Last Update: 07/08/2026
Introduction
AIO Legal Services recognises that the quality of legal services is measured not only by the outcome of a matter but also by the manner in which clients are treated throughout their relationship with the practice. Every client is entitled to receive legal services that are competent, professional, transparent and responsive to their individual circumstances. Where those standards are not met, clients have the right to raise their concerns and to have them considered promptly, fairly and independently.
This Policy establishes the procedures through which complaints are received, investigated and resolved. It is designed to ensure that every complaint is treated consistently, objectively and without unnecessary delay, while providing an effective opportunity to identify service improvements and maintain the high professional standards expected of a regulated legal practice.
The complaints process forms an integral part of the practice’s governance arrangements. Information obtained through complaints is used not only to resolve individual concerns but also to strengthen risk management, supervision, staff training and the continuous improvement of legal services.
Nothing within this Policy restricts a client’s statutory or regulatory rights, nor does it prevent the reporting of matters to CILEx Regulation or the Legal Ombudsman where appropriate.
Purpose
The purpose of this Policy is to establish a clear, fair and transparent framework for the handling of client complaints from the time they are received until they are finally resolved.
This Policy seeks to ensure that every complaint is acknowledged promptly, investigated impartially and concluded within reasonable timescales. It also establishes the responsibilities of those involved in the complaints process, the standards by which complaints are assessed, and the procedures for communicating decisions to complainants.
In addition to resolving individual complaints, this Policy supports the practice’s wider governance objectives by ensuring that recurring concerns, operational weaknesses and emerging risks are identified, recorded and addressed through appropriate corrective action. Complaints are regarded as an important source of management information and are used to improve client care, professional standards and regulatory compliance.
Scope
This Policy applies to every complaint relating to legal services provided by AIO Legal Services, irrespective of whether the complaint concerns the conduct of a legal matter, client care, communication, professional behaviour, costs, delay, administration or any other aspect of the services provided by the practice.
The Policy applies to all directors, authorised persons, consultants, employees, contractors and any other individual acting on behalf of AIO Legal Services, regardless of their role or employment status. Every individual is required to cooperate fully with the complaints process and to assist in the prompt resolution of complaints whenever requested.
This Policy applies to complaints received from current clients, former clients and, where appropriate, prospective clients or individuals authorised to act on a client’s behalf. It also applies irrespective of whether the complaint is received in writing, by email or through any other reasonable means of communication accepted by the practice.
Where a complaint also raises concerns relating to professional misconduct, regulatory compliance, anti-money laundering, data protection or other legal obligations, those matters shall be considered under the relevant internal policies in addition to the procedures contained within this document.
What Constitutes a Complaint
A complaint is any oral or written expression of dissatisfaction made by or on behalf of a client concerning the legal services provided by AIO Legal Services, where the complainant seeks an explanation, apology, corrective action or another form of resolution.
A complaint may relate to any aspect of the services provided, including the quality of legal advice, client care, communication, delay, professional conduct, costs, billing, failure to follow instructions, administrative errors, confidentiality, conflicts of interest or any other matter affecting the client’s experience.
A request for information, clarification or a routine service update will not ordinarily constitute a complaint unless it is accompanied by an expression of dissatisfaction regarding the services provided.
Where there is any uncertainty as to whether a communication constitutes a complaint, the matter shall be treated as a complaint unless it is clearly apparent that no complaint is intended. This approach ensures that legitimate concerns are addressed promptly and that clients are not disadvantaged by the manner in which their concerns are expressed.
Nothing in this Policy prevents the practice from identifying potential complaints at an early stage and seeking to resolve concerns informally before they develop into formal complaints, provided that doing so does not prejudice the complainant’s rights under this Policy.
Who May Make a Complaint
A complaint may be made by any individual or organisation with a legitimate interest in the legal services provided by AIO Legal Services.
This will ordinarily include the client who received the legal services, a former client, a prospective client where appropriate, or any individual or organisation authorised to act on the client’s behalf.
Where a complaint is submitted by a representative, the practice may require reasonable evidence confirming that the representative is authorised to act before confidential information is disclosed or the complaint is investigated in detail. This requirement does not prevent the practice from acknowledging receipt of the complaint or taking immediate steps where necessary to protect the client’s interests.
