Complaints and redress

ICAEW’S regulatory requirements on handling complaints are detailed in Section 7 of the Legal Services Regulations

• Clearly set out your internal complaints
• Explain how to escalate a complaint about your service to the Legal Ombudsman
• Make sure your complaints procedures are prominent and accessible.

Complaints procedures should also explain the process to raise a complaint with ICAEW about your professional conduct. Make this information available on your website, in your engagement letter, and in alternative formats if needed. An example of how to present this information in your engagement letter is in Engagement Letter Template Q and for your website, refer to Template C in this guidance.

• Executors and residuary beneficiaries are both entitled to make complaints.
• Prospective clients may complain in specific situations for example, if services are unreasonably refused.

Although beneficiaries are not considered clients, the Legal Ombudsman can investigate their complaints, particularly in the absence of a lay executor. Similarly, prospective clients are entitled to complain to the Legal Ombudsman in certain specific circumstances when a service is refused. For this reason, your complaints procedure should be available on request to prospective clients and shared with executors and beneficiaries when conducting probate work.

For more information, access the guidance on our website:

• Legal Ombudsman guidance on handling complaints

Even if the accountancy element of your service is outside the Ombudsman’s scope, the entire bundled service falls under their remit if it includes reserved legal activities.