Policy on public interest complaints made by the SLCC

The SLCC has the power to initiate an eligible conduct or regulatory complaint which would then be passed to the Relevant Professional Organisation (RPO) or Approved Regulator (AR) for investigation.

The SLCC may decide to initiate a complaint where:

  • in the handling of a complaint/ complaints, it identifies a matter which could be a conduct or regulatory complaint but which has not been raised by the complainer;
  • it identifies in its dealing with the practitioner a matter which could be a conduct or regulatory complaint; or
  • it becomes aware of a matter which could be a conduct or regulatory complaint but where no complaint has been made to it.

A decision to initiate a complaint should consider whether making the complaint:

  • is in the public interest; and/ or
  • could support public protection.

In the public interest means where the public could reasonably expect the SLCC to act for the good of society.

Public protection means protecting consumers or potential consumers from significant, avoidable harm.

In assessing whether to make a complaint, the SLCC may take into account factors such as whether the available information suggests a pattern of behaviour by the practitioner or a risk to existing or future clients. In doing so the SLCC can have regard to any information, explanation or evidence provided to the SLCC in any prior complaints (even if not concerning the practitioner in question), and any other information which has come to the SLCC’s attention in the course of its activities.

Prior to making a complaint, the SLCC will normally issue a notice to the relevant practitioner(s) identifying:

  • the substance of the proposed complaint
  • the categorisation of the proposed complaint
  • the reasons why the SLCC considers that the proposed complaint would be eligible for investigation and determination 
  • the reasons for the proposed making of the complaint and
  • the opportunity to make representations on the substance of the complaint within the period specified in the notice.

The decision to make a complaint must be taken by a Committee or a Member. The decision will take account of any representations received from the practitioner. Where the SLCC decides to make an SLCC-initiated complaint, it will send a copy of the complaint and an explanation of the reasons for making it to the practitioner and the relevant professional organisation or approved regulator.

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