Legal Ombudsman

Scheme Rules
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1 Introduction and definitions
Contents
1.1
• These scheme rules are about complaints made from 6 October 2010 to
authorised persons including legal practitioners and others, authorised in
England and Wales.
• They explain which complaints are covered by the Legal Ombudsman and
how it will deal with them.
• This version includes amendments that apply to complaints referred to the
Legal Ombudsman from 1 April 2023.
1.2 Parliament, in the Act:
• created the Legal Services Board (to oversee Approved Regulators) and the
Office for Legal Complaints (to establish the Legal Ombudsman);
• gave the Lord Chancellor power to make orders, including orders modifying
who would be able to bring a complaint to the Legal Ombudsman.
• gave the Legal Services Board power to set requirements for the rules of
Approved Regulators about how authorised persons handle complaints1
and cooperate with an ombudsman2; and
• gave the Office for Legal Complaints power to make rules affecting which
complaints can be handled by the Legal Ombudsman and how those
complaints will be handled.
1.3 These scheme rules include:
• a summary of relevant provisions in the Act, as modified by orders made by
the Lord Chancellor (though it is the Act and the orders themselves that
count);
• a summary of requirements on complaint-handling made by the Legal
Services Board under the powers given to it by the Act; and
• rules made by the Office for Legal Complaints under the powers given to it
by the Act.
The endnotes identify the section of the Act that is being summarised, or under
which an order, requirement or rule has been made; and which are the rules
made by the Office for Legal Complaints for the Legal Ombudsman. 
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1.4 This book also includes some general guidance. There are six chapters –
1: Introduction and definitions:
- contents of this book;
- meaning of words that are underlined.
2: Who can complain about what:
- who can complain;
- what they can complain about.
3: What authorised persons must do:
- dealing with complaints themselves;
- cooperating with the Legal Ombudsman.
4: When complaints can be referred to the Legal Ombudsman:
- after complaining to the authorised person;
- time limit from act/omission;
- ombudsman extending time limits.
5: How the Legal Ombudsman deals with complaints:
- first contact;
- grounds for dismissal;
- referring a complaint to court;
- referring to another complaints scheme;
- related complaints;
- resolution and investigation;
- evidence;
- procedural time limits;
- hearings;
- determinations and awards by an ombudsman;
- acceptance/rejection of determinations;
- publication.
- enforcement.
6: Case fees payable by authorised persons. 
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Meaning of words that are underlined
1.5 The Act means the Legal Services Act 2007.
1.6 Complaint means an oral or written expression of dissatisfaction which:
a) alleges that the complainant has suffered (or may suffer) financial
loss, distress, inconvenience, or other detriment; and
b) is covered by chapter two (who can complain about what).3
1.7 Authorised person means:
a) someone authorised, in England and Wales, to carry out a
reserved legal activity4 at the time of the relevant act/omission or
covered under section 129 of the Act, including:
- alternative business structures (licensed under part 5 of the
Act)5;
- barristers;
- costs lawyers;
- chartered legal executives;
- licensed conveyancers;
- notaries;
- patent attorneys;
- probate practitioners;
- registered European lawyers;
- solicitors; or
- trade mark attorneys;
b) (under section 131 of the Act):
- a business that is responsible for an act/omission of an
employee; and
- a partnership that is responsible for an act/omission of a
partner6.
1.8 Approved Regulator means:
a) a regulator approved under schedule 4 of the Act, including:
• the Association of Chartered Certified Accountants (for
reserved probate activities);
• the Association of Costs Lawyers, through the Costs Lawyer
Standards Board;
• the Bar Council, through the Bar Standards Board (for
barristers);
• the Chartered Institute of Patent Attorneys, through the
Intellectual Property Regulation Board; 
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• the Council for Licensed Conveyancers;
• the Institute of Chartered Accountants in England and Wales
(for reserved probate activities)
• the Institute of Chartered Accountants in Scotland (for reserved
probate activities);
• CILEX Regulation, through the Chartered Institute of Legal
Executives;
• the Chartered Institute of Trade Mark Attorneys, through the
Intellectual Property Regulation Board;
• the Law Society, through the Solicitors Regulation Authority;
• the Master of the Faculties (for notaries); and
• the Legal Services Board (but only for any alternative business
structures it licenses directly);
1.9 Determination7 means a final decision that is made by an ombudsman on a
complaint.
