Complaints

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Practice notes
Source of funds and wealth was a key focus of the SRA’s Preventing Money Laundering and Financing of Terrorism thematic review, published in March...
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9th Nov
Precedents
1DefinitionsModern Slavery Policy•means the Customer's anti-slavery and human trafficking policy as set out in Schedule [insert] as updated by the...
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9th Nov
Practice notes
This Practice Note lists high-risk third countries identified by the Financial Action Task Force (FATF), HM Treasury and the European Commission as...
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9th Nov
Practice notes
The purpose of this Practice Note is to provide a general understanding of the offences under section 1, 2 and 6 of the Bribery Act 2010 (BA 2010). It...
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Produced in partnership with Joanne Kane of Carmelite Chambers 12th Jan
Practice notes
An undertaking is a commitment by a solicitor to do something. It can be enforced against the solicitor by the courts. Failure to comply with an...
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9th Nov
Practice notes
Facilitating the performance of a duty by public officialsFacilitation payments, also known as facilitating or grease payments, are generally small...
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Produced in partnership with Richard Furlong of Carmelite Chambers 12th Jan

Most recent Complaints content

Practice notes
Complaints 2019—law firmsThis Practice Note reflects requirements in the Solicitors Regulation Authority (SRA) Codes of Conduct 2019 (2019 Codes) in...
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15th May
Practice notes
Handling complaints—law firmsComplaints are a business risk that cannot be avoided completely so must be handled and managed effectively.There are two...
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15th May
Practice notes
Handling complaints during the coronavirus (COVID-19) epidemic—law firmsThe Legal Ombudsman (LeO) has published guidance for legal service providers,...
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15th May
Practice notes
Complaints—SRA 2011 regime and SRA 2019 regime comparedThis Practice Note contrasts the requirements in the Solicitors Regulation Authority’s (SRA’s)...
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15th May
Practice notes
Law firms and the ODR platform [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.The European Online Dispute Resolution...
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15th May
Practice notes
Complaints—regulatory requirements—law firms 2011 [Archived]You must comply with the Solicitors Regulation Authority's rules on complaints handling,...
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15th May
Practice notes
Legal complaints handling—regulatory bodiesThis Practice Note sets out details of the various bodies that have responsibilities for and interests in...
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15th May
Precedents
Letter to complainant—written response—deadlock or final letter[Insert complainant’s name][Insert complainant’s contact address]Our ref: [insert...
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14th May
Precedents
External complaints policy 2019—law firms1We are committed to providing a high-quality legal service.2We acknowledge that we may not always get it...
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13th May
Precedents
Letter to complainant—progress update—law firms[Insert complainant’s name][Insert complainant’s contact address]Our ref: [insert complaint reference...
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13th May
Precedents
Complaint acknowledgement letter—law firms[Insert complainant’s name][Insert complainant’s contact address]Our ref: [insert complaint reference...
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13th May
Precedents
Internal complaints handling procedure—law firms—20191Introduction1.1We are committed to providing a high-quality legal service. We acknowledge that...
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13th May
Q&As
Personal data that is subject to a duty of client confidentiality or contained within communications that are considered to be legally privileged may...
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Produced in partnership with Peter Steel of Augury Consulting Limited 24th Mar
Precedents
1GeneralComplaint reference number[Insert number]File reference number (if applicable)[Insert number]Complainant name[Insert name]Person dealing with...
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23rd Feb
Q&As
SRA Standards and Regulations 2019 require you to ensure:•clients are informed in writing at the time of engagement about their right to complain...
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15th Feb
Q&As
Legal OmbudsmanThere are no specific provisions within LeO’s Scheme Rules that require a third party to disclose information relating to an ongoing...
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15th Feb
Precedents
Date of meeting[Insert date]Persons in attendance[Insert details including name(s) and role(s)]1Documents consideredThe following documents and data...
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14th Feb
Precedents
[Insert complainant’s name][Insert complainant’s contact address]Our ref: [Insert complaint reference number]Dear [Insert complainant’s name]Your...
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14th Feb
Precedents
1We are committed to providing a high-quality legal service. 2We acknowledge that we may not always get it right so if something has gone wrong,...
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14th Feb
Q&As
Practice Notes: Complaints 2019—law firms and Client care letter and terms of business 2019—information requirements set out information requirements...
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7th Dec

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