Complaints Policy

1. Purpose

This Complaints Policy sets out how you can raise concerns, how we will respond, and what further steps you can take if you remain unhappy. Our approach is to handle all complaints promptly, fairly, and openly, in line with the requirements of the Chartered Institute of Management Accountants (CIMA), our professional body.

2. Scope

This policy applies to:

• All clients of Smart AI Accounting Ltd.

• Any services provided, including bookkeeping, accounting, tax, payroll, and advisory work.

• All complaints, whether they are made verbally, in writing, or by email.

It does not cover complaints relating to services provided by third-party providers (e.g. Xero, Google, or banks). In such cases, we may assist clients in contacting the provider directly.

3. How to Make a Complaint

Clients who wish to make a complaint can do so in the following ways:

• By email: info@smartaiaccounting.com

• By phone: [Insert business phone number]

• In writing: Smart AI Accounting Ltd, [Insert registered address]

Please include as much detail as possible, including the nature of your concern, dates, and any supporting evidence.

4. How We Handle Complaints

Acknowledgement

• We will acknowledge all complaints within 5 working days of receipt.

• The acknowledgement will confirm that your complaint is being taken seriously and provide the name of the person responsible for investigating it.

Investigation

• The Director (or a nominated manager if applicable) will investigate the complaint.

• This may include reviewing records, speaking with staff or subcontractors, and contacting you for clarification.

• We aim to complete investigations within 10 working days of acknowledgement. If more time is needed, we will inform you of the revised timescale.

Outcome

• Once the investigation is complete, we will write to you with our findings and explain any actions we are taking to resolve the matter.

• Where we are at fault, we will apologise and outline how we will put things right and prevent recurrence.

5. Escalation Procedure

If you are not satisfied with our response, you have the right to escalate your complaint.

• Stage 1: Raise the matter directly with the Director, Martin Ngando, for final review.

• Stage 2: If you remain dissatisfied, you may refer the complaint to our professional body, CIMA.

CIMA Complaints Contact:

• Website: https://www.cimaglobal.com

• Email: cima.contact@aicpa-cima.com

• Telephone: +44 (0)20 8849 2251

CIMA will consider whether we have complied with our professional obligations and may investigate further if required.

6. Record Keeping

We maintain a Complaints Register within our Compliance Pack. This includes:

• Date complaint was received.

• Client details (name, company).

• Summary of the complaint.

• Actions taken.

• Date resolved and outcome.

Records of complaints will be retained for a minimum of six years. This helps us identify patterns, improve our services, and demonstrate compliance with professional standards.

7. Confidentiality

All complaints will be treated confidentially. Information will only be shared with those who need to know in order to resolve the matter. Records of complaints are stored securely in line with our Data Protection Policy.

8. Learning and Improvement

We view complaints as opportunities to improve. Every complaint is reviewed to:

• Identify root causes.

• Update systems, processes, or training.

• Prevent recurrence.

The Director reviews all complaints annually to ensure lessons are learned and improvements implemented.

9. Commitment to Clients

Smart AI Accounting Ltd is committed to handling complaints in a way that:

• Respects your concerns and takes them seriously.

• Provides a clear process and fair outcome.

• Protects client confidentiality at all times.

• Meets our professional obligations under CIMA’s Members in Practice rules.

We believe that an open and transparent complaints procedure strengthens client relationships and ensures accountability.

10. Policy Review

This Complaints Policy will be reviewed annually by the Director to ensure it remains up to date with professional and regulatory requirements. Any changes will be published on our website and shared with clients as part of our onboarding materials.

11. Summary

• You can make a complaint at any time by email, phone, or in writing.

• We will acknowledge your complaint within 5 working days.

• We will investigate and respond within 10 working days.

• If unresolved, you can escalate to CIMA.

• All complaints are logged, monitored, and used to improve our services.

12. Our Promise

We are committed to delivering professional, reliable, and trustworthy services. If we fall short, we want to hear about it so we can make things right. By following this Complaints Policy, we aim not only to resolve issues but also to improve our services for the future.

For questions about our Complaints policy, contact:

Smart AI Accounting Ltd
London, UK
📧 info@smartaiaccounting.com
📞 07882 527 345