Dealing with a complaint

了解更多有关客户纠纷升级为正式投诉时发生的情况 

在短暂的

  • 所有会员都有义务有效处理客户纠纷.
  • 未能处理争议可能会导致投诉直接向我们提出
  • 现有程序允许我们审查和调查这些投诉, and if necessary, 采取适当的行动谴责成员.

所有会员均须接受投诉及专业操守程序. 如果你发现自己正在处理投诉或被调查, 了解整个过程是很重要的, 认真对待，积极应对.

Handling a complaint

如果会员对你提出投诉, 我们将首先评估此事是否在我们的管辖范围内进行调查. 如果是，你将收到一份投诉副本，并在14天内作出回应. In your response, you will need to treat the matter seriously and be open about any shortcomings you can identify in your conduct.
考虑包括以下一些:

  • 关键事件的详细时间轴或年表
  • 相关通讯(信件或电子邮件)的副本
  • 相关协议(业务委托书)的副本, 利益冲突披露及行为同意形式, 信托行为, 起诉状中提及的委托书或其他法律文件)
  • 相关财务资料(即财务报表)的副本, valuation or audit reports, or tax returns)
  • 任何其他你认为与你的回复相关的额外信息. 如果你不同意投诉，你需要解释原因.

我们的纪律机构希望你表现出洞察力并为你的论点辩护.

Respond on time

It’s important to respond within the time frame given, and to provide a clear and direct response. Failure to respond or provide further information as requested by the Professional Conduct Committee (PCC) is considered a serious matter and can be referred to the Disciplinary Tribunal. 如果你没有回应，调查和程序将在你缺席期间继续进行.

会直接

如果提交投诉的客户没有联系你, 以及情况是否合适, 你可以试着联系他们谈谈这件事.

Be mindful that they may not wish to engage in such discussion and it is important to be respectful of this.

得到帮助

您的投诉将被指派一位案例经理, 如果对流程有任何疑问，可以联系谁.

For additional guidance and 新西兰的会员可以通过0联系新西兰会员关怀. 会员可以私下与我们的新西兰会员中心讨论投诉 咨询顾问或向新西兰CA咨询小组(CAAG)成员申请转介. 

Members in Australia and the rest of the world can contact a member of your regional CA Advisory Group (CAAG).

Depending on the nature of 对于投诉，您不妨建议您的专业赔偿保险公司或 seek legal counsel.

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What you need to know

  • Our decision-makers

    专业操守委员会(" PCC "), 纪律审裁处及上诉审裁处/评议会负责调查及惩戒成员.  

    它们的权力和程序载于:

    • The 章程 and the Professional Conduct Regulation; or
    • The 新西兰 Institute of Chartered Accountants Act 1996 (“the NZICA Act”) and NZICA Rules (applicable for complaints about 新西兰 resident members)

    会员必须遵守适用的标准, including the Code of Ethics, 和专业技术标准.

    More information

    阅读完整的附则和道德规范.

    View the code of ethics

    The PCC investigates complaints to determine if a complaint should be referred to the Disciplinary Tribunal. 它还可以对成员发布制裁，并决定费用和宣传.PCC的初步调查是以书面形式进行的, 然而，它可以要求会员亲自出席讨论投诉.

    Hearings before the Disciplinary Tribunal and the Appeals Tribunal/Council are formal proceedings. At the Disciplinary Tribunal the PCC has the responsibility of presenting the case against the member.

    Either the member or the PCC can appeal Disciplinary Tribunal decisions to the Appeals Tribunal/Council. 在这两个论坛中，成员都有权获得法律代表. The PCC also has legal representation. 听证会是公开举行的，并且假定判决是公开公布的.

    如投诉未送交纪律审裁处, the member and the complainant can seek a review by the Reviewer of 投诉: independent lawyers from outside our internal disciplinary bodies. The Reviewer will look at the process followed by the PCC and assess the decision given the information presented.They will report findings to the parties, 并可指示投诉委员会重新考虑其决定或提出建议.

    All disciplinary bodies must observe the rules of natural justice or procedural fairness ensuring that fair procedure is followed.

  • Scope of our jurisdiction

    As a disciplinary jurisdiction, 投诉的焦点在于会员的职业操守.

    可获得的结果与成员的成员资格和地位有关. Our disciplinary bodies do not have the powers of the court and cannot intervene in or overturn any court decisions.

    我们不能要求会员支付损害赔偿或作出刑事裁决. 这只在民事和刑事法庭的职权范围内.

    More information

    了解更多mg注册真人在澳大利亚，新西兰和海外的管辖权.

    阅读更多
  • 投诉 review process at a glance

    初步审查

    • 投诉会被初步审查，以确保有调查的管辖权.
    • 可能需要申诉人提供进一步的信息.
    • 如果PCC决定不调查投诉，将通知投诉人.

    调查

    • If the PCC is able to investigate, a copy of the complaint is sent to the member for response.
    • 会员有14天的时间回复并提供任何进一步的信息. 如果需要更多的时间，应尽快申请延期.
    • The member’s response will be sent to the complainant for comment and the member is given a final right of reply.
    • This will continue until there is sufficient information for a decision to be made about the complaint.
    • 对情节严重或者情节复杂的案件，可以由新闻协调委员会任命专家调查员.
    • Members are obliged to co-operate with the investigation and provide any information or documentation sought.

    考虑

    • Once sufficient information has been obtained from the parties, it will be considered by the PCC.
    • 如果需要更多的信息，PCC可能会寻求更多的信息, 包括与该委员，也许还有投诉人会面.
    • PCC拥有一系列的制裁和权力. 这些将在下面可能的结果中讨论.
    • PCC的决定在作出决定后的21天内通知各方.

