LD Consultores

Operational Compliance & Dispute Resolution

Operational Compliance & Dispute Resolution Procedure

Entities: LD Consultores C.A. & León & Associated Attorneys at Law Ltd.

Purpose: To define the formal steps for managing service non-conformance, ethical disputes, and regulatory adherence in the provision of products and services.

1. Quality Assurance and Non-Conformance Identification

We maintain a proactive Quality Management System (QMS) to ensure all EOR, payroll, and legal services meet our internal excellence standards and client requirements.

  • Continuous Monitoring: Service delivery is monitored against pre-defined performance indicators and internal Service Level Agreements (SLAs).
  • Recording of Events: Any failure to meet service standards (non-conformance) is formally recorded in an internal quality log for immediate investigation.
  • Root Cause Analysis: For every identified deficiency, a formal review is conducted to determine the underlying cause and implement long-term corrective actions.

2. Dispute Resolution Protocol

In the event of a disagreement regarding service delivery, the following steps are taken to ensure a professional and transparent resolution:

  • Step 1: Informal Resolution: Minor service discrepancies are handled promptly by the local Account Manager to ensure immediate correction.
  • Step 2: Formal Complaint: If a dispute cannot be resolved informally, a written complaint is escalated to the firm’s Managing Partners for review.
  • Step 3: Joint Investigation: We cooperate fully with our clients to investigate the cause of the issue and provide a detailed resolution plan.
  • Step 4: Final Documentation: All complaints are resolved to the satisfaction of all parties, with outcomes documented for future audit and quality reviews.

3. Ethical Breach and ABC Reporting

If a non-conformance involves a potential breach of our Anti-Bribery & Corruption (ABC) policy, the following “Speak Up” procedure applies:

  • Immediate Reporting: Any suspected breach (e.g., requests for facilitation payments or tax evasion) must be reported immediately to our internal Compliance Officer or via our designated ethics channel.
  • Whistleblower Protection: We strictly prohibit retaliation against any individual who reports a concern in good faith.
  • Formal Investigation: Serious breaches are subject to a formal investigation by the Partners, which may result in a re-evaluation of business relationships and reporting to relevant legal authorities.

4. Financial and Regulatory Controls

To prevent financial non-conformance, the firm enforces the following controls:

  • Segregation of Duties: No single individual has end-to-end control over the accounts payable or payroll process.
  • Evidence of Legitimacy: All administrative fees or government payments must be supported by an official, serialized receipt; payments without proof of validity are strictly declined.
  • Audit Readiness: Accurate business records and underlying financial statements are maintained to ensure total transparency during third-party or client audits.

5. Management Review

  • Performance Reporting: We participate in periodic service review meetings with clients to discuss performance, compliance metrics, and any ongoing disputes.
  • Policy Updates: This procedure is reviewed annually to ensure it remains compliant with the UK Bribery Act 2010, the Criminal Finances Act 2017, and local jurisdictional requirements.

Authorized by: Managing Partners LD Consultores & L&A Attorneys at Law