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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.