Complaints submitted by vulnerable clients, personal representatives, attorneys acting under a valid power of attorney, litigation friends or other legally authorised representatives shall be handled with appropriate regard to their legal authority and individual circumstances.
Where a complaint is received from a person who is not the client and has no apparent authority or legitimate interest in the matter, the practice shall consider the complaint only to the extent permitted by its legal and professional obligations, including duties of confidentiality and legal professional privilege.
The practice reserves the right to request sufficient information to verify the identity and authority of any person making a complaint where this is necessary to protect confidential information or comply with legal and regulatory requirements.
Complaints Officer
Overall responsibility for the administration of this Policy rests with the Compliance Manager for Practice Management (“Complaints Officer”), who shall oversee the receipt, investigation, resolution and monitoring of all complaints received by AIO Legal Services.
The Complaints Officer shall ensure that every complaint is handled fairly, impartially and in accordance with this Policy, the requirements of CILEx Regulation and any other applicable legal or regulatory obligations. In carrying out these responsibilities, the Complaints Officer shall remain independent from the issues giving rise to the complaint wherever reasonably practicable.
The Complaints Officer shall maintain the Complaints Register, monitor complaint trends, identify recurring issues, recommend corrective action where appropriate and ensure that lessons learned from complaints are incorporated into the practice’s governance, supervision and risk management arrangements.
Where a complaint concerns the Complaints Officer or where a conflict of interest would otherwise arise, responsibility for the investigation shall be assigned to the Authorised Person or another suitably independent individual to preserve the integrity of the complaints process.
Receiving Complaints
Complaints may be submitted in writing by email or post and should contain sufficient information to enable the practice to understand the nature of the concern. Wherever reasonably possible, the complainant should provide their name, contact details, matter reference (if known), a summary of the issues giving rise to the complaint and the outcome they are seeking.
The absence of particular information shall not prevent a complaint from being accepted where the practice is able to identify the matter concerned and undertake a fair investigation.
Upon receipt, every complaint shall be recorded in the Complaints Register and assigned a unique reference number. An acknowledgement shall ordinarily be issued within two business days, confirming that the complaint has been received, identifying the individual responsible for investigating the complaint and providing an outline of the complaints process and anticipated timescales.
Where a complaint concerns an active legal matter, the practice shall continue to act in the client’s best interests unless circumstances require the retainer to be terminated in accordance with the applicable engagement terms or professional obligations.
Formal Investigation Procedure
Following acknowledgement, the Complaints Officer shall undertake an independent and proportionate investigation into the matters raised. The investigation shall be conducted objectively and with due regard to the evidence available, the circumstances of the matter and the applicable professional and regulatory standards.
The investigation may include a review of the client file, attendance notes, correspondence, court documents, billing records and any other material relevant to the complaint. The Complaints Officer may also seek written or oral explanations from those involved in the matter and, where necessary, request further information from the complainant to clarify the issues raised.
Each complaint shall be assessed on its individual merits. No assumptions shall be made regarding the validity of the complaint until all relevant information has been considered.
Where the investigation identifies deficiencies in service, procedural failures or opportunities for improvement, appropriate remedial action shall be considered alongside the resolution of the individual complaint. Where broader operational issues are identified, these shall be referred through the practice’s compliance and governance procedures to reduce the likelihood of recurrence.
Throughout the investigation, the practice shall keep the complainant reasonably informed of progress, particularly where additional time is required to complete the investigation.
Timescales
AIO Legal Services recognises the importance of resolving complaints promptly while ensuring that every complaint receives a thorough and impartial investigation.
Complaints shall ordinarily be acknowledged within two business days of receipt.
The practice will endeavour to complete its investigation and provide a substantive written response within 28 calendar days of acknowledging the complaint. Where this is not reasonably achievable because of the complexity of the issues, the volume of documentation or other exceptional circumstances, the complainant shall be informed of the reasons for the delay, the progress made to date and the anticipated date by which the investigation is expected to conclude.
Every effort shall be made to avoid unnecessary delay while ensuring that the investigation is fair, comprehensive and proportionate.
