Legal Profession Rules – Ethical Values ​​and Disciplinary Provisions

Legal Profession Rules – Ethical Values ​​and Disciplinary Provisions. The legal profession assumes a fundamental role in the administration of justice, carrying both a proxy relationship based on client trust and a public service responsibility towards the judiciary. This dual nature necessitates adherence to strict ethical standards and disciplinary provisions established by the Lawyers’ Act (Law No. 1136) and the Turkish Bar Association (TBB) Professional Rules. This article analyzes the scope of legal ethics, extending from universal principles (independence, integrity, confidentiality) to concrete legal obligations such as financial transparency and conflict of interest. Furthermore, it deeply examines the disciplinary, legal, and criminal liability regimes aimed at preserving the honor of the profession, particularly in the context of the restrictions imposed by the Regulation on Prohibition of Advertising and the use of Artificial Intelligence (AI) and digitalization.

Legal and Philosophical Foundations of Professional Ethics for Lawyers

The legal profession plays a critical role as a constituent element in the administration of justice within the Turkish legal system. The practice of this profession requires not only legal competence but also adherence to high ethical values. This requirement is ensured by a comprehensive body of legal regulations and professional rules.

A. Definition of Professional Rules and Their Place in the Legal System

The fundamental legal basis for the legal profession is the Lawyers’ Act (Law No. 1136), which entered into force in 1969. This Act specifies the basic conditions, rights, and obligations regarding the practice of the profession. Since its initial enactment, the Act has undergone numerous amendments and updates through various laws and decree-laws (such as Law No. 5728 and Decree-Laws Nos. 2018, 2174, and 2329). This continuous need for change and adaptation in the legislation reflects the requirement for professional regulations to respond to dynamic social and legal needs.

Secondary regulations that concretize the general and abstract expressions of the Act are the Professional Rules of the Turkish Bar Association (TBB). These rules were adopted at the TBB’s 4th General Assembly Meeting on January 8–9, 1971, establishing a vital set of standards to protect the honor and order of the profession. The TBB Professional Rules transform general obligations like “professional honor” and “integrity” found in the Lawyers’ Act into enforceable rules of conduct, reinforcing the professional organization’s ability to fill legal gaps. This regulatory structure allows the professional rules set, despite the sluggish nature of the Act, to maintain continuous development potential through bar associations.

B. The Main Purpose of Professional Ethics and its Relationship with Public Trust

The legal profession is fundamentally based on a relationship of trust under the proxy provisions of the Turkish Code of Obligations (TCO). However, the profession also carries the nature of a public service as a constituent element of the judiciary. Ethical rules and disciplinary provisions aim to ensure the sustainability of this dual element of trust (trust towards the client and trust in justice towards the public). A lawyer who fails to comply with ethical values not only bears legal responsibility but also faces the risk of losing professional reputation.

Part 1: Universal and National Ethical Values of the Legal Profession

Legal ethics are based on universal principles adopted in international platforms, such as the Council of Bars and Law Societies of Europe (CCBE), in addition to national legislation.

1. Principle of Independence and Supremacy of Justice

Independence is a fundamental necessity in the practice of the legal profession. Lawyers must not be subjected to any external pressure while defending their clients. This independence ensures that lawyers act only in accordance with the requirements of the law and guarantees their clients’ right to a fair defense. The principle of independence is also recognized as a core value for judicial officers in the Judicial Ethics Principles. Professional independence means that the lawyer defends the client’s interests entirely without external interference.

2. Obligation of Integrity, Dignity, and Professional Propriety

Pursuant to Article 34 of the Lawyers’ Act, the lawyer is obliged to perform their duty with care, accuracy, and in a manner befitting the honor of the profession. This obligation requires maximum transparency in financial relations. A lawyer may request an advance from the client to cover expenses related to the case. However, care must be taken to ensure that the requested advance does not significantly exceed the requirement of the job, that expenditures are regularly reported to the client, and that the remaining money is returned to the client without delay at the end of the job. Any money or valuables received on behalf of the client must be immediately returned within the scope of the accountability obligation.

3. Conflict of Interest and Right of Refusal

Conflict of interest is an ethically sensitive area as it carries the potential to violate the lawyer’s duty of confidentiality. A lawyer cannot accept a new client’s case if there is a risk of disclosing confidential information obtained from a previous client. The European Code of Conduct for Lawyers (CCBE) regulates this matter internationally and restricts the conditions under which a lawyer can represent multiple clients: representation is possible only with written consent and provided there is no violation of professional privilege or independence.

