Making a complaint about an insolvency practitioner's recognised professional body (RPB)
This Policy sets out the circumstances and way in which the Insolvency Service will investigate complaints about the way a Recognised Professional Body (RPB) has dealt with a complaint about an Insolvency Practitioner.
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The Insolvency Service role is to consider whether the Recognised Professional Bodies (RPBs) have complied with their published procedures in accordance with the regulatory objectives.
A complaint about an RPB is not a route of appeal against an outcome of a complaint or about an Insolvency Practitioner.
This process does not include any mechanism for compensation from the Insolvency Practitioner or the RPB, and we cannot order that compensation be made available to the complainant. For compensation and/or challenging an act of an Insolvency Practitioner the correct route of potential recourse is the Court.
How to make a complaint to the Insolvency Service about an RPB
A complaint should be sent to IPregulation.section@insolvency.gov.uk and very clearly the set out the following:
- identify the Insolvency Practitioner and the insolvency process in which the Insolvency Practitioner acted
- identify the RPB and attach a copy of the original complaint to the RPB and any appeals or escalations
- a copy of the RPB’s letter(s) setting out their decision(s) in relation to the complaint
- confirm that you have exhausted all appeals and escalations at the RPB; and
- explain what the RPB has done or not done that is being complained about
The Insolvency Service can:
- decide whether or not to investigate a complaint
- upon investigation decide whether or not to make recommendations to the RPB
- having decided on whether to make recommendation, support the RPB to implement any changes
- ask an RPB to consider a new head of complaint, or another relevant matter if that could amount to disciplinary action and has not previously been considered. To meet this requirement there would need to be new, unseen evidence, and/or allegations which have not been considered by the RPB
The Insolvency Service cannot:
- recommend the reopening of a complaint against an Insolvency Practitioner because you are unhappy with the outcome
- overturn or change the decision of an independent committee of the RPB
- instruct the Insolvency Practitioner to take a particular course of action or overturn a decision they have made whilst in office