1.10 Legal Ombudsman means the ombudsman scheme established by the Office
for Legal Complaints.
1.11 Ombudsman means:
a) any ombudsman from the Legal Ombudsman8; and
b) any Legal Ombudsman staff member to whom an ombudsman has
delegated the relevant functions (but an ombudsman cannot delegate
the functions of determining a complaint or of dismissing or
discontinuing it for any of the reasons under paragraph 5.7)9.
1.12 Party includes:
a) a complainant (covered by chapter two);
b) an authorised person (covered by chapter two) against whom the
complaint is made;
c) an authorised person (covered by chapter five) whom an ombudsman
treats as a joint respondent to a complaint10.
1.13 Public body means any government department, local authority or any other
body constituted for the purposes of the public services, local government or
the administration of justice11.
1.14 Reserved legal activity (as defined in schedule 2 of the Act) means: 
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a) exercising a right of audience;
b) conducting litigation;
c) reserved instrument activities;
d) probate activities;
e) notarial activities;
f) administration of oaths.
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2 Who can complain about what
Who can complain
2.1 A complainant must be one of the following12:
a) an individual;
b) a business or enterprise that was a micro-enterprise (European Union
definition) when it referred the complaint to the authorised person13;
c) a charity that had an annual income net of tax of less than £1 million
when it referred the complaint to the authorised person;
d) a club/association/organisation, the affairs of which are managed by
its members/a committee/a committee of its members, that had an
annual income net of tax of less than £1 million when it referred the
complaint to the authorised person;
e) a trustee of a trust that had an asset value of less than £1 million when
it referred the complaint to the authorised person; or
f) a personal representative or beneficiary of the estate of a person who,
before they died, had not referred the complaint to the Legal
Ombudsman.
2.2 If a complainant who has referred a complaint to the Legal Ombudsman dies or
is otherwise unable to act, the complaint can be continued by14:
a) anyone authorised by law
(for example:
- the executor of a complainant who has died; or
- someone with a lasting power of attorney from a complainant who is
incapable); or
b) the residuary beneficiaries of the estate of a complainant who has
died15.
2.3 A complainant must not have been, at the time of the act/omission to which the
complaint relates:
a) a public body (or acting for a public body) in relation to the services
complained about; or
c) an authorised person who procured the services complained about on
behalf of someone else1617.
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2.4 For example, where the complaint is about a barrister who was instructed by a
solicitor on behalf of a consumer, the consumer can complain to the
ombudsman, but the solicitor cannot.
2.5 A complainant can authorise someone else in writing (including an authorised
person) to act for the complainant in pursuing a complaint, but the Legal
Ombudsman remains free to contact the complainant direct where it considers
that appropriate.18
What they can complain about
2.6 The complaint must relate to an act/omission by someone who was an
authorised person at that time19 but:
a) an act/omission by an employee is usually treated also as an
act/omission by their employer, whether or not the employer knew or
approved;20 and
b) an act/omission by a partner is usually treated also as an act/omission
by the partnership, unless the complainant knew (at the time of the
act/omission) that the partner had no authority to act for the
partnership.21
2.7 The act/omission does not have to:
a) relate to a reserved legal activity;22 nor
b) be after the Act came into force23 (but see the time limits in chapter
four).
2.8 The complaint must relate to services which the authorised person:
a) provided to the complainant; or
b) provided to another authorised person who procured them on behalf
of the complainant; or
c) provided to an estate of a person who is deceased where the
complainant is a beneficiary of that estate; or
d) provided to (or as) a trustee where the complainant is a beneficiary of
the trust24; or
e) offered, or refused to provide, to the complainant25.
2.9 A complaint is not affected by any change in the membership of a partnership
or other unincorporated body.26
2.10 Where authorised person A ceases to exist and B succeeds to the whole (or
substantially the whole) of A’s business: 
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a) acts/omissions by A become acts/omissions of B;27 and
b) complaints already outstanding against A become complaints against
B.28
Unless an Ombudsman decides that this is, in their opinion, not fair and
reasonable in all the circumstances of the case.
