before the full satisfaction of the judgment.
• Compliance of the requirement of notice is necessary to make the lien
effective and to confer jurisdiction upon the court to determine the lien.
Effects of Charging Lien
• The lien gives the lawyer the right to collect, in payment of his professional
fees and disbursements, a certain amount out of the judgment or award
rendered in favor of his client.
• The client who receives the proceeds of the judgment hold such proceeds in
trust for thaw lawyer who is, to the extent of his lien, regarded as an
equitable assignee thereof.
• A lawyer’s duly recorded charging lien enjoys preference of credit over that
of a creditor who subsequently recorded.
Extinguishment
• A charging lien is extinguished when the client loses the action as the lien
may only be enforced against a judgment awarded in favor of the client, the
proceeds thereof or the execution.
RULE 20.04 A lawyer shall avoid controversies with clients concerning his
compensation and shall resort to judicial action only to prevent imposition,
injustice or fraud.
Lawyer Shall Avoid Controversies with Clients Concerning his Fees
• Suits to collect fees should be avoided, and only where the circumstances
imperatively require should a lawyer resort to lawsuit to enforce payment
of his fees.
Independent Civil Action
• A lawyer may take judicial action to protect his right to fees either in the
main action whether his services were rendered or in an independent civil
action suit against his client.
Court Jurisdiction
• The court having jurisdiction to try the main action in which the lawyer
rendered services also has jurisdiction to pass upon the question of fees even
though the total sum is less than the jurisdictional amount cognizable by the
court.
 GuzRev – Block G05 – Basic Legal Ethics Under Atty. Fernandez – DLSU - College of Law
• On the other hand, an independent civil action for recovery of attorney’s
fees is subject to the same jurisdiction requirement as any other ordinary
civil suit.
o But if a client not only fails to object to the exercises of the court
of jurisdiction to entertain an action for recovery of attorney’s
fees but also asks some affirmative reliefs, he may be estopped,
on appeal, to assail the propriety if the action taken by the trial
court in fixing and allowing counsel fees.
CANON 21 — A lawyer shall preserve the confidences or secrets of his client
even after the attorney-client relation is terminated.
Confidentiality Rule
• The rule applies to matters disclosed to him by prospective clients. It is the
glory of the legal profession that its fidelity to its client can be depended on
and that a man may safely go to a lawyer and converse with him upon his
rights or supposed rights in any litigation with absolute assurance that the
lawyer’s tongue is tied from ever disclosing it.
RULE 21.01 A lawyer shall not reveal the confidences or secrets of his client
except:
a) when authorized by the client after acquainting him of the consequences of the
disclosure;
b) when required by law;
c) when necessary to collect his fees or to defend himself, his employees or
associates or by judicial action.
Duty to Preserve Client’s Confidentiality
• A lawyer has the duty to preserve the secrets of his clients, including
prospective clients, even at his own peril.
• Safeguarding these secrets requires the application of both ethical and
evidentiary considerations.
Duration of Duty
• This is a perpetual duty that continues even after the attorney-client
relationship has been terminated or the death of the client for once
professional confidence is reposed it cannot be divested by either event.
An Attorney is Forbidden:
1) To do anything which will injuriously affect his former client; and
2) To disclose or use against the client information gained by virtue of the
professional relationship.
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General Rule
• The protection of the attorney and client privilege is perpetual.
Exceptions:
1) When removed by the client himself;
2) When removed after the death of client by his heir or legal representative;
3) When a supervening act done pursuant to the purpose of the communication
causes such communication to lose its privileged character such as:
a. Communication sent by client through his attorney once it has
reached third party recipient; or
b. The contents of a pleading before it is filed.
RULE 21.02 A lawyer shall not, to the disadvantage of his client, use information
acquired in the course of employment, nor shall he use the same to his own
advantage or that of a third person, unless the client with full knowledge of the
circumstances consents thereto.
Lawyer Shall Not Use Client’s Secret Without His Consent
• Use of client’s secrets by the lawyer to the client’s disadvantage or to the
lawyer’s or a third person’s advantage deals a blow to the attorney-client
relationship.
RULE 21.03 A lawyer shall not, without the written consent of his client, give
information from his files to an outside agency seeking such information for
auditing, statistical, bookkeeping, accounting, data processing, or any similar
purpose.
Lawyer Shall Not Give Information from his Files
• The work products of a lawyer, contained in his files, are privileged matters
that neither the lawyer nor his heir or legal representative may not give out
without his client’s consent.
RULE 21.04 A lawyer may disclose the affairs of a client of the firm to partners
or associates thereof unless prohibited by the client.
Lawyer may Disclose Affairs to Client to Partners
• Partners and practitioners who held supervisory capacities are legally
responsible to exert ordinary diligence apprising themselves of the comings
and goings of the cases handled by the persons over which they are
exercising supervisory authority and in exerting necessary efforts to
foreclose he occurrence of violations of the CPR by persons under their
charge.
 GuzRev – Block G05 – Basic Legal Ethics Under Atty. Fernandez – DLSU - College of Law
RULE 21.05 A lawyer shall adopt such measures as may be required to prevent
those whose services are utilized by him, from disclosing or using confidences or
secrets of the client.
RULE 21.06 A lawyer shall avoid indiscreet conversation about a client's affairs
even with members of his family.
Lawyer Shall Adopt Measures Against Disclosures of Client’s Secrets and Shall
Avoid Indiscreet Conversation about Client’s Affairs
• Indiscreet conversations about client’s affairs are prohibited in order to
better preserve the client’s confidence and to avoid prejudice to the client
and loss of respect to the legal profession.
RULE 21.07 A lawyer shall not reveal that he has been consulted about a particular
case except to avoid possible conflict of interest.
Lawyer Shall Not Reveal His Having Been Consulted
• GR:
a. Revealing that a lawyer has been consulted is tantamount to
revealing the confidences and secrets of the client;
b. The rule on privileged communications extends to matters
disclosed by a prospective client;
c. This applies even when the lawyer does not accept the
employment, as the disclosure and the lawyer’s opinion on the
matter already create an attorney-client relationship.
• XPN: When the lawyer will be placed in a situation of representing
conflicting interests.
Privileged Communications
• Requisites:
a. There exists an Attorney-Client Relationship, or a
prospective attorney-client relationship, and it is by reason
of this relationship that the client made the communication;
b. The client made the communication in confidence;
c. The legal advice must be sought from the attorney in his
professional capacity.
Evidentiary Privilege
• All the elements inherent in the rule must concur to make the
communication privileged communication against disclosure.
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CANON 22 — A lawyer shall withdraw his services only for good cause and upon
notice appropriate in the circumstances.
Termination of Attorney’s Authority and Withdrawal of Counsel
• A client has the absolute right to discharge his attorney at any time with or
without cause. But this right of the client is not unlimited because good faith
is required in terminating the relationship.
• However, if the contract between client and attorney has been reduced to
writing and the dismissal of the attorney was without justifiable cause, he
shall be entitled to recover from the client the full compensation stipulated
in the contract.
• In the absence of a written retainer, the attorney shall be entitled to a
reasonable amount based on quantum meruit.
Causes of Termination of Attorney-Client Relationship
a) Withdrawal of the lawyer;
b) Death of the lawyer or the client;
c) Disbarment or suspension of the lawyer from the practice of law;
d) Declaration of presumptive death of the lawyer;
e) Conviction of a crime and imprisonment of the lawyer;
f) Dismissal of the lawyer by the client;
g) Appointment or election of a lawyer to government position which prohibits
private practice of law;
h) Intervening incapacity or incompetency of the client during the pendency
of the case;
i) Client’s death;
j) Full termination of the case.
Necessity of a Notice of Discharge
• As between a client and his attorney – No formal notice of discharge by the
client to his or her attorney is necessary. Any act of the client indicating an
unmistakable purpose to terminate the relation is sufficient.
• As between the court and the adverse party – A notice of discharge or
manifestation clearly indicating that purpose must be filed by the client with
the court and a copy served upon the adverse party. Until such is fulfilled,
the lawyer continues to be the counsel in the case.
Death or Incapacity of Client
• GR: Death or incapacity of client TERMINATES the attorney-client
relationship.
• XPN: If retained by the administrator, or legal representative of the
deceased client.
 GuzRev – Block G05 – Basic Legal Ethics Under Atty. Fernandez – DLSU - College of Law