4. Ethics in Relations with Colleagues (Collegiality)

Relations between colleagues aim to ensure that the judicial process is conducted professionally and with dignity. TBB rules strike a balance between the lawyer’s primary responsibility to the client and their responsibility to the judicial system. For example, if a default judgment has been issued against a lawyer who was late for a hearing, the opposing counsel has an obligation to request that this judgment be lifted. This rule demonstrates that the lawyer is the guarantor not only of their own client’s rights but also of Justice and the legal rights of their colleague.

Another important rule concerns communication protocols: a lawyer may only communicate with the opposing party’s lawyer. This rule limits direct contact between clients, preventing potential pressure or information asymmetry. Furthermore, correspondence between lawyers bearing the notation “private” or “confidential” may not be disclosed to third parties or the court without the writer’s consent.

Part 2: Mandatory Legal Obligations Arising from the Proxy Relationship

The lawyer’s legal liability towards the client is determined by the provisions of the proxy contract (TCO) and the Lawyers’ Act.

1. Agent’s Duty of Care and Objective Criterion of Diligence

The proxy contract relies largely on the mutual trust between the parties. The agent’s obligations arise from this element of trust, requiring that the undertaking and services be performed meticulously in line with the principal’s rightful interests.

The scope of the lawyer’s duty of care is evaluated according to an objective, not subjective, criterion. Rulings by the Supreme Court General Assembly of Civil Chambers have stipulated that if the lawyer shows the necessary diligence while undertaking the work, the outcome of the case (whether won or lost) alone will not result in liability. Since the legal profession is a profession of care, a mistake or negligence committed while practicing the profession constitutes a violation of Article 34 of the Lawyers’ Act, leading to disciplinary responsibility.

2. Duty of Confidentiality

The duty of confidentiality, regulated in Article 36 of the Lawyers’ Act, is a fundamental obligation of the profession that continues even after the termination of the proxy relationship.

3. Duty to Account and Financial Transparency

Pursuant to Article 508 of the Turkish Code of Obligations (TCO), the agent is obliged to render an account of the work carried out under the proxy and to remit any valuables received on behalf of the principal without delay. Supreme Court practice has ruled that since the agent has a duty to account, the burden of proving that the money received from the client was spent properly through written documentation belongs exclusively to the agent. This specific rule of burden of proof reinforces the lawyer’s obligation for absolute transparency and record-keeping in financial transactions.

4. Conditions for Legal Liability and Statute of Limitations

For a lawyer’s legal liability to arise, the following conditions must be met: the client must suffer damage, the lawyer must be at fault, and there must be a causal link between the faulty conduct and the damage. The client bears the burden of proving that the lawyer’s breach of contractual obligation caused them harm.

The statute of limitations for compensation claims is quite short, as per Article 40 of the Lawyers’ Act: The right to claim compensation lapses after one year from the date the right arose and the damage was learned, and in any case, after five years from the event that caused the damage. A breach of the duty of care resulting in detriment to a client’s interest (e.g., missing the appeal deadline) may lead to both a civil compensation lawsuit and a disciplinary sanction such as a reprimand.

Part 3: Ethical Standards in the Age of Digitalization and Artificial Intelligence

Traditional professional rules are constantly being updated in the face of the speed and risks brought by digital transformation. This adaptation is particularly concentrated in the areas of the Regulation on the Prohibition of Advertising and the use of Artificial Intelligence (AI).

1. Regulation on the Prohibition of Advertising and Digital Communication Rules

The Turkish Bar Association Regulation on the Prohibition of Advertising has clarified restrictions in the digital environment with the latest amendments made in 2024 (09.08.2024). The restrictions introduced to prevent the commercialization of the legal profession and protect its honor include:

• Internet Address Obligation: Lawyers may open an internet site only with the /av.tr/ extension for the purpose of carrying out their professional activities, informing their clients, or publishing their academic work. Addresses with the gen.tr extension used before the Regulation entered into force must be converted to the av.tr extension within a specified period.
• Virtual Office Security: Lawyers may use “virtual office” like applications accessible only by the concerned person with a password-algorithm, provided they meticulously adhere to the duty of confidentiality. These applications absolutely cannot be opened for use by individuals other than the intended party.
• Search Engine Restrictions: To prevent unfair competition, lawyers, when registering their websites with search engines (SEO), may only use limited keywords (“name and surname,” “lawyer title,” “law,” “justice,” etc.), provided they do not aim to solicit business.
• Publication and Media Prohibition: Lawyers may not engage in publications of an advertising nature about their lives or professional earnings. When providing information about cases they follow, they cannot identify with the case and act as a spokesperson for the parties, nor can they foreground themselves or their legal work in a manner that constitutes advertising.

