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