ABS&P’s Rules of Professional Conduct & Ethics
ABS&P International Law Firm ("ABS&P", "Corporation")
1. General Professional Conduct & Ethics
a) These Rules, unless specifically waived in writing by ABS&P, apply to any person or entity who accepts and performs work for the Corporation, whether remunerated or not.
b) In the event of any conflict between these Rules and an agreement between the Corporation and any person or entity, these Rules shall prevail unless expressly stated otherwise in writing by the Managing Partner.
c) All Corporation Partners, Officers, and Contractors ("Members") must uphold the highest standards of professional conduct and courtesy in their dealings with each other, the public, and clients, whether in their discipline, or in any professional or business context.
d) A breach of Rule 1 in general and especially Rule 1.c), will normally be treated as serious misconduct and may result in immediate suspension or termination of the Member’s relationship with the Corporation and/or legal action. Breaches are reported to or identified by the Managing Partner of the Corporation, whose decision upon mandatory non-binding consultation with the Ethics Board (consisting of the Non-Executive Director, Policy & Ethics of ABS&P and the President of ICDRO), shall be final. Suspension may be for such period as may be decided by the Managing Partner upon non-binding consultation with the Ethics Board. The decision of the Managing Partner in all circumstances shall be final. Appeals may be heard by the Ethics Board, whose non-binding recommendations shall be heard by the President of ICDRO who shall consult with the Managing Partner whose decision shall be final.
e) When engaged on any Corporation assignment (including ad hoc or temporary matters), Members must not engage in any unlawful conduct or behaviour that a reasonable person would consider compromises the business or interests of the Corporation or its clients, especially concerning matters of confidentiality.
2. Confidentiality Policy
a) "Confidential Information" refers to any business, technical, procedural, or client-related information disclosed to a Corporation Member (whether a shareholder, officer, affiliate, or contractor) that is proprietary to the Corporation.
b) Recipients must not disclose Confidential Information to any third party without the Corporation’s prior written consent.
c) The restrictions on disclosure do not apply to information that:
i) Was in the Recipient’s possession before disclosure;
ii) Becomes public through no fault of the Recipient;
iii) Is disclosed by a third party legally entitled to do so; or
iv) Is independently developed without reference to the Confidential Information.
d) All tangible Confidential Information must be returned upon written request. One copy may be retained solely to monitor compliance. Retention is by the Corporation solely and shall be for a period of 6 years. A breach of Rule 2 will be considered serious and may attract such sanction as may be decided by the Managing Partner at his/her unilateral discretion upon mandatory non-binding consultation with the Ethics Board. Appeals shall be heard by the Ethics Board whose decisions shall be persuasive but non-binding upon the Managing Partner whose decision shall be final.
e) No rights or licences are granted under any intellectual property rights by virtue of this Confidentiality Policy.
f) The Corporation is not liable for any decisions made or actions taken by a Recipient in reliance on Confidential Information.
g) All Confidential Information (including software or electronically stored data) remains the exclusive property of the Corporation.
h) The confidentiality obligations shall survive for six (6) years (currently stated inconsistently as "three (6) years") from the date the Recipient becomes subject to them.
i) "Affiliate" includes any person or entity controlling, controlled by, or under common control with the Corporation or the Recipient, including their clients.
j) Recipients must not use Confidential Information to circumvent or interfere with the Corporation’s client relationships or business operations.
k) The obligations in this Confidentiality Policy shall survive termination of the Member’s relationship with the Corporation for a period of six (6) years.
3. Public Speaking Engagements of Members
a) When speaking publicly or publishing material that may involve the Corporation, Members must distinguish personal views from official views unless explicitly authorised by the Managing Partner. Corporation resources may not be used for personal or political purposes.
