Provision of services regulations summary sheet

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

Gavin Bates is licensed to act as Insolvency Practitioners in the United Kingdom by the Institute of Chartered Accountants in England and Wales.

Gavin Bates is also a member of 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 Gavin Bates can be found at ICAEW

In addition, IPs are bound by the Statements of Insolvency Practice (SIPs), details of which can be found here 

Ethics

All IPs are required to comply with the Insolvency Code of Ethics and a copy of the Code can be found at ICAEW 

Complaints

At Smart Business Recovery Limited we always strive to provide a professional and efficient service. However, we recognise that it is in the nature of insolvency proceedings for disputes to arise from time to time.  As such, should you have any comments or complaints regarding the administration of a particular case then in the first instance you should contact the IP acting as office holder. 

If you consider that the IP has not dealt with your comments or complaint appropriately you should then put details of your concerns in writing to our complaints officer Mrs Joanne Bates, Smart Business Recovery Limited, The Old Rectory, Main Street, Glenfield, Leicestershire, LE3 8DG.  This will then formally invoke our complaints procedure and we will endeavour to deal with your complaint. If we are unable to deal with your complaint appropriately we reserve the right to pass it to an external compliance firm to review and manage. 

Most disputes can be resolved amicably either through the provision of further information or following negotiations.  However, in the event that you have exhausted our complaints procedure and you are not satisfied that your complaint has been resolved or dealt with appropriately, 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 Gov.uk; or you can email insolvency.enquiryline@insolvency.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

Smart Business Recovery Limited’s Professional Indemnity Insurance is provided by Arch Insurance Company (UK) Limited, of 5th Floor, Plantation Place South, 60 Great Tower Street, London, EC3R 5AZ. This professional indemnity insurance provides worldwide coverage, excluding professional business carried out from an office in the United States of America or Canada, and any action for a claim brought in any court in the United States of America or Canada.

VAT

Smart Business Recovery Limited is registered for VAT under registration no. 312 3039 54.

Bribery Act 2010

Smart Business Recovery Limited is committed to applying the highest standards of ethical conduct and integrity in its business activities. Every employee and individual acting on Smart Business Recovery Limited's behalf is responsible for maintaining our reputation and for conducting company business honestly and professionally.

Smart Business Recovery Limited take a zero-tolerance approach to bribery and corruption and are committed to acting professionally, fairly and with integrity in all our business dealings and relationships wherever we operate.

Smart Business Recovery Limited requires all those who are associated with it to observe the highest standards of impartiality, integrity and objectivity.

Smart Business Recovery Limited prohibits anyone acting on its behalf from:

• bribing another person. A bribe includes the offering, promising or giving of any financial or other type of advantage;
• accepting a bribe. This includes requesting, agreeing to receive or accepting any financial, or another kind of advantage;
• bribing a foreign public official; and
• condoning the offering or acceptance of bribes.

Smart Business Recovery Limited will:

• avoid doing business with others who do not accept our values and who may harm our reputation;
• maintain processes, procedures and records that limit the risk of direct or indirect bribery;
• promote awareness of this policy amongst its staff, those acting on its behalf and entities with which it has any commercial dealings;
• investigate all instances of alleged bribery, and will assist the police, and other authorities when appropriate, in any resultant prosecutions. In addition, disciplinary action will be considered against individual members of staff;
• review this policy regularly and update it when necessary.