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information for businesses covered by the ombudsman service

This section answers a number of frequently-asked questions (FAQs) about:

before we get involved

no longer in business

I used to be an independent financial adviser (IFA) but I'm no longer in business. What are my complaints-handling obligations?

As a previously regulated business, you still have obligations to former clients who may have complaints about you. This is reflected in the rules.

For more information, see our answer to the question "why should a sole trader or partner still be covered by the ombudsman after they have ceased trading?".