I am employed in an accountancy practice. My line manager is QBE.
Last week a client emailed to say they are going to make a complaint to my professional body in respect of advice that we have given them. He has picked my professional bodies obviously as they are on my email signature and he now knows that the boss isn't with a professional body.
I have never had this happen before, do I need to ring ACCA and let them know?
Replies (20)
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Yes I would let the ACCA know but if you have not already done so you should speak the principal of your firm and agree a response to be made to the client, which presumably will include referring him to the section in his engagement letter setting out the firm's complaints procedure.
Question
Is the client complaining about you, someone else or the firm in general?
If the complaint is against the firm, and the firm is not ACCA, I can not see that ACCA will be very interested.
The reason I said you should speak to ACCA was not because they will be interested or involved in any formal sense, but because it is in your interests to make them aware of the background before and not after they receive the complaint the client says he is directing their way.
But what are you doing to try and ensure that the client directs his complaint to the proper quarter?
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Just because the client says they will make a complaint, may not result in them actually doing so.
I would wait until they had myself.
Politely tell them . . .
. . . that the professional bodies will not be interested in a complaint when the firm has no association with said bodies. As John has said, the client is advised to go through your firm's complaints procedure.
I assume you are not a partner/director/shareholder?
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As again a client SAYING they will make a complaint is not the same as the complaint ACTUALLY have been made.
The whole point of threatening is to make you act and put things right in their favour BEFORE they do so.
As an employee, kick it upstairs to the boss.
ireally is right
I wonder if the client realises that because you are a member of a professional body you have most to lose, so you are the one to lean on to get a result?
If so, it's an interesting tactic, but ultimately misguided.
Appears very misguided and risky to me
If a client is going to make a complaint naming you as an individual, to professional bodies of which you are a member, regarding a matter with which you have no contractual relationship with the client, then it would appear to me that the client is opening themselves up to the possibility of an action for defamation from you.
Any advice given to them, which they are now possibly complaining about, appears to not be from you but from your employer,. In addition you as an individual appear to have no contractual relationship with the client; your duty of care is to your employer his duty of care is to the client.
It may be worth considering a letter to the client from you, as an individual, advising them of your position? Sent via a solicitor it may have the effect of making them cease and desist.
A couple of points
If a complaint is made to the professional body the first question the professional body will probably ask the complainant is 'Have you raised this with the firm & what was their response?'.
It is obviously best for all concerned if the complaint can be sorted out between the firm & the client without involving the professional body.
I would suggest you consider getting (paid for) advice. I would direct you towards Chris Cope (whom I work with on such matters - but only where there is a money laundering angle).
Details HERE.
David
Upwards
As far as I can see there is only one course of action for you - pass the problem up to the top of the firm. It is their responsibility to deal with these matters and to respond appropriately. I am assuming from your posts that the advice did not come from you and therefore cannot be placed at your door.
You also state that the firm's insurers have been contacted, so is the boss aware of what is going on and allowing it to continue? I can assure you if you have had nothing to do with the matter the ACCA & AAT will not be interested in the slightest.
You must contact your PI to advise them of any potential claim. Then phone the ACCA and make them aware that you have received an email about a potential complaint, outlining the circumstances of you working for a practice (and is it your or the practice?)
Advise your employer also. As an employee it is unlikely you are ultimately responsible.
The ACCA will come back to you as to whether it is applicable that you have a case to answer or not.
But the OP is only an employee and therefore won't have PI. The PI issue is for his employer to deal with and, we are told (see above), he already has.
Insurance
If you are employed you could also have PI, if advising to third parties (as I do). As suggested, its unlikely to be her ultimate responsibility but any PI insurance in place would want you to advise of a possible claim at the earliest opportunity.
You can't have PI insurance qua employee. But yes an employee doing private work on the side can and should have it, but it would only cover that work on the side and not that done as an employee.
Technicality
@johngroganja there is a technicality here, off thread so I will inbox you, but I have PI and employed.
As a general point, surely all emails and letters should be signed off in the firm's name and not by an employee stating their qualification and in doing so, maybe "passing-off" the firm as if they were a member of that regulating Body? Certainly unwise, if not technically an offence.