Regulation Pro Blog

In what circumstances can a regulator be required to stop an investigation? That issue came up in Morabito v. British Columbia (Securities Commission), 2022 BCCA

A basic principle is that a person should not be punished twice for the same fault. However, that principle tends to be applied quite narrowly

In Alberta Securities Commission v Hennig, 2021 ABCA 411 (CanLII), https://canlii.ca/t/jl93g, Alberta’s highest court took a narrow view as to when disciplinary sanctions of a

The Professional Standards Authority (PSA), the oversight body for health and social care regulators in the UK, has recently published a reflective blog on its

A common legal phrase is that an individual “knew or ought to have known” of certain events. In discipline matters, intentional misconduct generally attracts a

Regulators safeguard highly confidential information in two respects. The first is within the administration of their own operations where there is typically a significant duty

One increasingly popular mechanism for regulators to allocate resources and avoid subjecting registrants to unnecessary stress is to decline to investigate complaints that are frivolous,

A recent Alberta case reaffirms that regulators with the authority to compel information from registrants can require a registrant to give the regulator a copy

One of the most difficult tasks for a discipline panel is assessing the credibility of witnesses, particularly in sexual misconduct cases where most of the