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Corporate Internal Complaint Handling

It is important for the client and also the member firm to establish and implement well-developed procedures for internal complaint processes.


Author(s): John Chellew and Dimity Kingsford Smith

This title provides an outline of the issues professional associations should consider when developing guidelines for their members firms in adopting internal complaint handling procedures. In contrast, external complaints handling systems for reviewing internal firm decisions are dealt with in the associated title on corporate/firm external complaint and discipline systems. It uses examples from the professions/occupations of doctors, lawyers, accountants, engineers and financial planners to illustrate the various issues and draws on the Professional Standards Act’s ‘Model Code’ for complaints and discipline.

This title has the following parts:

  • Role of Internal Complaint Handling Procedures;
  • Varying Requirements among the Professions;
  • Elements of Internal Complaint Handling;
  • Stages of an Internal Complaint Handling Process; and
  • Summary.


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