Compliance | Baker Tilly Mooney Moore | Belfast

The following information is designed to draw the attention of interested parties to the information required to be disclosed by the Provision of Services Regulations 2009.

Licensing Body 

David McClean is licensed to act as an Insolvency Practitioner in Great Britain and Northern Ireland by Chartered Accountants Ireland. Lisa Lappin is licensed to act as an Insolvency Practitioner in Great Britain and Northern Ireland by the Insolvency Practitioners Association (IPA).

Baker Tilly Mooney Moore is regulated for a range of investments business activities by the Association of Chartered Certified Accountants.  

Rules Governing Actions

All IPs are bound by the rules of their professional body, including any that relate specifically to insolvency.  The rules of the professional body that licences David McClean can be found at Chartered Accountants Ireland – https://www.charteredaccountants.ie/Professional-Standards/Bye-laws-and-Regulations.  The rules of the professional body that licences Lisa Lappin can be found at IPA - http://www.insolvency-practitioners.org.uk/. In addition, IPs are bound by the Statements of Insolvency Practice (SIPs), details of which can be found at https://www.r3.org.uk/what-we-do/publications/professional/statements-of-insolvency-practice.

Ethics

All IPs are required to comply with the Insolvency Code of Ethics and a copy of the Code can be found at Chartered Accountants Ireland https://www.charteredaccountants.ie/Professional-Standards/Bye-laws-and-Regulations/Ethics/Code-and-standards and IPA - http://www.insolvency-practitioners.org.uk/regulation-and-guidance/ethics-code.

Complaints

Baker Tilly Mooney Moore undertakes to investigate any complaints we receive promptly.

There are three possible stages to each complaint:-

1. Local resolution: complaints will be dealt with by the person who is the subject of the complaint and the Engagement Partner or the appointed Insolvency Practitioner.

All complaints will be carefully considered and, if the matter is straightforward, we will usually send you a full reply within 20 working days.  If your complaint is complicated we will contact you before we start the investigation to clarify your concerns.  If we need to carry out a very detailed investigation our response may take longer than 20 working days.  If this is the case, we will contact you to explain what is happening, and tell you when we will send you a full response.

If we find that your complaint is justified, you will receive an apology together with details of any other steps we will take to meet your concerns.  We will also explain what we are doing to prevent the problem happening again.

Where a problem cannot be resolved then you can ask for it to be referred to stage two.  However all efforts will be made to resolve the complaint at stage one.

2. Conciliation: an Independent Partner/Insolvency Practitioner will undertake a review of Stage 1, with a particular focus on how the complaint was handled and with the aim of resolving the complaint through a process of conciliation.  This will probably involve a meeting with you, which will be arranged whenever is most convenient for you.

We would hope that you would allow us to resolve the complaint through stages one and two however you may go directly to stage three.

3. Contact the Association of Chartered Certified Accountants or The Insolvency Service for Insolvency Practitioner Complaints: If you are not satisfied with the way the Firm has dealt with your complaint at stages 1 or 2, you may refer the matter to our professional body, the Association of Chartered Certified Accountants, or in the case of Insolvency Practitioner complaints you may complain to the regulatory body that licences the Insolvency Practitioner concerned.  Any such complaints should be addressed to The Insolvency Service, IP Complaints, 3rd Floor, 1 City Walk, Leeds, LS11 9DA and you can make a submission using an on-line form available at www.gov.uk/complain-about-insolvency-practitioner; or you can email insolvency.enquiryline@insolvency.gsi.gov.uk; or you may phone 0300 678 0015.  Information on the call charges that apply is available at https://www.gov.uk/call-charges.

Professional Indemnity Insurance

Baker Tilly Mooney Moore’s Professional Indemnity Insurance is provided by Allied World Assurance Company (Europe) Dac. This professional indemnity insurance provides worldwide coverage, excluding the United States of America or Canada.

VAT

Baker Tilly Mooney Moore is registered for VAT under registration no. 252 3040 07.