Complaints

How to Make a Complaint

The PRISM complaint process is in place to investigate allegations of misconduct against individual PRISM members. PRISM does not regulate or audit firms of Accountants or Employment Intermediaries. If you believe that a PRISM member company or one of its employees has behaved unprofessionally, then you may wish to submit a complaint so that so that it can be considered through the conduct process.

Before making a complaint, please look at the guidance on what PRISM can investigate. It may be that the issue is a service complaint or dispute, in which case there are other routes available to you (such as an accountant's complaints procedures or a form of alternative dispute resolution). All complaints must be made by using a notification of complaints form. Before completing the form please read the guidance document PRISM information for complainants.

When you complete the form you will need to provide the following information:

• The name of the individual or PRISM member you wish to complain about.
• A clear and concise summary of the complaint including dates of all relevant events.
• Evidence in the form of documentation that supports the complaint.
• Information about whether any legal proceedings are intended, or have already commenced.
• Consent that all documentation you have submitted may be disclosed to the other party to the complaint, to PRISM conduct committees and to other relevant third parties which may include other regulators.

Please note that, should a complaint progress to the Disciplinary stage, the Disciplinary Committee will consider the complaint at a hearing. You may be asked to appear as a witness.

Your completed form should be signed, dated and sent together with a copy of all your
supporting documentation to:

Complaints

8 The Manor
Reading
Berks
RG2 9D