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3 What authorised persons must do
Dealing with complaints themselves
3.1 Authorised persons including legal practitioners and others must comply with
their Approved Regulator’s rules on handling complaints, including any
requirements specified by the Legal Services Board.29
3.2 The Legal Services Board has required that:
a) authorised persons tell all clients in writing at the time of engagement,
or existing clients at the next appropriate opportunity that they can
complain, how and to whom this can be done;
b) this must include that they can complain to the Legal Ombudsman at
the end of the authorised person’s complaints process, the timeframe
for doing so and full details of how to contact the Legal Ombudsman;
and
c) authorised persons tell all clients in writing at the end of the authorised
person’s complaints process that they can complain to the Legal
Ombudsman, the timeframe for doing so and full details of how to
contact the Legal Ombudsman.
3.3 The Legal Services Board expects that regulation of complaint handling
procedures by Approved Regulators will:
a) give consumers confidence that:
• effective safeguards will be provided; and
• complaints will be dealt with comprehensively and swiftly, with
appropriate redress where necessary;
b) provide processes that are:
• convenient and easy to use (in particular for those that are vulnerable
or have disabilities);
• transparent, clear, well-publicised, free and allow complaints to be
made by any reasonable means;
• prompt and fair, with decisions based on sufficient investigation of
the circumstances, and (where appropriate) offer a suitable remedy.
Cooperating with the Legal Ombudsman
3.4 Authorised persons must comply with their Approved Regulator’s rules on
cooperating with an ombudsman, including any requirements specified by the
Legal Services Board.30
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4 When complaints can be referred to the Legal
Ombudsman
After complaining to the authorised person
4.1 Ordinarily, a complainant cannot use the Legal Ombudsman unless the
complainant has first used the authorised person’s complaints procedure
(referred to in chapter three).31
Time limit from authorised person’s final response
4.2 But a complainant can use the Legal Ombudsman if:32
a) the complaint has not been resolved to the complainant’s satisfaction
within eight weeks of being made to the authorised person; or
b) an ombudsman considers that there are exceptional reasons to
consider the complaint sooner, or without it having been made first to
the authorised person; or
c) where an ombudsman considers that in-house resolution is not
possible due to irretrievable breakdown in the relationship between an
authorised person and the person making the complaint.
4.3 For example, an ombudsman may decide that the Legal Ombudsman should
consider the complaint where the authorised person has refused to consider it,
or where delay would harm the complainant.
4.4 a) This time limit applies only if the authorised person’s written response to a
complaint included prominently:
• an explanation that the Legal Ombudsman was available if the
complainant remained dissatisfied;
• full contact details for the Legal Ombudsman; and
• a warning that the complaint must be referred to the Legal Ombudsman
within six months of the date of the written response;
c) If (but only if) the conditions in (a) are satisfied, a complainant must
ordinarily refer the complaint to the Legal Ombudsman within six
months of the date of that written response.
Time limit from act/omission
4.5 Ordinarily, the complainant must refer the complaint to the Legal Ombudsman
no later than:
- one year from the act/omission; or
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- one year from when the complainant should reasonably have known
there was cause for complaint.33
4.6 In relation to 4.5:
a) where a complaint is referred by a personal representative or
beneficiary of the estate of a person who, before they died, had not
referred the complaint to the Legal Ombudsman, the period runs from
when the deceased should reasonably have known there was cause
for complaint; and
b) when the complainant (or the deceased) should reasonably have
known there was a cause for complaint will be assessed on the basis
of the complainant’s (or the deceased’s) own knowledge, disregarding
what the complainant (or the deceased) might have been told if they
had sought advice.
Ombudsman extending time limits
4.7 If an ombudsman considers that it is fair and reasonable in all the
circumstances, they may extend any of these time limits to the extent that they
consider fair.34
4.8 For example an Ombudsman:
a) might extend a time limit if the complainant was prevented from
meeting the time limit as a result of serious illness; and
b) is likely to extend a time limit where the time limit had not expired when
the complainant raised the complaint with the authorised person.