Table 1: Restrictions and Effects of the TBB Regulation on the Prohibition of Advertising in Digital Environments

2. Lawyer’s Ethical Responsibilities in the Use of Artificial Intelligence (AI)

The use of Artificial Intelligence (AI) technologies in legal services adds new dimensions to traditional duties of care and confidentiality.

• Confidentiality and Data Security: The duty of confidentiality under Article 36 of the Lawyers’ Act is critically important when using AI tools, due to data security risks. Lawyers must understand the data storage policies of the systems they use and must protect the confidentiality of client information by anonymizing it.
• Competence and Duty of Diligence (Risk of Hallucination): It must be considered that AI systems can generate erroneous or fabricated information (hallucination). Therefore, lawyers must use AI outputs only as a supplementary tool and meticulously check and confirm the accuracy of the results in the legal context.
• Principle of Personal Performance: According to current Turkish legislation, AI systems cannot actively participate as a subject in the provision of legal services. Lawyers remain personally responsible for the content produced by AI.
• Accountability and Transparency: Lawyers must openly inform their clients that they are using AI technologies and provide detailed explanations about the risks and benefits of these tools. If the lawyer uses unverified erroneous information produced by AI, and this leads to the client’s detriment, this negligent conduct may trigger criminal liability under Article 257/2 of the TPC.

Part 4: Disciplinary Provisions and the Lawyer’s Legal Liability

Lawyers are subject to a triple liability regime: disciplinary, legal (compensation), and criminal, depending on the nature of their actions.

1. Grounds for Disciplinary Punishment and Types of Penalties

Pursuant to Article 134 of the Lawyers’ Act, any conduct contrary to the honor of the legal profession, professional order and traditions, or conduct not conforming to integrity may result in disciplinary action. For example, obtaining a benefit for oneself at the expense of the client, unfair competition, or violating the rules on the prohibition of advertising constitute disciplinary offenses. According to a TBB Disciplinary Board decision, failing to appeal a decision detrimental to the client’s interests resulted in a reprimand.

2. Disciplinary Investigation and Prosecution Procedures

Upon complaint, the Bar Board of Directors decides to initiate disciplinary prosecution. Article 141/II of the Lawyers’ Act specifies a critical time limit for the initiation of disciplinary prosecution: Prosecution must be initiated within one year. This period is a peremptory rule of public order intended to protect the lawyer under investigation from uncertainty and to quickly clarify their professional reputation.

3. Lawyer’s Criminal Liability: Misconduct in Office (TCK Art. 257)

Since lawyers may hold the status of a public official during the performance of judicial duties, they may incur criminal liability under the Turkish Penal Code (TPC). The crime of misconduct in office can manifest as acting contrary to the requirements of duty (commission) or showing negligence or delay in performing the requirements of duty (omission, TPC Art. 257/2).

Supreme Court jurisprudence has evaluated a lawyer’s failure to attend a hearing, leading to the removal of the file from the docket and causing detriment to clients, as the crime of misconduct in office through negligent conduct under TPC Article 257/2. This demonstrates that the lawyer’s failure to fulfill the duty of care can lead to not only disciplinary or legal consequences but also criminal ones.

Table 2: Comprehensive Comparison of Lawyer’s Liability Regimes

The Future of Professional Rules for Lawyers and Adaptation Strategies

The professional rules for lawyers provide a comprehensive network of regulations designed to ensure professional independence, the protection of client secrets, and integrity toward the judiciary. These rules are dynamic; bar associations can submit new proposals to the TBB General Assembly to ensure the continuous development of the professional rules.

The current analysis reveals two main challenges threatening the profession’s reputation: the tendency towards commercialization and the ethical use of digital tools. While the TBB seeks to protect the profession from commercialization with its strict advertising ban regulation (the av.tr requirement), lawyers are increasingly required to use high-risk Artificial Intelligence (AI) systems.

The key to successful adaptation is the adherence of technology use to fundamental ethical values. Especially in the use of AI, the preservation of the duty of confidentiality, the meticulous verification of the accuracy of the generated content, and the maintenance of the personal performance principle are vitally important. The protection of the reputation of the legal profession depends on the complete implementation of legal, criminal, and disciplinary liability regimes supported by jurisprudence. Compliance with these complex liability regimes will enable the lawyer to successfully fulfill their duty not only to their client’s interests but also to the preservation of the judicial order.