Professional & Financial Services UK-wide

Handle client complaints at your law firm

Set up and run a complaints procedure at your SRA-regulated law firm. Covers the mandatory written procedure, the 8-week resolution window, informing clients about the Legal Ombudsman, and using complaints data to improve your service.

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Every SRA-regulated law firm must have a written complaints procedure and tell clients how to use it. This is not optional. If your firm does not have one, or does not follow it, the SRA can take regulatory action against you.

A good complaints procedure protects your firm as well as your clients. It gives you the chance to put things right before the Legal Ombudsman (LeO) gets involved, and it helps you spot problems in your practice before they become serious.

When this applies

This guide applies to all SRA-regulated firms in England and Wales, regardless of size. Whether you are a sole practitioner or a large partnership, the same core obligations apply. If you provide legal services but are not SRA-regulated (for example, you are regulated by the Bar Standards Board or CILEx Regulation), check your own regulator's complaints requirements.

Set up your complaints procedure

Your written complaints procedure is the foundation of your compliance. It needs to cover every stage from receiving a complaint to closing it, and your Compliance Officer for Legal Practice (COLP) is responsible for making sure it works.

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    1. Write your complaints procedure

    Draft a clear, plain-English document setting out how your firm receives, acknowledges, investigates, and resolves complaints. Avoid legal jargon. State who in the firm handles complaints and how clients can contact them. The SRA does not prescribe a template, but the procedure must cover all stages of the complaints process.

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    2. Appoint a complaints handler

    Nominate a partner, director, or senior employee as your complaints handler. This person should not have been involved in the matter being complained about. For sole practitioners, consider arranging a reciprocal complaints handling arrangement with another firm so that complaints can be reviewed independently.

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    3. Add complaints information to your client care letter

    Every client engagement letter or terms of business must include a summary of how to complain, the name and contact details of the complaints handler, and the Legal Ombudsman's contact details. This must be provided at the start of the retainer, not just when a problem arises.

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    4. Publish your procedure on your website

    The SRA Transparency Rules require you to publish your complaints procedure on your website. If your firm provides any of the specified services (conveyancing, probate, immigration, employment tribunals, motoring offences, debt recovery, or business premises licensing), the transparency obligations are more detailed.

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    5. Set up a central complaints register

    Create a log or database to record every complaint. For each complaint, record the date received, the client's name and matter reference, the nature of the complaint, the actions taken, the outcome, and any lessons identified. The COLP will need this data for the firm's annual complaints data report to the SRA.

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    6. Train your staff

    Make sure everyone in the firm knows the complaints procedure exists, where to find it, and what to do if a client expresses dissatisfaction. Receptionists and support staff are often the first to hear a complaint. Brief all staff on the difference between general feedback and a formal complaint.

Handle a complaint when one arrives

When a client complains, act quickly. A prompt, professional response can resolve most complaints and avoid escalation to the Legal Ombudsman.

  1. Acknowledge promptly. Send a written acknowledgement within 5 working days. Confirm you are treating the matter as a formal complaint, name the person handling it, and set out what will happen next.
  2. Investigate thoroughly. Review the file, speak to the fee earner involved, and consider what went wrong. Look at the complaint from the client's perspective.
  3. Respond substantively. Write to the client with your findings and, if appropriate, an offer to put things right. This might include an apology, a fee reduction, redoing work, or compensation.
  4. Monitor the 8-week deadline. If you cannot resolve the complaint within 8 weeks of receiving it, you must send the client a written notice explaining that 8 weeks have elapsed and that they may now refer the matter to the Legal Ombudsman.
  5. Close and record. When the complaint is resolved (or referred to LeO), update your complaints register with the outcome and any changes you are making to prevent recurrence.

What happens if the Legal Ombudsman gets involved

If a client is not satisfied with your response, or if you do not resolve their complaint within 8 weeks, they can refer the matter to the Legal Ombudsman. Understanding how LeO works will help you respond effectively.

Responding to a LeO investigation

If LeO accepts a complaint, you will be asked to provide your file and a response to the allegations. Co-operate fully and promptly. LeO will usually try to resolve the complaint informally first. If informal resolution fails, an ombudsman will make a formal decision.

If LeO finds against you, the remedies may include an apology, a direction to put things right, a refund of fees, or compensation. You should also be aware that each investigated case carries a case fee charged to your firm, regardless of the outcome.

A pattern of complaints reaching LeO may also attract the SRA's attention. The SRA monitors LeO data as part of its risk-based approach to regulation, and firms with consistently high complaint volumes may face a compliance review.

Learn from complaints

Your complaints register is a management tool, not just a compliance requirement. Review it regularly to identify patterns.

  • Common themes: Are complaints clustering around a particular fee earner, practice area, or type of work? This may indicate a training need or a process problem.
  • Root causes: Many complaints arise from poor communication rather than poor legal work. If clients are complaining about not being kept informed, consider whether your matter management systems and update schedules need improving.
  • Systemic improvements: When you identify a pattern, make a specific change and record it. The SRA expects firms to demonstrate that they learn from complaints, not simply process them.

The COLP should report on complaints trends to the firm's management at least annually. Firms report their first-tier complaints data annually to the SRA, and make an annual firm declaration via mySRA at renewal.

Keep your procedure up to date

Review your complaints procedure whenever there is a change to SRA rules, LeO scheme rules, or your firm's structure. At minimum, review it annually alongside your annual complaints data report and firm declaration to the SRA. Check that all contact details, time limits, and process steps are still accurate.

What to do next

If you do not yet have a complaints procedure, set one up before taking on any new clients. If you already have one, check it covers all the points in this guide and that your client care letters are up to date.

If you have received a complaint and are unsure how to respond, seek advice from your professional indemnity insurer (who may need to be notified in any event) and consider contacting the SRA's Ethics Guidance helpline for regulatory queries.

Official guidance and legislation