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5 How the Legal Ombudsman will deal with
complaints35
5.1 The Legal Ombudsman may require a complainant to complete its complaint
form.36
5.2 In the case of a partnership (or former partnership), it is sufficient for the Legal
Ombudsman to communicate with any partner (or former partner).37
First contact
5.3 Unless:
a) the authorised person has already had eight weeks to consider the
complaint; or
b) the authorised person has already issued a written response to the
complaint; or
the Legal Ombudsman will:
a) refer the complaint to the authorised person;
b) notify the complainant; and
c) explain why to both of them.38
5.4 If the authorised person claims that all or part of the complaint:
a) is not covered by the Legal Ombudsman under chapter two; or
b) is out-of-time under chapter four; or
b) should be dismissed under paragraph 5.7;
then the authorised person should provide reasons for their challenge at the
earliest possible opportunity following which an ombudsman will give all parties
an opportunity to make representations before deciding.39
5.5 Otherwise, if an ombudsman considers that all or part of the complaint:
a) may not be covered by the Legal Ombudsman under chapter two; or
b) may be out-of-time under chapter four; or
c) should be dismissed under paragraph 5.7; 
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the ombudsman will give the complainant an opportunity to make
representations before deciding.40
5.6 The ombudsman will then give the complainant and the authorised person their
decision and the reasons for it.41
Grounds for dismissing or discontinuing a complaint42
5.7 An ombudsman may (but does not have to) dismiss or discontinue all or part of
a complaint if, in their opinion:
a) it does not have any reasonable prospect of success or;
b) the complainant has not suffered (and is unlikely to suffer) significant
financial loss, distress, inconvenience or detriment; or
c) the authorised person has already offered fair and reasonable redress
in relation to the circumstances alleged by the complainant which has
either already been accepted by the complainant or is still open for
acceptance; or
d) the complainant has previously complained about the same issue to
the Legal Ombudsman (unless the ombudsman considers that
material new evidence, likely to affect the outcome, only became
available to the complainant afterwards); or
e) a comparable independent complaints (or costs assessment) scheme
or a court has already dealt with the same issue; or
f) a comparable independent complaints (or costs-assessment) scheme
or a court is dealing with the same issue, unless those proceedings
are first stayed (by the agreement of all parties or by a court order) so
that the Legal Ombudsman can deal with the issue; or
g) it would be more suitable for the issue to be dealt with by a court, by
arbitration or by another complaints (or costs assessment) scheme;43
or
h) the issue concerns an authorised person’s decision when exercising a
discretion under a will or trust; or
i) the issue concerns an authorised person’s failure to consult a
beneficiary before exercising a discretion under a will or trust, where
there is no legal obligation to consult; or
j) the issue involves someone else who has not complained, and the
ombudsman considers that it would not be appropriate to deal with the
issue without their consent; or
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k) it is not practicable to investigate the issue fairly because of the time
which has elapsed since the act/omission; or
l) the issue concerns an act/omission outside England and Wales and
the circumstances do not have a sufficient connection with England
and Wales;44 or
m) the complaint is about an authorised person’s refusal to provide a
service and the complainant has not produced evidence that the
refusal was for other than legitimate or reasonable reasons; or
n) there are other compelling reasons why it is inappropriate for the issue
to be dealt with by the Legal Ombudsman; or
o) it is frivolous or vexatious; or
p) it would not be a proportionate use of the ombudsman’s time to
investigate the complaint, due to the likely impact or due to its
complexity, the amount of evidence provided, or due to the conduct of
the complainant during the investigation; or
q) the ombudsman considers that there has been undue delay in the
complainant raising the complaint.
Referring a complaint to court
5.8 Exceptionally (at the instance of an ombudsman) where the ombudsman
considers that:
a) resolution of a particular legal question is necessary in order to resolve
a dispute; but
b) it is not more suitable for the whole dispute to be dealt with by a court;
the ombudsman may (but does not have to) refer that legal question to court.45
5.9 Exceptionally, (at the instance of an authorised person) where:
a) the authorised person requests, and also undertakes to pay the
complainant’s legal costs and disbursements on terms the
ombudsman considers appropriate; and
b) an ombudsman considers that the whole dispute would be more
suitably dealt with by a court as a test case between the complainant
and the authorised person;
the ombudsman may (but does not have to) dismiss the complaint, so that a
court may consider it as a test case.46
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5.10 By way of example only, in relation to a test case (at the instance of an
authorised person) the ombudsman might require an undertaking in favour of
the complainant that, if the complainant or the authorised person starts court
proceedings against the other in respect of the complaint in any court in
England and Wales within six months of the complaint being dismissed, the
authorised person will:
a) pay the complainant’s reasonable costs and disbursements (to be
assessed if not agreed on an indemnity basis);
b) pay these in connection with the proceedings at first instance and also
any subsequent appeal made by the authorised person; and
c) make interim payments on account if and to the extent that it appears
reasonable to do so.
