Fair, Thorough & Defensible - Investigating Complaints in Law Firms

Introduction

Handling complaints effectively is essential for client satisfaction, regulatory compliance and risk management. While complaint prevention, client communication and complaint procedures are important, firms must also know how to conduct a fair and effective investigation once a complaint has been received.

A poorly structured investigation can result in key issues being overlooked, unsupported conclusions being reached and an otherwise minor service concern escalating to the Legal Ombudsman or attracting regulatory scrutiny.

Firms are also increasingly receiving lengthy and detailed complaints drafted using artificial intelligence tools, creating additional challenges when identifying the relevant issues and preparing a proportionate response.

In this practical virtual classroom seminar, Tracy Thompson will focus on the investigation stage of the complaints process. She will explain how to define the issues, gather and assess evidence, distinguish service failures from potential conduct concerns, and record conclusions that are clear, impartial and defensible if subsequently reviewed by the Legal Ombudsman or a regulator.

What You Will Learn

This live and interactive session will cover the following:

• Moving from complaint receipt and acknowledgement to a structured investigation
• Identifying the issues and defining the scope of the investigation
• Planning and conducting a fair and proportionate investigation
• Gathering, assessing and testing the relevant evidence
• Distinguishing service issues from potential conduct concerns
• Reaching clear, impartial and evidence-based conclusions
• Understanding how the Legal Ombudsman and regulators assess complaint investigations and outcomes
• Recording findings, decisions and supporting reasons clearly and defensibly
• Managing lengthy, complex or AI-generated complaints
• Identifying when a complaint requires escalation or specialist input

Recording of live sessions: Soon after the Learn Live session has taken place you will be able to go back and access the recording - should you wish to revisit the material discussed.