Complaints information for ICAS Members
Most Members will not be faced with the prospect of having a complaint lodged against them but when it does happen, ICAS recognises that it can be a daunting experience.
Many complaints could, however, be avoided if the Member had addressed matters at an early stage and adopted a co-operative approach when dealing with the complainer and with ICAS. You may wish to contact the Investigations Department for a discussion if you consider it likely that a complaint may be lodged against you.
Dealing with a complaint
In terms of the Investigation Regulations, if a Member Firm receives a complaint from a client or former client concerning any services it has provided or failed to provide, then it is the responsibility of the firm to ensure that a principal investigates the matter.
If the complainer remains dissatisfied at the conclusion of the investigation then the complainer should be informed in writing of their right to bring their complaint to the attention of ICAS.
Failure to respond
This helpsheet provides information to Members on the obligation to co-operate with the investigation of a complaint by ICAS.
Putting an investigation on hold
There may be some circumstances in which ICAS may need to put its investigation of a complaint on hold. More information on what happens in these circumstances can be found in our Putting an Investigation on Hold helpsheet.
Public interest complaints
Public Interest Sub-Committee
- Members, Affiliates or Firms involved in the banking or financial services sector, or with any public interest entity
- Matters which raise important issues affecting the public interest in the United Kingdom
- Matters which raise important issues affecting the reputation of ICAS and/or the accountancy profession.