Complaints Procedure

1. Our Commitment to Service Excellence

At DFPI (UK) Services Limited, we are committed to providing exceptional legal services. However, we recognize that things can occasionally go wrong or fail to meet your expectations. When this happens, we want to hear from you so we can address your concerns promptly and fairly.

2. What is a Complaint?

A complaint is an expression of dissatisfaction about our service or conduct that requires a formal response. This might include concerns about:

• The quality of legal advice or services provided
• Delays in handling your matter
• Communication issues or lack of updates
• Our fees or billing practices
• The behavior or conduct of our staff
• Any other aspect of our service delivery

What is NOT a Complaint?

The following are not treated as formal complaints:

• Requests for information or updates on your case
• Disagreement with legal advice (though you can seek a second opinion)
• First-time requests to address a service issue
• General queries about our services or fees

3. Before Making a Formal Complaint

Many concerns can be resolved quickly through direct communication. Before making a formal complaint, we encourage you to:

• Contact the person handling your matter - Many issues can be resolved through open discussion
• Speak with their supervisor - If you're not comfortable speaking to the person directly
• Use our OMNI platform - Send a message through the secure client portal

If the issue cannot be resolved informally, or you prefer to make a formal complaint, please follow the procedure below.

4. How to Make a Formal Complaint

5. Investigation Process

5.1 Initial Assessment

Upon receiving your complaint, we will:

• Assign it to a senior member of staff not involved in your matter
• Review all relevant files, correspondence, and documentation
• Speak with the staff members involved
• Consider all aspects of your complaint objectively

5.2 Investigation Timeline

We aim to:

• Complete our investigation within 14 working days for straightforward complaints
• Provide a full written response within 28 working days for complex matters
• Keep you updated if we need more time (with reasons why)
• Contact you if we need additional information

5.3 Fair and Independent Review

Our investigation will be:

• Thorough: We examine all relevant facts and evidence
• Fair: Both sides of the story are considered
• Independent: Conducted by someone not involved in your matter
• Confidential: Information is shared only with those who need to know

6. Possible Outcomes

Following our investigation, we will provide a written response that may include:

6.1 Complaint Upheld

If we find your complaint is justified, we will:

• Provide a full explanation of what went wrong
• Offer a sincere apology
• Propose appropriate remedies, which may include:
  • A fee reduction or refund
  • Correcting the issue at no additional cost
  • Compensation for losses directly caused by our error
  • Changes to prevent similar issues
• Explain steps we're taking to prevent recurrence

6.2 Complaint Partially Upheld

If some aspects are justified but not others:

• We will explain which parts are upheld and why
• We will provide appropriate remedies for the upheld elements
• We will clarify why other aspects were not upheld

6.3 Complaint Not Upheld

If we find the complaint is not justified:

• We will explain our decision in detail
• We will provide evidence supporting our position
• We will explain your right to take the matter further (see section 8)

7. If You're Not Satisfied with Our Response

7.1 Internal Review

If you are not satisfied with our initial response, you can request an internal review by:

• Writing to our Managing Director within 14 days
• Explaining why you remain dissatisfied
• Including any additional information you believe is relevant

The Managing Director or a senior partner will conduct a fresh review and respond within 14 working days.

7.2 Final Response

Our final response letter will:

• Clearly state that it is our final position
• Explain our reasoning in detail
• Outline your options for alternative dispute resolution
• Provide information about external complaint schemes (see section 8)

8. Alternative Dispute Resolution

8.1 Legal Ombudsman

If you remain dissatisfied after receiving our final response, you may be able to refer your complaint to the Legal Ombudsman, an independent body that resolves disputes between legal service providers and their clients.

8.2 Eligibility and Time Limits

You can usually complain to the Legal Ombudsman if:

• You have received our final response letter; or
• More than 8 weeks have passed since you made your complaint to us

8.3 Alternative Dispute Resolution Platforms

You may also consider other ADR options:

• Mediation: We are willing to engage in mediation through an independent mediator
• Arbitration: For contractual disputes, arbitration may be appropriate
• Small Claims Court: For disputes under £10,000

9. Costs of Complaining

There is no charge for making a complaint or using our complaints procedure. The Legal Ombudsman service is also free to consumers.

However, if you choose to instruct a solicitor to assist you with your complaint, you will be responsible for their costs.

10. Confidentiality and Record Keeping

10.1 Confidentiality

We treat all complaints confidentially. Information about your complaint will only be shared with:

• Staff members involved in investigating or resolving it
• Our professional indemnity insurers (if necessary)
• Regulatory bodies or the Legal Ombudsman (if they request it)
• Others with your explicit consent

10.2 Record Keeping

We maintain a central register of all complaints, recording:

• The nature of each complaint
• How it was investigated and resolved
• Timescales for resolution
• Lessons learned and improvements made

This helps us identify trends and continually improve our services.

11. No Prejudice to Your Legal Matter

Making a complaint will not:

• Adversely affect how we handle your legal matter
• Prejudice your rights or interests
• Result in less favorable treatment
• Impact the quality of service we provide going forward

We are committed to maintaining professional standards regardless of whether a complaint has been made.

12. Learning from Complaints

We view complaints as valuable opportunities to improve. When we receive complaints, we:

• Analyze patterns and common issues
• Implement changes to prevent recurrence
• Provide additional training where needed
• Review and update our policies and procedures
• Share lessons learned across the organization
• Report on complaints and improvements to senior management

13. Vulnerable Clients

We recognize that some clients may need additional support in making a complaint. If you have any accessibility needs or require assistance, please let us know. We can:

• Accept complaints in alternative formats
• Arrange face-to-face meetings if preferred
• Communicate through a representative or advocate
• Provide documents in large print or other accessible formats
• Make reasonable adjustments to our process

14. Complaints About Fees

If your complaint concerns our fees or billing:

• We will provide a detailed breakdown of charges
• We will explain the basis on which fees were calculated
• We may agree to an independent fee assessment
• You may have the right to apply for assessment by the court

For fee disputes, you should be aware of your statutory rights under the Solicitors Act 1974 to have bills assessed by the court.

15. Serious Misconduct

If your complaint involves allegations of serious professional misconduct, we will:

• Take immediate action to protect your interests
• Conduct an urgent investigation
• Consider whether regulatory reporting is required
• Keep you informed throughout the process

16. Annual Complaints Review

We conduct an annual review of all complaints to:

• Identify systemic issues or trends
• Assess the effectiveness of our complaints handling
• Implement service improvements
• Report to senior management and stakeholders
• Ensure compliance with best practice standards

17. Contact Information for Complaints

18. Review of This Procedure

This complaints procedure is reviewed annually to ensure it remains effective and compliant with best practice. The current version is available on our website and can be provided in alternative formats upon request.

We Value Your Feedback
Whether you have a complaint or simply want to provide feedback on our services, we encourage open communication. Your input helps us maintain our commitment to excellence and continuous improvement.