Engagement practices that protect you and your client
Good client engagement practices help protect both you and your client.
There is no single approach to client engagement that will suit every adviser or client. However, a few practices can help make engagements clearer and reduce the risk of misunderstandings.
The suggestions below are intended as practical prompts to support clear communication, good record-keeping, and professional boundaries throughout the engagement.
Make the written agreement a real conversation
One useful way to approach the written agreement is to treat it as more than a form to be signed. Talk the client through all significant matters before they accept, so they have a chance to ask questions.
Clear language, explanations of unfamiliar terms, and checking that the client understands what they are agreeing to can all help.
Areas that may need particular attention include:
- the scope of services
- fees
- payment arrangements
- likely timeframes
- anything that will not be included.
It may also help to tailor both the agreement and the explanation to the client’s circumstances rather than relying solely on a standard template.
Time and money are common sources of misunderstanding, so they may need extra care. Where a timeframe depends on Immigration New Zealand or another decision-maker, explaining that uncertainty can help set expectations.
Keeping a brief record of how significant matters were explained and accepted can also be useful. If something changes during the engagement, record the change and confirm everyone’s agreement in writing. This can help keep the engagement on track.
Keep a clear record
Important conversations will arise throughout an engagement.
It can be helpful to confirm the following in writing:
- material discussions
- advice provided
- client instructions
- key decisions
- significant developments or changes.
This gives both parties a clear record to refer back to and can help reduce the risk of misunderstandings or different recollections later.
Set realistic expectations
Clients may be hopeful about the outcome or expect things to move quickly.
It can help to talk openly about:
- the strengths and risks of the matter
- any information that is still needed
- parts of the process that are outside the adviser’s control.
Avoid guaranteeing outcomes. Let the client know promptly if advice, costs, or expected timeframes change to help maintain trust.
Handle client information with care
Clients share sensitive personal information and may benefit from a clear explanation of how it will be used.
It can help to:
- keep records securely
- discuss confidentiality when other people are involved
- obtain written consent before disclosing information where required.
Where an employer, family member, or other intermediary is paying for or assisting with the service, it can also help to be clear about:
- who the client or clients are
- whose instructions are being acted on.
These steps can help support a sound engagement.
Invite questions and deal with concerns early
Making it easy for clients to ask questions or raise concerns can help identify misunderstandings early.
If a concern is raised:
- listen carefully
- respond promptly
- use your internal complaints procedure where appropriate.
These steps may help resolve issues before trust breaks down.
These suggestions can be adapted to suit different practices and client circumstances, provided the requirements of the Code of Conduct are met.
Used consistently, they can help:
- clients understand the service they are receiving
- advisers meet their obligations under the Code
- both parties maintain a clear record of the engagement.