5.11 Factors the ombudsman may take into account in considering whether to refer
a legal question to court, or to dismiss a complaint so that it may be the subject
of a test case in court, include (but are not limited to):
a) any representations made by the authorised person or the
complainant;
b) the stage already reached in consideration of the dispute;
c) how far the legal question is central to the outcome of the dispute;
d) how important or novel the legal question is in the context of the
dispute;
e) the remedies that a court could impose.
f) the amount at stake; and
g) the significance for the authorised person (or similar authorised
persons) or their clients.47
Referring to another complaints scheme
5.12 An ombudsman may refer a complaint to another complaints scheme if:
a) they consider it appropriate; and
b) the complainant agrees.48
5.13 If an ombudsman refers a complaint to another complaints scheme, the
ombudsman will give the complainant and the authorised person reasons for
the referral.49
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Arrangements for assistance
5.14 The Legal Ombudsman may make such arrangements as it considers
appropriate (which may include paying fees) for Approved Regulators or others
to provide assistance to an ombudsman in the investigation or consideration of
a complaint. 50
Related complaints
5.15 The Legal Ombudsman may:
a) tell a complainant that a related complaint could have been brought
against some other authorised person;
51 or
b) treat someone else who was an authorised person at the time of the
act/omission as a joint respondent to the complaint52.
5.16 Where two or more complaints against different authorised persons relate to
connected circumstances:
a) the Legal Ombudsman may investigate them together, but an
ombudsman will make separate determinations;
53 and
b) the determinations may require the authorised persons to contribute
towards the overall redress in the proportions the ombudsman
considers appropriate.54
Resolution
5.17 The Legal Ombudsman will try to resolve complaints at the earliest possible
stage, by whatever agreed outcome is considered appropriate.55
5.18 If a complaint is settled, abandoned or withdrawn, an ombudsman will tell both
the complainant and the authorised person.
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Investigation
5.19 If the Legal Ombudsman considers that an investigation is necessary, it will:
a) ensure both parties have been given an opportunity of making
representations;
b) share with both parties the findings of its investigation with a time limit
for response; and
c) if any party indicates disagreement within that time limit, arrange for
an ombudsman to issue a final decision (which the Act calls a
‘determination’)57 but only in circumstances where the disagreement is
either based on new facts or evidence which may have a bearing on
the investigator’s findings, or on the basis of a challenge of the facts 
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and or evidence on which the investigator’s findings relies, or in
circumstances where the ombudsman determines it fair and
reasonable to issue a determination.
5.20 If neither party, in their response to the investigator’s findings, indicates
disagreement within that time limit, or in circumstances where no new facts or
evidence has been provided in response to the investigator’s findings, or where
the disagreement is not based on a challenge of the facts or evidence on which
the investigator’s findings rely, the Legal Ombudsman may treat the complaint
as resolved in accordance with the investigator’s findings.58
Evidence
5.21 An apology will not of itself be treated as an admission of liability59.
5.22 An ombudsman cannot require anyone to produce any information or document
which that person could not be compelled to produce in High Court civil
proceedings, and the following provisions are subject to this.60
5.23 An ombudsman may give directions on:
a) the issues on which evidence is required; and
b) the way in which evidence should be given.61
5.24 An ombudsman may:
a) take into account evidence from Approved Regulators or the Legal
Services Board;
b) take into account evidence from other third parties;
c) treat any finding of fact in disciplinary proceedings against the
authorised person as conclusive;
d) include/exclude evidence that would be inadmissible/admissible in
court;
e) accept information in confidence where they consider that is both
necessary and fair;62
f) make a determination on the basis of what has been supplied;
g) draw inferences from any party’s failure to provide information
requested; and
h) dismiss a complaint if the complainant fails to provide information
requested.63
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5.25 An ombudsman may require a party to attend to give evidence and produce
documents at a time and place specified by the ombudsman.
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5.26 An ombudsman may require a party to produce any information or document
that the ombudsman considers necessary for the determination of a
complaint.
