Most Members will not be faced with the prospect of having a complaint lodged against them but when it does happen the Institute recognises that it can be a daunting experience. However many complaints could be avoided if the Member addressed matters at an early stage and adopted a co-operative approach when dealing with the complainer and with the Institute. You may wish to contact the Investigations Department for a discussion if you consider it likely that a complaint will be lodged against you.
Dealing with a complaint
In terms of the Rules, if a Member Firm receives a complaint from a client or former client concerning any services it has provided or failed to provide then it is the responsibility of the firm to ensure that the matter is investigated by a principal. If the complainer remains dissatisfied at the conclusion of the investigation then the complainer should be informed in writing of his right to bring his complaint to the attention of the Institute.
Where matters have been referred to the Institute it may still be possible to resolve the issue without having to refer the matter to an Investigating Panel.
All incoming enquiries are assessed to establish those that may be capable of being resolved by conciliation. In such cases we will normally telephone you to discuss the matter and attempt to agree a way forward, which will be confirmed in writing. In the majority of cases further information is likely to be required so we will send you a copy of the correspondence and ask for your input.
The main articles on the web site under Complaints provide details of the complaints process. The following links are more specific to Members.
If you have any concerns, or if you need additional information, please contact the Investigations Department on 0131 347 0271.
Contact us
- Complaints Helpline: 0131 347 0271