What to Expect in a Regulatory Investigation or Disciplinary Hearing
For regulated professionals in Ontario, few situations are more stressful than receiving notice of a regulatory investigation or disciplinary hearing. These processes can feel daunting, but understanding what to expect can help you prepare and respond effectively.
Why regulatory investigations happen
Regulators are mandated to protect the public interest and maintain confidence in the profession. Investigations may be triggered by client complaints, mandatory reports, or concerns identified during audits.
The investigation process
Once an investigation begins, you can expect several steps:
Notice of complaint, concern, or investigation: The regulator will inform you in writing of the issue under review and may set deadlines for an initial response. This notice will likely also outline the potential dispositions available to your regulator as a consequence of the concerns raised.
Requests for information and documents: You may be asked to provide records, policies, or correspondence. These requests are not optional; there is generally an ongoing duty to cooperate with your regulator. At the same time, it’s important to understand the scope of what’s being requested and to respond strategically.
Interviews and statements: Investigators may request an interview with you and others involved. Having legal representation present helps ensure questions are answered appropriately without oversharing or undermining your position.
Interim measures: In some cases, regulators may impose temporary restrictions on your practice during the investigation.
Preliminary findings: Once the fact-finding stage is complete, the regulator will decide whether the matter can be resolved or should proceed to a disciplinary hearing.
Disciplinary hearings
If the investigation identifies serious concerns, the matter may move to a disciplinary hearing. These hearings are formal and can result in a range of outcomes, including cautions, fines, practice restrictions, suspensions, or even revocation.
How to protect yourself
Seek legal advice early. Having representation from the start ensures your rights are protected and that your responses are tailored to the specific issues raised.
Cooperate, but strategically. Regulators expect transparency and responsiveness, but a lawyer can help you frame your responses appropriately and avoid unintentional admissions.
Don’t ignore the process. It can be tempting to hope the matter will go away on its own, but regulatory investigations do not simply disappear. Failing to engage can make the situation worse and may even lead to additional consequences.
Be thorough and organized. Keep detailed records, gather relevant documents, and prepare with care.
Dover Legal’s approach
We support professionals through every stage of the regulatory process, from initial investigations to hearings. Our goal is to minimize stress, safeguard your licence, and resolve matters fairly and efficiently.
If you’ve received notice of an investigation, connect with us today to discuss your options.