Matt - Client care - Level 1

Question 1

Why is good client care important in the surveying profession?

Answer 1

In its simplest form, it affects the reputation of the Member, Firm and the RICS as a whole.

Ensuring good client care means that there is a positive reputation for the profession.

Question 2

Why do you regularly communicate with clients to update them with work and timeframes?

Answer 2

1. To ensure good client care and to adhere to Rule 3 of the Rules of Conduct.
2. These are examples of good behaviours a Surveyor needs to follow to provide excellent client care

Question 3

What are some examples of behaviours to provide good client care?

Answer 3

1. Regular and clear communication with client
2. Understanding client objectives and requirements
3. Avoid technical jargon for lay clients
4. Consider cultural differences, neurodiversity and disabilities

Question 4

Who are the clients that the VOA may act for as detailed within the Commissioners for Revenue and Customs Act (2005)?

Answer 4

HMRC and other public bodies

Question 5

Where can the list of clients that the VOA act for be found within the CRCA (2005)?

Answer 5

Section 10

Question 6

What is the VOA’s complaints handling procedure?

Question 7

What does the RICS say about complaint handling procedures?

Answer 7

Firms must have a written complaints handling procedure

1. If a complaint is received, it must be recorded and acknowledged within seven
2. Check whether PII provider needs to be informed
3. Passed to complaints handling officer who investigates
4. Correspondence with the client to outline issues and course of action within 28 days

Question 8

What should Surveyors be aware of when advertising their services?

Answer 8

1. They must be honest and give sufficient information
2. They must not be aggressive or engage in unfair or banned practices
3. Be aware of relevant consumer law

Question 9

What must you always do before accepting an instruction?

Answer 9

1. Undertake anti-money laundering checks
2. Undertake customer due diligence (CDD) to confirm the identity of the client

Question 10

What are some examples of customer due diligence (CDD)?

Answer 10

1. Check the clients details such as name, address, DOB and photo using official documents such as driving license or passport
2. Obtain information on the company from Companies House

Question 11

When may enhanced due diligence (EDD) be required?

Answer 11

If a transaction is at higher risk of money laundering or the client is a politically exposed person

Question 12

What are some examples of enhanced due diligence checks?

Answer 12

1. Further identity checks
2. Further credit checks
3. Investigation of the source of funds

Question 13

Do the RICS have any guidance on complaints handling?

Answer 13

Yes, the Guidance Note Complaints Handling (1st edition)