4. Professional Conduct Obligations of Members
a) Members must not undertake any assignment they are legally prohibited from performing, or which they cannot deliver to the highest professional standard. This is particularly relevant to services such as litigation support, mediation, arbitration, and professional consultancy. In cases of doubt, legal advice should be sought and/or consultation with the Managing Partner is required.
b) When working on Corporation assignments, Members must cooperate fully with the Corporation’s Partners/Directors, especially the Managing Partner, and must not act in any way that could undermine client’s confidence in the Corporation.
c) Members are expected to provide support to each other when possible and treat one another with respect and courtesy.
d) Failure to comply with Rule 4(b) and (c) will be treated as a serious breach by the Managing Partner and may be deemed a resignation event by the Member which will be activated by the President in consultation with the Member’s engagement terms.
e) Members must comply with all applicable laws and ethical standards in the conduct of their services. The Corporation prohibits unlawful or unethical conduct, including bribery, improper payments, and dishonest dealings.
f) Members’ conduct must exceed the minimum standards required by law and their own professional bodies. Legal uncertainties should be referred to the Managing Partner.
g) Members are expected to act professionally at all times. Unprofessional conduct including intoxication, gambling, swearing, or fighting, especially during or in connection with Corporation assignments, is strictly prohibited.
h) Members must act honestly and in the Corporation’s best interests. They must not misuse their position or information for personal gain.
i) Where a Member becomes aware of an actual or potential conflict of interest, they must immediately inform the Managing Partner.
j) Members are encouraged to support public, charitable, and civic causes, but must avoid conflicts of interest between such roles and their Corporation Membership.
k) Upon termination of their Membership, Members must return all Corporation property, materials, and records.
l) Members must notify the Managing Partner confidentially of any bankruptcy, criminal charges, judgments, or creditor arrangements against them.
m) Where a Member’s consent is required by the Managing Partner for any administrative or other operation of ABS&P, and the Member fails to respond to a request or does not respond within the timeframe provided (which shall be reasonable having regard to the matter in hand) the Member shall be deemed to have given consent.
5. General Obligations of the Corporation to its Members
The Corporation commits to:
i) Treat all Members with courtesy and provide Pro Bono assistance for them, where feasible, in legal proceedings affecting them.
ii) Create a professional and supportive environment encouraging collaboration and mutual respect.
iii) Offer all Members the opportunity to apply for advancement within the Corporation, including as Partners/Directors or in commercial activities.
iv) Maintain the highest standards of professionalism and quality within the Corporation.
6. Communications Policy & Amendment to these Rules
6.1) The Managing Partner shall be responsible for amending these Rules:
a) Minor Changes – The Managing Partner may amend these Rules unilaterally where changes are administrative or do not materially affect Members' obligations or the Corporation’s governance.
b) Major Changes – Where changes substantially impact the Corporation’s operations, the Managing Partner must consult Shareholders and Partners (including Consulting Partners). Lack of response within the stated timeframe shall be deemed consent.
c) If a unanimous decision is required but cannot be achieved, the matter shall be referred to the majority shareholder(s), whose decision shall be final subject to the Corporation’s Articles or Shareholders’ Agreement.
May 14th 2021
For and on behalf of the Corporation
Dr Andre Alexander, Managing Partner
Schedule of Amendments:-
27.6.2023: (a) General grammatical editing for coherence.
14.7.2023 and 15.7.2023: (a) Full incorporation of the effect of ABS&P's general Confidentiality Policy; b) Clarification on the effect of the Rules in the event of conflicts with the Corporation other Policies and Agreements; c) General minor changes to the presentation of the Rules for ease of reading.
14.7.2025: a) Minor renumbering of the Rules & grammatical corrections /typing mistakes. b) Rule 3 - clarification of the obligations of member in the field of public speaking as this affects ABS&P. c) Editing for coherence and consistency.
20.7.2025: a) Minor administrative edits to some of the non-financial management aspects of the Rules (in particular Rules 1 and 2) for clarity and coherence - effected by the Managing Partner as permitted under ABS&P’s Shareholders’ Agreement.
27.7.2025: Art. 4. Professional Conduct Obligations of Members: A new paragraph (m) has been added - procedure when consent is required from a Member and is not received.
Shareholders' Agreement - effect of the Rules
These Rules are substantially represented as Schedule C in the Corporation's Shareholders’ Agreement.