Author: Bernie LeBlanc

Respecting the Rules

Hearing tribunals can make rules of procedure for parties to follow. While tribunals sometimes consult on changes to their rules, they alone have the authority

Read More »

Drawing the Line

Not every imprudent action by a registrant constitutes professional misconduct. At some point the conduct is “an understandable error” or “too trivial” to reach that

Read More »

Beware of Expedited Processes

Regulators, understandably, wish to avoid the legal complexity and expense of discipline hearings whenever possible. For example, many regulators can administratively suspend or revoke the

Read More »

Cooperating with the Police

The subject of when regulators should cooperate with police investigations raises complex policy and legal issues. On a policy level, regulators can be criticized for

Read More »

Withholding Disclosure

In recent decades, procedural fairness generally requires disclosure to the parties of the information that is before the decision maker. Otherwise, it is challenging for

Read More »