Reporting an individual or firm
Our role
We regulate those approved or recognised by us in a proportionate way and in the public interest.
A person or firm regulated by us owes professional duties to clients, the court and third parties. A breach of our rules could amount to professional misconduct.
When we decide a regulated person or firm has broken a rule, the consequence depends upon
- the seriousness of the breach, and
- the likelihood of the individual or firm doing it again.
When deciding on the consequences, we use a range of regulatory outcomes. Outcomes relate to the gravity of the breach. We do not have the power to award compensation.
We may publish our regulatory decisions.
Reporting misconduct
To report a regulated person or firm, contact the Legal Complaints Service (LCS). The LCS acts as a point of entry.
If you are reporting a regulated person or firm who has acted for you, the LCS will consider your report and may be able to direct the firm to compensate you if you have received poor service. If the LCS thinks we need to investigate misconduct, they will refer the information to us.
If you are reporting a regulated person or firm who has not acted for you, the LCS will send your report directly to us. However, please report the following information directly to our Fraud and Confidential Intelligence Bureau:
- fraud or dishonesty on the part of a regulated person
- confidential information
- information you need to report in confidence
How to report
When reporting, please
- set out your concerns clearly,
- identify individuals you consider responsible,
- attach any evidence you have in support.
If you need to discuss your concern, the Legal Complaints Service provides a helpline to deal with enquiries about our work.
What we will do
If we decide there are issues to investigate, we will tell you
- when we are taking up the matter with the individual or firm,
- if you need to send us more evidence,
- when we have enough information to make a decision,
- when we have made a final decision.
If we decide not to investigate, we will inform you.
Whether we investigate or not, we will usually send a copy of your allegations to the regulated firm or individual.
Our service standards
We aim to tackle unacceptable performance, misconduct and dishonesty by taking firm, fair and timely action. As far as we can be, we are open and transparent.
If you are unhappy with your dealings with us, you can complain to us.
If you are unhappy with the outcome, you may be able to ask the Legal Services Ombudsman to conduct an independent review.