Understanding Regulatory Defence: What You Need to Know
Regulatory complaints and investigations can be stressful, complex, and potentially career-altering. Whether you're a professional facing a complaint to your College or navigating questions about your conduct, regulatory defence isn’t just about responding — it’s about protecting your licence, reputation, and livelihood.
At Dover Legal, I help professionals approach regulatory matters with strategy, clarity, and confidence.
What is Regulatory Defence?
Regulatory defence involves representing individuals who are licensed or governed by professional regulators. These cases usually arise from complaints or concerns about conduct, competence, or record-keeping and are handled by your profession’s oversight body.
For example, a regulated professional might receive notice of a complaint to their College about an alleged boundary violation, billing practice, or patient interaction. These cases often unfold before formal tribunals or discipline committees and can result in penalties ranging from cautions to suspension or revocation of a licence.
As a regulated professional, you have rights — but you also have responsibilities. My job is to help you navigate both.
How I Help
I represent clients at all stages of the regulatory process, including:
Early response and strategy
Written submissions and disclosure review
Pre-hearing negotiations
Advocacy before discipline panels or fitness-to-practise hearings
Guidance on reputational impact and next steps
I take a client-centred approach — balancing legal precision with a focus on your professional identity, mental well-being, and long-term career.
Why Early Advice Matters
Too often, professionals wait until a matter is scheduled for a hearing before seeking legal advice. By that point, the regulator may have already formed its view of the situation.
Early legal advice can help you:
Understand the scope of the concern
Avoid common procedural missteps
Frame your response in a way that respects both your legal rights and professional obligations
Even if you're uncertain whether a situation will escalate, it’s often worth a short consultation to understand your options.
I Understand the Landscape
Before launching Dover Legal, I worked extensively as legal counsel representing regulated health professionals before various Colleges in Ontario. I’ve defended clients in civil, regulatory, and criminal proceedings — including contested hearings before discipline panels and judges in both judge-alone and jury trials.
That experience has taught me not only how to prepare a strong defence, but how to support clients through the emotional toll of being under investigation. My goal is to help you get through the process with clarity, dignity, and a plan.
Get in Touch
If you’ve received notice of a complaint, investigation, or hearing — or if something just doesn’t feel right — let’s talk. I offer clear, respectful advice tailored to your profession and your priorities. Connect with us today.