Complaints handling is a critical aspect of regulatory compliance and client care for all solicitors’ practices. How a firm responds when things go wrong is closely scrutinised by regulators, insurers and clients alike. Infolegal provides specialist complaint handling services and support to help firms manage complaints effectively, fairly and consistently, while reducing regulatory risk and protecting professional reputation.
This service sits alongside and complements the online resources available through the Infolegal InfoHub. It is designed for firms that want practical, expert support in an area that frequently leads to regulatory action, Legal Ombudsman involvement and increased professional indemnity insurance exposure.
Effective complaints handling is a core requirement under the Solicitors Regulation Authority Standards and Regulations. Firms must have a clear, accessible and effective complaints procedure, must deal with complaints promptly and fairly, and must provide clients with appropriate information about their right to complain to the Legal Ombudsman.
Regulators increasingly view complaints as a key indicator of wider systems and controls. Poor complaint handling can expose underlying issues in supervision, communication, competence or client care. In serious cases, repeated or mishandled complaints can lead to regulatory investigation, disciplinary action and reputational damage.
In addition, changes driven by the Legal Services Board and the Legal Ombudsman place greater emphasis on early resolution, transparency and learning from complaints, rather than treating them as isolated problems.
Good complaints handling is not simply about responding to dissatisfied clients. It requires a structured approach that starts with clear client care information, continues through proportionate investigation and response, and ends with learning and improvement.
Firms must ensure that complaints are recognised at an early stage, escalated appropriately, investigated by someone with sufficient independence and authority, and responded to within required timescales. Clients must be kept informed, treated fairly and given clear explanations, even where the firm does not accept fault.
Equally important is the requirement to record complaints, identify trends and use that information to improve systems, training and service delivery. Regulators and insurers increasingly expect firms to be able to demonstrate that complaints lead to meaningful organisational learning, not just case-by-case responses.
Many firms encounter difficulties with complaints handling because of competing pressures on time, resources and senior staff. Complaints are often dealt with reactively, inconsistently or defensively, increasing the risk of escalation to the Legal Ombudsman or the SRA.
Common problems include unclear or outdated complaints procedures, lack of staff training on recognising and handling complaints, poor quality written responses, missed deadlines and inadequate record keeping. Smaller firms and compliance officers in particular can find complaint handling stressful, especially where complaints overlap with potential negligence claims or regulatory issues.
Without independent input, it can also be difficult for firms to assess whether their response is proportionate, reasonable and regulator-ready.
Infolegal provides practical, solicitor-focused complaints handling support, helping firms manage complaints confidently and consistently. Our services range from reviewing and updating complaints procedures and client care documentation, through to providing advice on handling individual complaints and embedding best practice across the firm. Our complaints handling training course and additional documentation on the Infolegal InfoHub can also provide an excellent starting point for those trying to get to grips with what can be an important topic.
We help firms design complaints processes that align with SRA requirements, Legal Ombudsman expectations and wider client care obligations. This includes ensuring procedures are clear, accessible and workable in practice, and that roles and responsibilities within the firm are properly defined.
Where firms are dealing with specific or sensitive complaints, Infolegal can provide independent guidance on investigation, response and escalation, helping to reduce the risk of regulatory referral or adverse ombudsman outcomes. Where appropriate, we work alongside specialists from Enderley Consulting to provide proportionate, regulator-focused support.
A key benefit of using Infolegal is the ability to integrate complaints handling into the wider compliance framework. Through alignment with the Infolegal InfoHub, firms can maintain centralised complaint registers, record outcomes, track trends and evidence learning and improvement.
In addition to traditional service complaints, solicitors’ practices must now address the increasing regulatory focus on data protection–related complaints, particularly following the introduction of the Data Use and Access Act 2025 (DUAA). Alongside the UK GDPR and the Data Protection Act 2018, the DUAA reinforces expectations around transparency, accountability and effective redress where individuals raise concerns about how their personal data is collected, used, shared or retained. This includes complaints arising from data breaches, subject access requests, automated decision-making, data sharing arrangements and failures in information governance more generally. Firms are now expected to have clear, documented data protection complaints processes, rather than treating such matters informally or folding them into general service complaints.
This joined-up approach supports COLPs, COFAs and senior management in demonstrating effective systems and controls, responding to regulatory enquiries and managing insurer and accreditation requirements. It also helps ensure that complaints handling is not an isolated function, but part of a broader culture of good client care and risk management.
Poorly managed data protection complaints can escalate quickly, exposing firms to regulatory scrutiny from the Information Commissioner’s Office and raising wider concerns for the Solicitors Regulation Authority about confidentiality, systems and controls, and overall governance. DUAA places additional emphasis on demonstrable processes, clear accountability and the ability to evidence how complaints are identified, investigated and resolved. Firms must be able to show that data protection complaints are handled promptly, by suitably competent individuals, within defined timescales, and with appropriate records of decision-making, remedial action and learning outcomes.
Infolegal supports firms in developing DUAA-compliant data protection complaints policies and procedures that sit alongside, but are clearly distinguished from, general client complaints handling. By integrating these processes into the firm’s wider compliance framework – including breach management, training, record keeping and risk assessment – firms can demonstrate a robust, joined-up approach to regulatory compliance. This reduces the risk of escalation, supports effective engagement with regulators, and reassures clients that concerns about their personal data are taken seriously and managed in line with evolving legal and regulatory expectations.
Firms that use Infolegal’s complaints handling services benefit from clearer, more robust processes, greater consistency and increased confidence when dealing not only with dissatisfied clients, but also with data protection and information-rights complaints arising under the Data Use and Access Act 2025 (DUAA). They are better placed to identify and resolve complaints at an early stage, reduce escalation to the Legal Ombudsman or the Information Commissioner’s Office, and demonstrate compliance with both SRA requirements and wider data protection obligations.
Most importantly, effective complaints and data-related complaint handling supports stronger client relationships and protects the firm’s professional reputation. By treating service complaints and DUAA-related concerns as opportunities to learn, improve systems and strengthen governance, rather than simply as regulatory burdens, firms can enhance service quality while reducing regulatory, financial and commercial risk.
Infolegal’s complaints handling support helps solicitors move from reactive problem-solving to proactive, well-governed client care and information governance, ensuring that all complaints – including those relating to the use, security and handling of personal data – are managed fairly, efficiently and in line with evolving regulatory expectations.
Please feel free get in touch with us. We will always do our best to get back to you as soon as possible and always within 1-2 business days.
