Complaints Procedure
We aim to provide a clear, professional and responsive service. If something has gone wrong, or you are unhappy with the service you have received, please tell us so we can review the matter properly and try to resolve it fairly.
We want complaints to be dealt with calmly, clearly and with proper records.
A complaint is best handled when the facts are clear. Please tell us what happened, when it happened, who was involved, what documents or communications are relevant, and what you would like us to do.
Tell us the issue in writing.
Written complaints help us understand the concern, review the file and respond with a clear record of the outcome.
We review the matter internally.
We will consider the engagement scope, correspondence, records supplied, deadlines, advice given and work completed.
We provide a response and next steps.
We will explain our findings, any proposed resolution and any further escalation route where applicable.
Give us the facts, the documents and the outcome you want.
To review a complaint properly, we need enough information to understand what happened. A general statement that you are unhappy may not be enough for a fair review.
Identify the work
Tax return, accounts, NHS pension tax, disclosure, HMRC response, advisory work or another service.
Explain the issue
Tell us what you believe went wrong and when the issue became clear.
Provide evidence
Include relevant emails, invoices, letters, tax documents, HMRC correspondence or file references.
State the outcome
Explain what you want us to consider, correct, explain, refund or review.
1. Who this complaints procedure applies to
This complaints procedure applies to services provided by Financials Direct Limited, trading as Tax Accountant and/or Accountants4NHSDoctors, unless a separate engagement letter or service agreement provides a different complaints process.
Financials Direct Limited T/A Tax Accountant / Accountants4NHSDoctors
07496275
3 Brindley Place, Birmingham, West Midlands, England, B1 2JB
Institute of Financial Accountants
211804
2. What counts as a complaint
A complaint is an expression of dissatisfaction about the professional service we have provided, or about the way we have handled your matter, where you want us to investigate and respond.
Examples may include concerns about communication, delay, scope of work, fees, quality of work, misunderstanding of instructions, HMRC handling, document handling, or the way a matter was managed.
3. Matters that may not be complaints
Some issues may be service queries rather than formal complaints. For example, asking for an update, requesting a copy document, asking for an invoice explanation, or querying HMRC processing times may not automatically be treated as a formal complaint unless you ask us to treat it that way.
If we believe the issue can be resolved quickly as a service query, we may try to deal with it first without opening a formal complaint file. You can still ask for the matter to be treated as a formal complaint.
4. How to raise a complaint
Please raise your complaint in writing using our contact page or by emailing your usual contact at the firm. If possible, include the word “complaint” in the subject line so it is identified correctly.
- Your full name and contact details.
- The service or matter the complaint relates to.
- The tax year, company, HMRC matter or engagement reference if relevant.
- A clear summary of what you believe went wrong.
- Copies of relevant emails, invoices, HMRC letters or documents.
- The outcome you are asking us to consider.
5. Acknowledgement
We will aim to acknowledge your complaint within a reasonable time after receiving it. If your complaint is unclear, we may ask you for more information before carrying out a full review.
If the person you complain to was directly involved in the matter, the complaint may be referred internally to another appropriate person where possible.
6. Internal review
We will review the complaint by considering relevant information, which may include the engagement letter, agreed scope, correspondence, documents received, advice issued, filings completed, deadlines, invoices and notes on the file.
We may contact you during the review if we need more information, clarification or supporting evidence.
7. Response
We will aim to provide a written response once we have completed the review. The response may explain:
- What we reviewed.
- Our understanding of the complaint.
- Our findings.
- Whether we accept the complaint fully, partly, or do not accept it.
- Any proposed action, correction, explanation, apology, fee adjustment or other resolution.
- Any further step available if you remain unhappy.
8. Timeframes
We will try to deal with complaints promptly. Some complaints are straightforward and can be dealt with quickly. Others require file review, document checks, technical review or input from more than one person.
If a complaint is complex or if key people are unavailable, it may take longer. We will try to keep you updated where a full response cannot be provided quickly.
9. Confidentiality and data protection
Complaints may involve confidential tax, financial, identity, HMRC or professional records. We will handle complaint information in accordance with our privacy policy and professional obligations.
Please do not include patient-identifiable information or unnecessary third-party confidential information unless we specifically ask for it and agree the method of transfer.
10. Fees and complaints
Raising a complaint does not automatically suspend payment obligations unless we agree otherwise in writing. If the complaint relates to an invoice or fee, please explain the specific amount or item you dispute and why.
Where appropriate, we may agree a fee adjustment, credit, refund or further review. This will depend on the facts, engagement scope and work already completed.
11. Escalation
If you remain dissatisfied after our internal review, you may be able to raise the matter with the relevant professional body, subject to that body’s rules, time limits and eligibility criteria.
Where the matter falls within the scope of the Institute of Financial Accountants, you may contact the IFA for guidance on whether a professional conduct complaint can be considered.
IFA website: ifa.org.uk
12. HMRC, court and third-party delays
We cannot control HMRC processing times, postal delays, third-party response times, pension scheme delays, Companies House processing, court timetables or delays caused by missing records.
If your complaint relates to delay, we will consider whether the delay was within our control, whether records were supplied on time, whether payment and engagement approval were completed, and whether the matter involved third-party processing.
13. Urgent work and deadlines
Where work was requested close to a deadline, we will review what was agreed, what information was provided, whether the engagement was accepted, whether an urgency fee was agreed and whether records were received in time.
We are not responsible for deadlines where we were not formally engaged, where required records were not supplied, where payment or onboarding was incomplete, or where the deadline was not disclosed to us.
14. Professional judgement
A complaint may involve disagreement with professional judgement, tax treatment, HMRC risk assessment, disclosure approach, fee scope or evidence requirements. We will review whether the judgement was reasonable based on the facts and records available at the time.
15. Vexatious, abusive or inappropriate communication
We will deal with complaints seriously, but we expect communication to remain professional and respectful. We may limit communication, insist on written communication or stop acting where communication is abusive, threatening, discriminatory, misleading or inappropriate.
A clear route from complaint to response.
This process helps keep complaints structured and evidence-based. Please keep copies of all correspondence and documents relevant to your complaint.
Submit the complaint in writing
Explain the matter, service, date, people involved, documents and the outcome you want.
We acknowledge and clarify
We confirm receipt and may ask for further details if the complaint is unclear or incomplete.
We review the file
We review the engagement terms, scope, correspondence, records, work completed, deadlines and invoices.
We respond in writing
We explain our findings, any proposed resolution and any further escalation option where relevant.
Do I need to complain in writing?
Written complaints are strongly preferred because they create a clear record and help us review the file properly.
What should I include in my complaint?
Please include the service involved, the tax year or matter reference, what happened, when it happened, relevant documents and the outcome you want us to consider.
Will complaining stop HMRC deadlines?
No. HMRC, court, Companies House and other deadlines continue unless a specific extension is agreed by the relevant authority.
Can I complain about an invoice?
Yes. Please identify the invoice, amount or item you dispute and explain why you believe the fee is incorrect or outside the agreed scope.
Can I escalate the complaint?
If you remain unhappy after our internal review, you may be able to contact the relevant professional body, subject to its rules and eligibility criteria.
Need to raise a service concern?
Please send a clear written summary of the issue, the service involved, the relevant dates and the outcome you are seeking. We will review the matter and respond through the appropriate route.