    Possible outcomes

    投诉小组委员会在对投诉进行覆核后，可决定:

    • Caution the member
    • 召开案例会议/最终决定
    • Refer the complaint to the Disciplinary Tribunal for hearing or apply for interim suspension
    • 暂时搁置投诉以取得更多资料
    • Require the member to pay the costs
    • Offer 制裁s by consent with the member to be included on the member’s record, including to:
      a. be reprimanded or severely reprimanded
      b. 交罚款
      c. 支付成本
      d. 完成职业发展或聘请顾问或导师
      e. publicise the decision
    • 要求进行质量或实践审查
    • Take no further action

    时间框架

    • 调查s usually take 4-9 months. If a matter is complex or if there are delays in obtaining relevant information from the parties, it may take longer.
    • 提交纪律法庭的申诉大约需要12个月才能结束.
  • 与专业操守委员会会面

    Members may be asked to attend a meeting with the PCC if a more detailed investigation or discussion is required. 将事先提供要讨论的问题清单, 会议通常不超过90分钟.

    在某些情况下, the complainant may also be invited, 但这次会议不对外公开，也不要求证人出席.

    Either side can bring a support person such as their colleague or partner; however they are not entitled to contribute to the discussion.这包括任何作为支持人员出席的律师.

    决定将在讨论后作出，有时在同一天. 一种可能的结果是，该成员同意接受制裁. 在这种情况下, PCC将讨论他们打算实施的制裁, and with the member’s consent, 他们将被记录在会员记录中，投诉将会结束.

    如果该成员不同意制裁, 投诉将提交纪律法庭处理. Members are given an opportunity to take independent legal advice prior to agreeing to any 制裁s in this way.

  • 出席纪律审裁处聆讯

    At a Disciplinary Tribunal Hearing, 证据来自PCC的调查, 哪些可以包括原告的证人陈述, experts or others.

    Members may also present evidence in defence, call witnesses and make submissions to the Tribunal. 他们也有权并被鼓励得到法律代表.

    Hearings are held in public and decisions are generally published with the member’s name and location on our website, 以及由审裁处决定的任何其他地方.

    Both parties will also receive formal notice of the decision in writing following the hearing.

    Possible outcomes

    Tribunal hearings may result in:

    • 从我们的会员名册中删除一名会员
    • Member suspension for up to five years
    • Monetary penalties or costs
    • (二)吊销或者吊销执业证书
    • 对会员行为的调查或审查
    • 会员之专业发展或辅导
    • 谴责、斥责或严厉斥责会员
    • 取消, suspending or varying an audit license issued under the Auditor Regulation Act (新西兰 only)

    Tribunal decisions

    View past Tribunal decisions.

    阅读更多
  • Making a complaint or appeal

    Protesting the PCC

    如果你不满意PCC处理投诉或其决定的方式, 你可以要求投诉的复核人进行复核.

    他们可指示新闻申诉委员会重新考虑其决定或提出建议. Decisions are also reported to the Professional Conduct Oversight Committee or the 新西兰 Regulatory Board.

    他们不能审查已经提交纪律法庭的投诉, 或者不符合附则或NZICA规则的要求.

    Reviewer of 投诉

    阅读更多关于澳大利亚和新西兰的投诉审查

    Australia and overseas 新西兰

    对纪律审裁处的决定提出上诉

    If the member or the PCC are dissatisfied with the procedure followed by the Disciplinary Tribunal or its decision, 任何一方均可向上诉审裁处提出申请.投诉人不能就纪律审裁处的决定提出上诉.

    上诉审裁处理事会可更改或推翻纪律审裁处的任何决定, including in relation to liability, 制裁, costs and publicity.

    诉讼程序是公开进行的，并且有一种假设认为判决是公开的.

    More information

    阅读更多关于澳大利亚和新西兰上诉程序的信息.

    Australia and overseas 新西兰

  • 自我报告

    Members have an obligation to report aspects of their conduct that breach the 章程 and standards.

    This includes insolvency, criminal convictions, 另一监管机构对一名成员的不利调查结果, 以及其他构成严重不当行为的行为，如挪用公款, fraud or dishonesty.

    Member obligations

    阅读更多关于成员报告义务的内容.

    阅读更多

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    如果您不确定您的报告义务，请联系专业行为团队

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  • Avoiding and resolving complaints

    缺乏沟通是许多抱怨的共同原因，通过我们.

    Many could be avoided if the member had put in place good strategies to proactively prevent or respond to issues.

    会员有义务根据标准有效地处理客户纠纷.

    有效解决争议的方法:

    • 坦率地说:明确要提供的服务, fees and basis of billing, expected timeframes, 付款条件, and record ownership/retention policies. 这些事项应以约定书或类似的形式正式传达
    • 揭露:潜在的利益冲突或对客观性的威胁, 建立安全措施，并获得采取行动的书面知情同意. 应定期审查冲突披露和保障措施
    • 沟通:任何时间框架的变化，延迟或报价的变化. Effective communication helps manage clients’ expectations and they will generally be more understanding if there is going to be a delay or change to what has been previously discussed.
    • 透明度:客户有权得到发票的充分解释, 说明费用是如何计算的，以及已经进行了哪些工作.
    • Establish procedure: to resolve disputes and avoid them escalating and damaging the client relationship. 当你承诺的时候，兑现你的承诺.
    • Work within your expertise: do not take on work you are not skilled to do or give the impression that you are more experienced in a particular field or industry than you actually are. 如果你想扩大你的实践范围，首先要提高技能.

     

    Dispute Resolution Toolkit

    下载我们的争议解决工具箱给会员

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