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5.27 An ombudsman may:
a) specify the time within which this must be done;
b) specify the manner or form in which the information is to be provided;
and
c) require the person producing the document to explain it.66
5.28 If the document is not produced, an ombudsman may require the relevant party
to say, to the best of their knowledge and belief, where the document is.67
5.29 If an authorised person fails to comply with a requirement to produce
information or a document, the ombudsman:
a) will tell the relevant Approved Regulator;
b) may require that Approved Regulator to tell the ombudsman what
action it will take; and
c) may report any failure by that Approved Regulator to the Legal
Services Board.68
5.30 Subject to this, if any party fails to comply with a requirement to produce
information or a document, the ombudsman may enforce the requirement
through the High Court.69
Procedural time limits
5.31 An ombudsman may fix (and may extend) a time limit for any stage of the
investigation, consideration and determination of a complaint.
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5.32 If any party fails to comply with such a time limit, the ombudsman may:
a) proceed with the investigation, consideration and determination;
b) draw inferences from the failure;
c) where the failure is by the complainant, dismiss the complaint; or
d) where the failure is by the authorised person, include compensation for
any inconvenience caused to the complainant in any award.71
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Hearings
5.33 An ombudsman may hold a hearing where they consider that it is appropriate
to do so in the circumstances. In deciding whether (and how) to hold a hearing,
the ombudsman will take account of article 6 in the European Convention on
Human Rights.72
5.34 A party who wishes to request a hearing must do so in writing, setting out:
a) the issues they wish to raise; and
b) (if appropriate) any reasons why the hearing should be in private;
so, the ombudsman may consider whether:
a) the issues are material;
b) a hearing should take place; and
c) any hearing should be in public or private.73
5.35 A hearing may be held by any means the ombudsman considers appropriate in
the circumstances, including (for example) by phone.74
Determinations and awards by an ombudsman
5.36 An ombudsman will determine a complaint by reference to what is, in their
opinion, fair and reasonable in all the circumstances of the case.75
5.37 In determining what is fair and reasonable, the ombudsman will take into
account (but is not bound by):
a) what decision a court might make;
b) the relevant Approved Regulator’s rules of conduct at the time of the
act/omission; and
c) what the ombudsman considers to have been good practice at the time
of the act/omission.76
5.38 The ombudsman’s determination may contain one or more of the following
directions to the authorised person in favour of the complainant:77
a) to apologise;
b) to pay compensation of a specified amount for loss suffered;
c) to pay interest on that compensation from a specified time;78
d) to pay compensation of a specified amount for inconvenience/distress
caused; 
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e) to ensure (and pay for) putting right any specified error, omission or
other deficiency;
f) to take (and pay for) any specified action in the interests of the
complainant;
g) to pay a specified amount for costs the complainant incurred in
pursuing the complaint;
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h) to limit fees to a specified amount.
5.39 As a complainant does not usually need assistance to pursue a complaint with
the Legal Ombudsman, awards of costs are likely to be rare.
5.40 If the determination contains a direction to limit fees to a specified amount, it
may also require the authorised person to ensure that:81
a) all or part of any amount paid is refunded;
b) interest is paid on that refund from a specified time;82
c) all or part of the fees are remitted;
d) the right to recover the fees is waived, wholly or to a specified extent;
or
e) any combination of these.
5.41 An ombudsman will set (and may extend) a time limit for the authorised person
to comply with a determination (and may set different time limits for the
authorised person to comply with different parts of a determination).83
5.42 Any interest payable under the determination will be at the rate:
a) specified in the determination; or
b) (if not specified) at the rate payable on High Court judgment debts.84
5.43 There is a limit of £50,000 on the total value that can be awarded by the
determination of a complaint in respect of:85
a) compensation for loss suffered;
b) compensation for inconvenience/distress caused;
c) the reasonable cost of putting right any error, omission, or other
deficiency; and
d) the reasonable cost of any specified action in the interests of the
complainant. 
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5.44 If (before or after the determination is issued) it appears that the total value will
exceed £50,000, an ombudsman may direct which part or parts of the award
are to take preference.86
5.45 That limit does not apply to:
a) an apology;
b interest on specified compensation for loss suffered;87
b) a specified amount for costs the complainant incurred in pursuing the
complaint;
c) limiting fees to a specified amount; or
d) interest on fees to be refunded.
Acceptance/rejection of determinations
5.46 The determination will:88
a) be in writing, signed by the ombudsman;
b) give reasons for the determination; and
c) require the complainant to notify the ombudsman, before a specified
time, whether the complainant accepts or rejects the determination.