• Note: Duty of the lawyer in case his client dies: (1) Inform the court of the
fact of death; (2) Give the names and addresses of legal representative.
(Rule 3, Sec. 16, ROC)
RULE 22.01 A lawyer may withdraw his services in any of the following cases:
a) When the client pursues an illegal or immoral course of conduct in connection
with the matter he is handling;
b) When the client insists that the lawyer pursue conduct violative of these canons
and rules;
c) When his inability to work with co-counsel will not promote the best interest of
the client;
d) When the mental or physical condition of the lawyer renders it difficult for him
to carry out the employment effectively;
e) When the client deliberately fails to pay the fees for the services or fails to
comply with the retainer agreement;
f) When the lawyer is elected or appointed to public office; and
g) Other similar cases.
Procedure for withdrawal
1) File a Petition for Withdrawal in court;
2) Serve a copy of his petition upon his client and the adverse party at least 3
days before the date set for hearing;
3) Present his petition well in advance of the trial of the action to enable the
client to secure the services of another lawyer; and
4) If the application is filed under circumstances that do not afford a substitute
counsel sufficient time to prepare for trial or that work prejudice to the
client’s cause, the court may deny his application and require him to conduct
the trial.
Retaining Lien
• This rule is designed to insure payment of the lawyer’s professional fees
and the reimbursement of his lawful disbursements in keeping with his
dignity as an officer of the court.
• The law creates in favor of a lawyer a lien not only upon the funds,
documents and papers of his client which have lawfully come into his
possession until what is due him has been paid1 but also a lien upon all
judgments for the payment of money and executions issued in pursuance of
such judgments rendered in the case wherein his services have been retained
by the client.
Definition –
• A retaining lien is a general lien for the balance of the account due to the
attorney from his client for services rendered in all matters which he may
have handled for the client, regardless of their outcome.
Requisites
• In order that a retaining lien will be valid and accorded full protection, there
must be present the following requisites:
a) Attorney-client relationship;
b) lawful possession by the lawyer of the client’s funds, documents and
papers in his professional capacity; and
c) unsatisfied claim for attorney’s fees or disbursements.
-END OF CHAPTER 4-

Requirements for Valid Substitution of Counsel

1) Filing of a written application for substitution;
2) Written consent of the client;
3) Written consent of the attorney to be substituted.
4) In case such written consent cannot be secured, there must be filed with the
application proof of service of the notice of application upon the attorney to
be substituted.

RULE 22.02 A lawyer who withdraws or is discharged shall, subject to a retainer

lien, immediately turn over all papers and property to which the client is entitled
and shall cooperate with his successor in the orderly transfer of the matter,
including all information necessary for the proper handling of the matter.

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