Complaints—regulatory requirements—law firms 2011 [Archived]

The following Practice Compliance practice note provides comprehensive and up to date legal information covering:

  • Complaints—regulatory requirements—law firms 2011 [Archived]
  • Legal Services Board
  • SRA Handbook
  • LeO scheme rules
  • Consumer ADR Regulations 2015
  • What is an ADR entity?
  • What is the ODR platform?
  • Do the Consumer ADR Regulations 2015 apply to law firms?
  • What do you have to do?
  • Other guidance
  • More...

Complaints—regulatory requirements—law firms 2011 [Archived]

You must comply with the Solicitors Regulation Authority's rules on complaints handling, together with any requirements specified by the Legal Services Board (LSB) and Legal Ombudsman (LeO).

Legal Services Board

The LSB requires that:

  1. you inform all clients at the outset, or existing clients at the next appropriate opportunity:

    1. that they can complain

    2. how to complain, and

    3. to whom they should complain

  2. the information provided must include:

    1. an explanation that a complaint can be referred to LeO at the end of your complaints process

    2. the time frame for doing so, and

    3. LeO’s full contact details

The LSB expects that, in regulating complaints procedures, the SRA will:

  1. give consumers confidence that effective safeguards are provided and that complaints will be dealt with comprehensively and swiftly, with appropriate redress

  2. provide processes that are:

    1. convenient and easy to use (in particular for those clients who are vulnerable)

    2. transparent, clear, well-publicised, free and allow complaints to be made by any reasonable means

    3. prompt and fair with decisions based on sufficient investigation and appropriate remedies offered

SRA Handbook

The SRA has transposed the LSB’s requirements into the SRA Code of Conduct 2011, Chapter 1.

The SRA Handbook commences with ten SRA Principles. These are mandatory and apply to every aspect of practice. Three SRA Principles are directly relevant to complaints:

  1. acting in the best interests of each client

  2. providing a

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