Professional standards update

In Issue 3 of the STEP Journal, this column focused on best practice when handling client complaints to enhance and maintain client‑advisor relationships. This led to the question of why people complain and whether there are any simple strategies to prevent complaints arising in the first place.

Incidental remarks do not always come out as intended and may upset one’s conversation partner. The rise of online meetings over the past year has also resulted in a sort of ‘Zoom fatigue’, where one may momentarily forget the camera and show their tiredness rather than signalling they are actively listening. It is these slight behaviours that may increase the chance that a client or colleague will decide to make a complaint.

Studies of the US healthcare system have asked why medical practitioners are more likely to be sued for malpractice than their peers when there has been a poor outcome for the patient. On paper, the doctors appear to be equal in their training and qualifications and so resulting negligence claims do not appear to be based on concerns over ability. However, interviews with the patients identified they were more likely to take action based on how they felt they had been treated by the practitioner up to the point when things went wrong.

When people perceive that they have been ignored or a professional has not taken the time to listen to their concerns, they are more likely to complain or sue for malpractice. Tone of voice and choice of phrasing were also shown to be relevant to their decision.

Although there may be any number of (often complex) factors involved in client matters that lead to a complaint, applying the abovementioned principles to the field of trusts and estates perhaps one can learn a valuable lesson. If people are shown respect, they are less likely to want to submit a negligence claim or formal complaint if something goes wrong.

These studies act as a helpful reminder of the importance of courtesy, which is recognised as a core ethical behaviour listed in STEP’s Code of Professional Conduct.

Code 5 of STEP’s Code of Professional Conduct states that: ‘A Member shall be courteous and considerate towards the people with whom he or she has dealings in the course of his or her professional work.’