Category: News

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

Many regulators are permitted to require registrants to pay some or all of the costs of a discipline hearing if a finding is made against