OISC Code of Standards 2016 - Client Care Letter
Updated 24 April 2024
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1. Client care letter
23.An organisation must provide all prospective clients with a client care letter.
24.The adviser must take reasonable steps to ensure that the prospective client understands the contents of their client care letter before being asked to agree it. The organisation should not do any further work until the client care letter has been agreed, other than in exceptional circumstances.
25.An organisation must keep a record of the client’s agreement to their client care letter either by way of a signed and dated copy of the letter or evidence of their agreement electronically.
26.A client care letter must contain:
a.a statement identifying the client for whom the organisation is acting;
b.a statement of the client’s immigration status, if known;
c.full details of the client’s instructions, advice given and the work agreed to be done with estimated timeframes;
d.confirmation of the costs estimated or agreed;
e.confirmation that if client money is held by the organisation on behalf of the client, such money remains the client’s until the client is invoiced and payment is due;
f.information explaining what, if any, additional costs may be incurred for which the client may become liable;
g.contact details of the adviser dealing with the matter including their name, address, telephone number and email address;
h.confirmation that if the client is required to hand over any original documents to the organisation, the client will, if necessary, be given copies of those documents as soon as reasonably practicable;
i.the organisation’s complaint-handling procedures;
j.all other terms and conditions of the agreement, and, if online selling regulations are relevant, the client’s protections under relevant legislation;
k.confirmation that the organisation is regulated in the UK by the Commissioner and that the Commissioner has the power to examine the client’s file; and
l.confirmation that the organisation retains full responsibility for all work done on behalf of the client.