Code of Professional Conduct for Patent Agents and Trademark Agents Regulations — 2
2 (1) An agent must not in the course of their professional practice send correspondence to or otherwise communicate with a client, another agent, CIPO or any other person in a manner that is abusive, offensive or otherwise inconsistent with the appropriate tone of a professional communication from an agent. (2) An agent must answer with reasonable promptness all professional letters and communications from other agents and from CIPO that require an answer and an agent must be punctual in fulfilling their commitments. (3) Subject to subsection (4), if a person is represented by an agent or a legal counsel in respect of a matter, another agent must not, except through or with the consent of that person’s agent or legal counsel (a) approach, communicate or deal with the person in relation to the matter; or (b) attempt to negotiate or reach a compromise in the matter directly with the person. COMMENTARY Subsection (3) applies to communications with any person , whether or not they are a party to a formal adjudicative proceeding, contract or negotiation, who is represented by an agent concerning the matter to which the communication relates. An agent may communicate with a represented person in relation to other matters. Subsection (3) does not prevent parties to a matter from communicating directly with each other. The prohibition on communications with a represented person applies only if the agent knows or should know, based on the circumstances, that the person is represented in the matter to be discussed. (4) An agent who does not have an interest in a matter may give a second opinion to a person who is represented by another agent with respect to that matter. COMMENTARY Subsection (4) deals with circumstances in which a client may wish to obtain a second opinion from another agent. In providing a second opinion, and in order to provide competent services, that other agent may require facts that can be obtained only through consultation with the first agent involved. The other agent must advise the client accordingly and, if necessary, consult the first agent unless the client instructs otherwise. (5) An agent retained to act in a matter involving a corporation or other organization represented by an agent or a legal counsel must not, in respect of that matter, unless the agent representing the organization consents or the contact is otherwise authorized or required by law, approach an officer or employee of the organization (a) who has the authority to bind the organization; (b) who supervises, directs or regularly consults with the organization’s agent; or (c) whose own interests are directly at stake in the representation. COMMENTARY Subsection (5) prohibits an agent who represents another person from communicating about the matter in question with persons who are likely involved in the decision-making process for a corporation or other organization. If the corporation or organization is represented by an agent, the consent of that agent to the communication will be sufficient for the purposes of this rule. An agent may communicate with employees of the corporation or organization concerning other matters. (6) In this section, other organization includes a partnership, an association, a union, an unincorporated group, a government department or agency, a tribunal, a regulatory body and a sole proprietorship.