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Code of Professional Conduct for Members of New Leaf (WWF) Ltd

  1. Purpose and Scope

    1. This Code establishes the professional and ethical standards expected of members of New Leaf (WWF) Ltd engaged in will writing and estate planning services.
    2. The objective is to ensure that members operate with integrity, professionalism, and in compliance with all applicable legal and regulatory requirements.
    3. This Code applies to all members of New Leaf (WWF) Ltd and must be adhered to in the delivery of services to clients.

  2. Professional Conduct and Compliance

    1. Members must adhere to all relevant laws and regulations in the ensuring that clients are provided with legal and ethical advice.
    2. Members shall act honestly, transparently, and in the best interests of their clients at all times, avoiding misleading or deceptive practices.
    3. Any professional services offered by members should only be those in which they are competent and appropriately insured.
    4. Members are required to maintain professional development and keep up to date with changes in legislation, industry best practices, and company policies.
    5. If a client’s needs extend beyond the expertise of a member, they must be referred to an appropriately qualified professional.
    6. Members must complete services within the agreed timeframe. If unexpected delays arise, clients must be notified promptly, with an explanation of the delay.

  3. Client Confidentiality and Data Protection

    1. Members must retain comprehensive records of client instructions and communications.
    2. Members must ensure that all client information is kept strictly confidential and only disclosed where required by law or with explicit client consent.
    3. Compliance with all applicable data protection legislation, including the UK GDPR and the Data Protection Act 2018, is mandatory.
    4. Members must securely store all client documents and personal information, ensuring adequate protection against unauthorised access.

  4. Transparency in Service and Pricing

    1. Members must provide clear and accurate information about their services, ensuring that clients fully understand the nature of what is being offered.
    2. All fees must be clearly communicated, with written confirmation provided that outlines whether prices include or exclude VAT.
    3. Members must ensure that clients receive written terms of engagement before any services commence, detailing the scope of work and any applicable charges.

  5. Instruction Taking

    1. Members must ensure that instructions are obtained in a clear, professional, and ethical manner. To this end:
      1. Clients must be of sound mind and capable of making informed decisions.
      2. Instructions should be taken without undue influence, coercion, or misrepresentation.
      3. Where a client’s capacity is in doubt, an independent assessment (e.g., medical confirmation) should be sought.
    2. Some clients may require additional care when providing instructions due to age, disability, illness, or personal circumstances. Members must:
      1. Ensure communication is clear and appropriate for the client’s needs.
      2. Offer extra explanations and guidance as required.
      3. Provide written confirmation of all advice given.
      4. Allow time for clients to seek independent advice if needed.
      5. Be particularly cautious when a family member, caregiver, or beneficiary is present during instruction-taking.
    3. If a client appears to be under duress or lacks the ability to understand their decisions, the member must not proceed with instructions.

  6. Attestation

    1. Clients must be provided with proper guidance on document execution, including:
      1. The requirement for independent witnesses (where applicable).
      2. The importance of signing in the correct legal order.
      3. Offering an attestation service to oversee signing, where feasible.
    2. If a client declines attestation, members should offer a document review service to check for errors.

  7. Ethical Business Practices

    1. Members must conduct their business in an ethical manner, ensuring fair treatment of all clients and avoiding conflicts of interest.
    2. Members shall not engage in aggressive or misleading sales tactics, ensuring that clients make informed decisions without pressure or coercion.

  8. Complaints and Dispute Resolution

    1. Complaints should be handled promptly, with an initial response provided within seven days and a full resolution aimed for within 28 days.
    2. If a complaint cannot be resolved at the member level, the matter should be escalated in line with New Leaf (WWF) Ltd’s internal dispute resolution procedures.
    3. Members must cooperate fully with any investigations or disciplinary proceedings initiated by New Leaf (WWF) Ltd in response to client complaints or reported misconduct.

  9. Business Continuity

    1. Members should have contingency plans in place to ensure continuity of service in the event of prolonged absence, incapacity, or business closure.

  10. Enforcement and Compliance Monitoring

    1. New Leaf (WWF) Ltd reserves the right to monitor compliance with this Code and to take appropriate action in cases of non-compliance.
    2. Breaches of this Code may result in disciplinary action, including warnings, suspension, or termination of membership.
    3. This Code will be reviewed periodically to ensure alignment with legal and industry developments.

  11. Final Provisions

    1. This Code is binding upon all members of New Leaf (WWF) Ltd, and continued membership is contingent upon adherence to these provisions.
    2. Any amendments to this Code will be communicated to members in writing, with reasonable notice provided for compliance with any updated requirements.