OISC Code of Standards 2016 - Adviser's inability to work & ending a case
Updated 24 April 2024
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1. Temporary inability to work
40.An organisation must have arrangements in place to ensure that, should the client’s adviser be temporarily unable to work, the client’s case can continue to be progressed.
2. Termination of instructions by the client
41.If a client terminates their instructions, the organisation must arrange for all documents relating to the client’s case and the client’s file to be returned to the client or to such third party as the client may direct as soon as practicable. The organisation must keep a copy of the client’s file for its own records in accordance with Code 57.
42.Where the client is in detention or their removal is imminent, their documents and client file must be delivered as the client directs and no later than three working days from the receipt of notification of termination of the instructions.
3. Withdrawing from a case by the organisation
43.An organisation must not withdraw or threaten to withdraw from a case without good reason.
44.An organisation that seeks to withdraw from a case should give the client at least three working days’ notice of this together with written reasons for its decision. Where practicable, the organisation should inform the client of other suitably qualified organisations which may be able and willing to act for the client.
45.If an organisation withdraws from a case, it must inform all those involved in the case of its withdrawal. A written note of the contact details of the client’s new representatives should, where known, be placed on the copy of the client’s file kept by the organisation.
4. Ending of a client’s case
46.On the completion of a client’s case an organisation should provide the client with a written statement including the following information:
a.confirmation that the case has been completed including a statement of the case’s outcome and implications. This should include any dates or restrictions on the client’s leave, if known;
b.a list of the original documents returned to the client; and
c.a final financial statement, if appropriate.
47.Where the client’s case has not been completed, but the client has withdrawn their instructions or the organisation has decided to withdraw from the case, an organisation must make every effort to provide the client with a written statement including the following information:
a.confirmation that the client withdrew their instructions before the case was completed or that the organisation withdrew before the case was completed;
b.a list of the original documents returned to the client; and
c.a final financial statement, if appropriate.
5. Transferring the client’s file
48.Where a client requires that their case be transferred to another organisation, irrespective of whether any payment is outstanding, all documents relating to the client’s case and the client’s file must be transferred as soon as possible and, in any event, no later than three working days of the request being made.