FVA | Fonseca Vannucci Abreu

LAW FIRM OAB/SP 10.693   1. THE CODE OF CONDUCT

1.1. This Code of Conduct (“Code”) applies to all members of Fonseca Vannucci Abreu Law Firm (“FVA” or “ the Offices of”), whatever their rank or occupation. We require that all members act in accordance with the firm wide Code of Conduct, and expect all collaborators and stakeholders to comply as well.. 1.2. The Code is widely disclosed on FVA´s website, while employees, collaborators, suppliers, existing and future clients are coached on issues to increase awareness and commitment on the contents of the Code of Conduct. 1.3. All lawyers and legal interns must comply to The Code of Conduct and act in accordance with the local Code of Ethics and Discipline bar, OAB (Organização de Advogados do Brasil)

2. FVA FUNDAMENTAL GROUND RULES

2.1. Our Mission: to deliver outstanding legal advice, with excellence, and be admired by our clients, collaborators and the legal community at large. 2.2. Our Vision: to provide outstanding legal advice with excellence, and ensure safe and sound legal services to our clients. 2.3. Our Values: ethics and honesty; transparency; quality, commitment and efficiency; innovation, creativity, cooperation and proactivity.

3. INSTITUTIONAL COMMITMENTS

3.1. Responsibilities with our clients: To establish and maintain clients, by fully understanding their needs and deliver outstanding legal services beyond their expectations. 3.2. Responsibilities with our Collaborators: To respect their rights and provide working benefits, ensure transparency in job expectations and obligations, providing a supportive and safe working environment that generates opportunities and professional development, to further enhance personal satisfaction and professional outgrowth at FVA. 3.3. Responsibilities with our stakeholders and suppliers: Develop relationships that are mutually beneficial, ethical and establish trustworthy partnerships. 3.4. Responsibilities with our community: Maintain sound business practices that play active roles in the communities in which FVA operates, provide apolitical and non-partisan legal advice, in conformity to the principle underlying humanism, in favor of a more just, fraternal sustainable society.

4. DONATING GIFTS AND OTHER SUCH TOKENS OF APPRECIATION

4.1. To refrain from offering gifts and other tokens of appreciation to obtain any undue benefit or advantage, whether directly for or in favor of FVA, and generate conflicts of interest with the client. 4.2. To be in accordance and in compliance with the recipient´s firm policies, rather they be a client or a prospective client. 4.3. The donation of gifts and other tokens of appreciation by FVA should be coordinated by at least one partner (as shown in the firm´s organization chart), must be a corporate gift, of average value and stamped with the firm´s name when possible.

5. RECEIVING GIFTS AND OTHER SUCH TOKENS OF APPRECIATION

5.1. To refrain from accepting any form of offering to obtain undue benefit or advantage, whether directly or in favor of others and from any person who demonstrates conflicts of interest with the client. 5.2. Receiving benefits and gifts from clients

a. If strictly of personal nature or valued over R$300 (three hundred reais) the amount must be disclosed to the partner in charge, or to other partners when offered to one of the partners. b. Otherwise the benefit or gift must be raffled or shared amongst collaborators in their specific area, whenever possible. c. all benefits related to business events and offered to FVA collaborators are considered of personal nature.

5.3. If suppliers and stakeholders offer benefits and gifts valued over R$100,00 (one hundred reais) the amount must be disclosed to the area partner, or reported to other partners when offered to one partner. Such gifts can be raffled or shared in their specific areas, whenever possible.

6. KINSHIP

6.1. FVA collaborators must inform if their spouse, partner for life, direct relative or collateral in kin, relatives by blood or by affinity hold or occupy any appointed administrative or top managerial position of trust in any Public office within all Federal scopes. 6.2. The collaborator must inform in writing to his partner in charge.

7. CONFLICTS OF INTEREST AND OTHER UNSOUND RELATIONS

7.1. Partners work actively to prevent and perceive possible conflicts of interest, unsound relationships and impediments before accepting new clients and collaborators on assignment, and the final decision is taken by the partner in charge. 7.2. If the contracting party is listed in the firm´s client register as a possible source of conflict of interest to other parties, the partner in charge of the matter must be consulted for final analysis. 7.3. When in doubt partners must report the case to FVA Advisory Council for further analysis and final decision 7.4. Collaborators are responsible for reporting to the area partner on matters that may generate any, impediments, suspicions or conflicts of interest, related to existing or non-active disputes or claims against FVA clients and collaborators.