5.47 The ombudsman may require any acceptance or rejection to be in writing but
will have regard to any reason why the complainant may be unable to use
writing. 89
5.48 The ombudsman will send copies of the determination to the parties and the
relevant Approved Regulator.90
5.49 If the complainant tells the ombudsman that they accept the determination, it is
binding on the parties and final.91
5.50 Once a determination becomes binding and final, neither party may start or
continue legal proceedings in respect of the subject matter of the complaint.
5.51 If the complainant does not tell the ombudsman (before the specified time) that
they accept the determination, it is treated as rejected unless:
a) the complainant tells the ombudsman (after the specified time) that
they accept the determination; and
b) the complainant has not previously told the ombudsman that they
reject the determination; and 
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c) the ombudsman is satisfied that there are sufficient reasons why the
complainant did not respond in time.92
5.52 If the complainant did not respond before the specified time, the ombudsman
will notify the parties and the relevant Approved Regulator of the outcome,
describing the provisions concerning late acceptance that are set out above.93
5.53 If the complainant accepts or rejects the determination, the ombudsman will
notify the parties and the relevant Approved Regulator of the outcome. 94
5.54 If a determination is rejected (or treated as rejected) by the complainant, it has
no effect on the legal rights of any party.
5.55 However, if after the determination the ombudsman becomes aware of either a
procedural defect or a fundamental error contained within the determination
which, in the ombudsman’s reasonable opinion, renders it wrong or unsafe,
then the ombudsman may withdraw the determination and provide a new
determination, taking into account the procedural defect or fundamental error.
Publication
5.56 The Legal Ombudsman may publish a report of its investigation, consideration
and determination of a complaint. The report will not name (or otherwise
identify) the complainant, unless the complainant agrees.95
Enforcement
5.57 A binding and final determination can be enforced through the High Court or a
county court by the complainant.96
5.58 A binding and final determination can also be enforced through the High Court
or a county court by an ombudsman, if:
a) the complainant agrees; and
b) the ombudsman considers it appropriate in all the circumstances.97
5.59 A court which makes an enforcement order must tell the Legal Ombudsman,
and then an ombudsman:
a) will tell the relevant Approved Regulator;
b) may require that Approved Regulator to tell the ombudsman what
action it will take; and
c) may report any failure by that Approved Regulator to the Legal
Services Board.98
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Misconduct
5.60 If (at any stage after the Legal Ombudsman receives a complaint) an
ombudsman considers that the complaint discloses any alleged misconduct
about which the relevant Approved Regulator should consider action against
the authorised person, the ombudsman:
a) will tell the relevant Approved Regulator;
b) will tell the complainant that the Approved Regulator has been told;
c) may require that Approved Regulator to tell the ombudsman what
action it will take; and
d) may report any failure by that Approved Regulator to the Legal
Services Board.99
5.61 If an ombudsman considers that an authorised person has failed to cooperate
with the Legal Ombudsman, the ombudsman:
a) will tell the relevant Approved Regulator;
b) may require that Approved Regulator to tell the ombudsman what
action it will take; and
c) may report any failure by that Approved Regulator to the Legal
Services Board.100
5.62 An ombudsman, the Legal Ombudsman and members of its staff will disclose
to an Approved Regulator any information that it requests in order to investigate
alleged misconduct or to fulfil its regulatory functions, so far as an ombudsman
considers that the information:
a) is reasonably required by the Approved Regulator; and
b) has regard to any right of privacy of any complainant or third party
involved (including rights of confidentiality or rights under the Data
Protection Act 1998 and the General Data Protection Regulation 2018
or the Human Rights Act 1998)101
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6 Case fees payable by authorised persons
6.1 A complaint is potentially chargeable unless:
a) it is out of jurisdiction; or
b) it is dismissed or discontinued under paragraph 5.7.102
6.2 A case fee is payable by the business/partnership103 or individual authorised
person for every potentially chargeable complaint when it is closed unless:
a) the complaint was:
- abandoned or withdrawn; or
- settled, resolved or determined in favour of the authorised
person; and
b) the ombudsman is satisfied that the authorised person took all
reasonable steps, under their complaints procedures, to try to resolve
the complaint.
104
6.3 The case fee is £400 for all chargeable complaints.
105
6.4 The remaining costs of running the Legal Ombudsman are covered by a levy
on Approved Regulators by the Legal Services Board.106
6.5 There is no charge to complainants.