Q My firm does not receive many complaints from clients and we have reached a resolution with all the clients who have raised concerns. However, the process can be lengthy and because our complaints handler is a partner, each complaint takes up fee-earning time. So far we have done this work for free but we are now having second thoughts. Are we entitled to ask the client to pay, depending on the outcome of the review?


A The investigation of complaints is a process you are obliged to undertake to comply with your professional obligations. Each investigation will be at the behest of a client (or former client) but that does not mean you can charge for the work. The client is questioning how your firm dealt with his matter, not instructing you on a new matter. You are not entitled to charge the client for dealing with his complaint and if you attempt to do so, that may amount to 'aggravated' inadequate professional services or even misconduct.



Q When I completed my practising certificate renewal form, I advised the Law Society that I did not intend to carry on insurance mediation activities and did not want to be included in the Financial Services Authority register. I am now not sure this is correct. What do I do?



A If you are unsure as to whether you need to be registered, or require details of how to register, refer to recently published guidance (see [2004] Gazette, 9 December, 33). You must have registered by 14 January 2005 to continue without interruption.



Question of ethics is compiled by the Law Society's professional ethics guidance team. Send questions for publication to Austin O'Malley, the Law Society, Ipsley Court, Berrington Close, Redditch B98 0TD; DX 19114 Redditch