Knowledge Guide

Complaints, Regulators & Who Does What

When something goes wrong with legal services, it can be hard to know who does what. This guide explains, in plain English, the difference between the firm, the Legal Ombudsman and the regulators — and how they fit together.

This guide helps you understand roles and processes. It is not legal advice.

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1. Three main players

In most complaint journeys there are three main players:

  • The law firm – responsible for the service you received and for handling your internal complaint.
  • The Legal Ombudsman – usually handles service complaints such as delay, communication, clarity and costs.
  • Regulators (e.g. SRA, BSB, CILEx) – focus on professional conduct and breaches of regulatory rules.

Most journeys follow this order:

  1. Complain to the firm first.
  2. If unresolved after the firm’s final response or 8 weeks → the Legal Ombudsman.
  3. Separately, serious conduct issues may be reported to the regulator.

Processes and bodies differ outside England & Wales. Check your local position if unsure.

2. Complaining to the firm

The firm must have an internal complaints procedure. This is normally the first formal step, even if later escalation is possible.

A reasonable internal process includes:

  • acknowledging your complaint in writing,
  • confirming who is handling it,
  • setting a clear timescale,
  • providing a written final response addressing your main points.

You can structure your complaint using the Complaint Letter Generator.

Keep copies of:

  • your complaint,
  • the firm’s final response,
  • any explanations or documents they refer to.

3. The Legal Ombudsman – service complaints

The Legal Ombudsman normally looks at quality of service issues, such as:

  • excessive or unexplained delay,
  • lack of communication or updates,
  • poor information about costs,
  • mistakes, unclear advice or lost documents.

The Ombudsman focuses on whether the service was reasonable, and — if not — what should be done.

Before you can complain

  • You must have complained to the firm first.
  • You need a final response, or 8 weeks of no resolution.
  • You must meet the Ombudsman’s time limits.

Use the Ombudsman Complaint Builder to prepare a clear summary and evidence pack.

4. Regulators – conduct and rule breaches

Regulators (such as the SRA) focus on professional conduct, not customer service. This is different from an Ombudsman complaint.

Examples of conduct issues include:

  • dishonesty or lack of integrity,
  • serious conflicts of interest,
  • misuse of client money,
  • discrimination or abusive behaviour,
  • serious or repeated failure to supervise,
  • acting outside of competence.

Regulators may take disciplinary action, but they usually cannot:

  • award compensation,
  • resolve fee disputes,
  • or change the outcome of your legal matter.

See also: Legal Services Act – Warning Signs & Patterns

5. Using the same evidence across all three

Whether you are dealing with the firm, the Ombudsman or a regulator, the core evidence is the same:

  • a clear timeline of events,
  • copies of emails, letters, notes and bills,
  • records of delays, missed deadlines or broken agreements,
  • a simple description of the impact on you.

Useful tools:

Once organised, the same evidence can be adapted for:

  • a firm complaint,
  • an Ombudsman submission,
  • a regulator report.

Related Core Guidance

These pages provide the stable principles behind communication and evidence handling:

These Core Guidance pages do not change often and form the foundation of the site.

About this guide

This guide is published by to help consumers understand complaints routes and the roles of the Ombudsman and regulators. It is general information, not legal advice.

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