Author: Rebecca Durcan

Most regulators screen complaints and reports as they arrive to assess the degree of risk presented and to prioritize matters appropriately. The UK regulator for

When Cary Coglianese sits back and reflects, regulators sit up and listen. Coglianese is the Edward B. Shils Professor of Law and Professor of Political

It is typical for a registrant to be suspended if they do not pay their fees on time. Usually, their registration is eventually revoked if

What can a tribunal do when one of its former members discloses to outsiders confidential information about its internal processes? The Court in Derenzis v

Two of the more challenging issues with which discipline tribunals cope are determining whether a registrant’s conduct fell below accepted standards of practice and, where

In registration matters, regulators often ask for additional information to support the application. Often the application is considered incomplete until all of the requested information

Balancing a regulator’s duty of transparency against a registrant’s interest in privacy can often be challenging. Perhaps none would be more daunting than the balancing

In civil litigation a party who achieves an outcome in court that is equal to or better than a previous offer to settle the proceedings

In discipline matters, abuse of process claims are generally premised on excessive delay and require prejudice to the registrant to result in a stay of

In a discipline hearing, procedural fairness is intended to ensure that the registrant knows the concerns and has a full opportunity to respond to them.