Your firm's duty to investigate complaints
The Disciplinary Bye-laws (DBLs) require that firms investigate complaints raised by their clients. The following guidance explains how to avoid complaints and what your firm needs to do if you receive a complaint from a client.
This guidance explains how to avoid and deal with complaints from clients. It provides:
- a summary of what the DBLs require;
- suggestions for putting in place a formal internal complaints procedure;
- tips for avoiding or diffusing the most common types of complaints; and
- information on who should deal with complaints, including where the complaint is about a sole practitioner.
- The Duty on Firms to Investigate Complaints (effective 31 August 2006)
- The Disciplinary Bye-laws
- What to do if you receive a complaint against you/your firm