ALBERT GOODMAN LLP & ALBERT GOODMAN LEWIS LTD

Complaints Procedure

Our obligations

Our Client Engagement letter includes reference to our complaints handling procedure. All complaints (oral or written) are forwarded immediately to the person responsible for handling complaints. Prompt written acknowledgement is then provided to the complainant to evidence that the complaint has been received and is being investigated.

Regulatory Obligations

The procedure which follows will be the responsibility of the person nominated to handle the investigation of the complainant.

Initial Acknowledgement letter

All written complaints will be acknowledged promptly in writing.
In respect of oral complaints, acknowledgement will again be promptly sent in writing, and will also set out the firm’s understanding of the complaint, asking for the complainant to confirm in writing if the firm’s
understanding is inaccurate.

Subsequent Investigation

All complaints will be thoroughly investigated. The investigation will always include a review of the client file, and may require contact to be made with the client and / or third parties to obtain further information.

If the person responsible for handling complaints is subject to the complaint, the investigation will be passed onto another senior person within the firm.

When the investigation is complete the client will be notified of the outcome of the investigation, the nature and terms of any settlement, and that if the client is not satisfied with the outcome that they may refer the
matter to the ICAEW.

Information

The firm will keep the client informed after the issue of the acknowledgement letter of the progress of the measures being taken for the complaints resolution.

Investigation not complete within 6 weeks

If after 6 weeks the investigation is still not concluded, the client will be notified in writing, highlighting the reasons for the delay and if the client is not satisfied with the progress to date, they may refer the complaint
to the ICAEW.

When will the firm deem the complaint to be closed?

If there has been no confirmation from the complainant within 6 weeks of the firm’s most recent letter, the complaint will be considered closed

Conclusion that Complaint is Unjustified.

Should the result of the investigation in to the complaint be that the principal believes the complaint to be unjustified then this will be communicated to the client preferably by way of a face to face meeting, although
this may be communicated in another form of the client’s choice. A record of the communication at the meeting, or other form of communication will also be explained in a letter, along with the client’s right to refer
the complaint to the ICAEW.

Compensation

Should redress be appropriate, the firm will provide a complainant with fair compensation for any acts or omissions for which it was responsible. Appropriate redress will not always be financial. It may, for example,
involve an apology.

Complainant Remains Unsatisfied

Should the complainant remain unsatisfied with the outcome of the investigation they should be reminded of their right to complain to the ICAEW. This will be included within any closing letter to the investigation.

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