SRA’s proposed changes to first-tier complaints requirements risks overregulation

News

The Law Society of England and Wales cautions against regulatory overreach in its response to the Solicitors Regulation Authority’s (SRA) consultation on proposed changes to first-tier complaints handling.*

Research shows that 87% of consumers were satisfied with the legal services they received. Such high levels of satisfaction suggest that existing problems only affect a small proportion of consumers and the Law Society questions the need for extensive reforms.**

Law Society president Richard Atkinson said: “We support necessary and proportionate improvements to first-tier complaints handling. However, this must not lead to overregulation by the SRA through unnecessary rule changes or duplication of work already covered by the Legal Ombudsman (LeO).***

“Little evidence has been produced to demonstrate the necessity for the proposed changes to the SRA rules or the publication of timeliness data. A convincing explanation that regulatory changes would benefit consumers is also lacking.

“In fact, some of the proposed changes would increase regulatory costs for firms and consumers, reduce efficiency and potentially hinder access to justice.

“Firms are required to inform clients about their right to complain and how to do so at the time of engagement. We agree it is good practice that firms should provide complaints procedure information on request or when a formal complaint arises and most firms already do this therefore there is no need to change the SRA rules.

“We support the SRA’s proposal to require complaints information to be clear, accessible, and prominently displayed on firms’ websites. We do not, however, support requiring information about the complaints process being given at the end of every matter, as this may cause practical difficulties and lead to unwarranted complaints.

“Publishing firm-level timeliness data raises serious concerns due to problems with contextualisation and the time it takes to resolve complex complaints. This can distort average timescales and place disproportionate burden on law firms.

“Similarly, the Model Complaints Resolution Procedure put forward risks imposing a rigid, one-size-fits-all model on the profession. Flexibility needs to be built in any new procedure and there needs to be co-ordination between the SRA and LeO.”

The Law Society also supports the SRA developing a single, practical complaints handling guidance document and recognises the value of having a universal definition of ‘a complaint’.

However, it considers the Legal Services Board’s (LSB) suggested definition to be inadequate and any definition that is adopted should be clear and practical to both legal service providers and consumers.

Notes to editors

*This consultation follows the Legal Service Board’s (LSB) first-tier complaints consultation in August 2023.

You can read the Law Society’s response to the LSB’s consultation. First-tier complaints are those that are dealt with by the firm when a complaint is made.

**The LSCP Tracker Survey in 2024 found that 87% of consumers of legal services are satisfied with the service provided.

***LeO has been operating as the independent body investigating legal complaints since 2010. It has the power to, and does, report firms to the SRA that transgress complaints requirements.

Read more about the SRA’s consultation on first-tier complaints.

Read the Law Society's full consultation response.