8. BEHAVIOR AND IMAGE

8.1. It is our premise to respect differences, to abstain from public or mass media appearances that are associated with any form or nature of discrimination and prejudice. 8.2. The use of illegal drugs is prohibited during work hours and in all office premises of FVA. 8.3. The use of alcoholic beverages is prohibited in all office premises of FVA during work hours, subject to certain exceptions during celebrations previously authorized by the partner in charge. 8.4. Regardless of current legislations, it is strictly prohibited for any person to enter the office premises of FVA bearing firearms. 8.5. Romantic relationships between collaborators at FVA must be respectful and responsible. Harassment of any form is not tolerated and all personal issues and discussions must be dealt with outside the workplace and work hours. 8.6. Hierarchical positions in relation to other collaborators may not be used to one´s advantage. 8.7. The dress code must be adequate to one’s workplace and in all forensic ambiances, and as follows:

a. Uniforms, when supplied. b. Flip-flops and similar footwear, tennis shoes and T-shirts are forbidden. c. For men:

i. During regular work hours: dress shirt and casual slacks. ii. On Fridays: dressy polo T-shirts and jeans are tolerated except when courtroom appearances or client meetings are scheduled.

d. For women:

i. During regular work hours: skirts should fall at or below the knees, low-cut clothing of any sort, halter tops, tang tops and midriff are forbidden. ii. On Fridays: dressy polo T-shirts and jeans are tolerated except when courtroom appearances or client meetings are scheduled.

9. INTEGRITY PROCESS

9.1. The Integrity Process which validates this code includes: The Code of Conduct (ii) its widespread disclosure; and (iii) mechanisms that disclose and deal with the noncompliances of ethics. 9.2. When potential breaches to the Code of Conduct are perceived the following mechanism for disclosure of non-compliances of ethics is made readily available to all collaborators and those familiar with the code.

9.2.1. Whistleblowing Procedure: E mail: integridade@fva.adv.br

a. The allegation will be reported to an outside Consultant who has expertise in the area of Attorney Compliance, and who will:

i. Report the allegation to at least two partner members, if neither is involved in the allegation; ii. Report the allegation to other partner members who are not involved in the allegation.

b. The allegation may be anonymous , and include relevant information such as: (i) a brief written report providing facts related to the allegation; (ii) the name and position of the collaborator who contributed to the allegation; (iii) relevant dates; and (iv) proof of the matter, when possible. c. All allegations will be treated: (i) with confidentiality; (ii) the whistleblower may be able to follow up on the case outcome as long as it isn´t detrimental to the investigation or to 3rd parties; (iii) indication within 30 days by the Outside Consultant whether further investigation will take place; e (iv) the outcome of the investigation will be documented and contemplates contradictions and the right to appeal d. In urgent cases the partner will intervene rapidly to put a stop to the on-going noncompliance and subsequently report the case to the Compliance Committee.

9.2.2. Rulings:

a. the Compliance Committee together with the Advisory Council and the Independent Consultant will partake in the decision-making process. The partner who is involved in the allegation may not partake in decisions related to the allegation. b. Disciplinary measures when necessary must be reasonable and proportional to the infraction, and carried out in a manner that insures and collaborates that the incident will not repeat itself. c. Interested parties must be informed of decisions related to the allegation.

9.2.3. Inquiries:

a. The Firm should insure that future inquiries related to the allegation be addressed in a manner that complies with the firm’s policies and provisions. b. Provided that the terms of confidentiality are respected, the Compliance Committee may use cases of reported misconducts as examples to offer continuous training in the prevention of non-compliances to the Code of Conduct.

9.2.4. Audit and spontaneous investigation The Compliance Committee may develop sporadic and periodical actions to detect improper conduct and promote ethical assessments to ensure that collaborators are in accordance with the firm’s values and Organizational Matrix.

a. To audit documented archives and registers of all client and collaborator on assignments. b. To audit purchasing practices of unusual materials and to track their final usages. c. To audit and verify that FVA lawyers and interns are not involved in any form or manner with other processes outside the law firm´s range except when previously approved by the Compliance Committee itself.

 

October 2019

 

FONSECA VANNUCCI ABREU LAW FIRM • OAB/SP 10.693

     

If you prefer, you can also download our code of conduct by clicking here.