Final Written Response
Upon completion of the investigation, the Complaints Officer shall provide the complainant with a final written response setting out the outcome of the investigation and the reasons supporting that decision.
Where appropriate, the response shall identify the issues investigated, summarise the findings, explain whether the complaint has been upheld in whole or in part, and specify any remedial action the practice proposes to take. Such action may include an apology, clarification, corrective work, a review of fees, service improvements or any other appropriate resolution having regard to the circumstances of the complaint.
Where the complaint is not upheld, the response shall explain the reasons for that decision in clear and professional terms.
The final written response shall also inform the complainant of any further rights available to them, including, where applicable, their right to refer the complaint to the Legal Ombudsman and, where the complaint raises issues of professional misconduct or regulatory concern, the circumstances in which matters may be brought to the attention of CILEx Regulation.
The practice shall retain a copy of the final response together with all documents considered during the investigation in accordance with its Record Retention Policy and Complaints Register procedures.
Legal Ombudsman
Where a complainant remains dissatisfied after receiving the practice’s final written response, they may be entitled to refer their complaint to the Legal Ombudsman for independent consideration.
The Legal Ombudsman provides an independent complaints resolution service for legal services providers and may investigate complaints relating to the standard of service provided where the complaint falls within its jurisdiction and eligibility criteria.
The final written response issued by AIO Legal Services shall, where applicable, inform the complainant of their right to refer the matter to the Legal Ombudsman together with the relevant contact details, applicable time limits and any eligibility requirements in force at the time.
Nothing within this Policy prevents a complainant from exercising any statutory rights available to them under the Legal Ombudsman Scheme Rules.
CILEx Regulation
CILEx Regulation is responsible for regulating authorised individuals and authorised entities and for ensuring compliance with the applicable regulatory framework governing legal services.
The complaints procedure established under this Policy is intended to resolve concerns relating to the quality of legal services provided by the practice. However, where a complaint raises concerns that may involve professional misconduct, dishonesty, lack of integrity, breach of regulatory obligations or any matter affecting the public interest, such matters may fall within the regulatory jurisdiction of CILEx Regulation.
Where the practice identifies a matter that may require notification to CILEx Regulation under its regulatory obligations, the Compliance Manager shall assess the circumstances and make any required regulatory notification without undue delay.
Nothing in this Policy restricts the right of any individual to raise concerns directly with CILEx Regulation where they believe regulatory intervention may be appropriate.
Confidentiality
Every complaint shall be handled in accordance with the practice’s duties of confidentiality, legal professional privilege and applicable data protection legislation.
Information relating to a complaint shall only be disclosed to those individuals who require access for the purpose of investigating, resolving or reviewing the complaint, or where disclosure is otherwise required or permitted by law, regulation or a court order.
Individuals involved in the investigation of complaints shall maintain strict confidentiality throughout the complaints process and shall ensure that complaint records are protected against unauthorised access, disclosure, alteration or loss.
Where a complaint is made by a representative acting on behalf of a client, confidential information shall only be disclosed after the practice has obtained satisfactory evidence of the representative’s authority, unless disclosure is otherwise authorised by law.
The existence of a complaint shall not affect the practice’s continuing duties of confidentiality owed to the client or any other person.
Record Retention
All complaints received by AIO Legal Services shall be recorded within the Complaints Register together with the actions taken, correspondence exchanged, evidence considered, investigation findings and the final outcome.
Complaint records shall be retained securely for a minimum period of six years from the date on which the complaint is finally concluded, or for such longer period as may be required by law, regulatory requirements or the practice’s Record Retention Policy.
Where a complaint relates to ongoing litigation, anticipated proceedings, regulatory investigations or any other matter giving rise to a continuing legal obligation, the relevant records shall be retained until those matters have been fully concluded, notwithstanding the expiry of the standard retention period.
Complaint records shall be stored securely, access shall be restricted to authorised personnel, and secure destruction shall take place only in accordance with the practice’s Record Retention Policy after the applicable retention period has expired.
Information obtained through complaints shall also be used, where appropriate, for compliance monitoring, risk management, staff training and the continuous improvement of the legal services provided by the practice, provided that such use remains consistent with the practice’s legal and regulatory obligations concerning confidentiality and data protection.