Regulatory Proceedings (Discipline) in Ontario

A Comprehensive Guide

In Ontario, regulatory bodies play a crucial role in overseeing and maintaining professional standards in various industries. These bodies are responsible for ensuring that individuals within regulated professions adhere to specific codes of conduct and ethics. When a professional is alleged to have violated these standards, regulatory proceedings are initiated to address the matter and determine the appropriate disciplinary action. This article explores regulatory proceedings and disciplinary actions in Ontario.

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Regulatory proceedings in Ontario are designed to protect the public interest by maintaining high standards of competence and ethical behavior among professionals. Each regulated profession has its own regulatory body, such as the Law Society of Ontario, the College of Physicians and Surgeons of Ontario, or the Ontario College of Teachers. These bodies are empowered by legislation to investigate complaints, conduct hearings, and impose disciplinary measures if necessary.

Complaints against professionals in Ontario can be initiated by various parties, including clients, employers, colleagues, or even the regulatory body itself. The complaints may involve allegations of professional misconduct, incompetence, or other breaches of the regulatory requirements. Upon receiving a complaint, the regulatory body will initiate an investigation to gather evidence and determine whether there are grounds for disciplinary action.

During the investigation process, the regulatory body has the authority to compel the production of documents, interview witnesses, and gather any other relevant evidence. The professional who is the subject of the complaint is entitled to procedural fairness, which includes the right to be informed of the allegations, the right to respond, and the right to legal representation. The investigation is conducted impartially and with due diligence to ensure a fair and thorough examination of the facts.

If the investigation reveals sufficient evidence of wrongdoing, the regulatory body may proceed to a disciplinary hearing. The hearing is typically conducted before a tribunal or a panel of members appointed by the regulatory body. At the hearing, both the complainant and the professional facing allegations have the opportunity to present their case, call witnesses, and submit evidence.

The disciplinary hearing follows a quasi-judicial process, where the rules of evidence and procedure apply. The tribunal or panel will assess the evidence presented and make a determination on whether the allegations have been substantiated. If the allegations are found to be true, the tribunal has the power to impose various disciplinary actions, depending on the severity of the misconduct.

The disciplinary actions that can be imposed in Ontario include reprimands, fines, mandatory education or training, restrictions on practice, suspension, and even revocation of professional licenses. The purpose of these measures is to protect the public and uphold the integrity of the profession. The severity of the disciplinary action depends on factors such as the nature and seriousness of the misconduct, any previous disciplinary history, and the potential for harm to the public.

Following the disciplinary decision, both the complainant and the professional have the right to appeal the decision to a higher authority, such as a divisional court. The appeals process provides an additional layer of scrutiny to ensure the fairness and correctness of the disciplinary decision.
In conclusion, regulatory proceedings and disciplinary actions in Ontario are essential mechanisms for maintaining professional standards and protecting the public interest. These processes ensure that professionals are held accountable for their actions and that appropriate measures are taken when violations occur. By upholding the integrity of regulated professions, Ontario’s regulatory bodies play a vital role in safeguarding public trust and confidence in various industries.


Legal Solutions will assist with your Regulatory Proceeding case. We represent clients with tribunal proceedings against the Law Society of Ontario, the College of Physicians and Surgeons, the Ontario College of Teachers, etc. Many of these cases involve discipline proceedings, conduct hearings and/or good character.


We regularly represent lawyers and paralegals before the tribunal. Our most recent success was representing Alka Singh, a paralegal who needed to pass the good character requirement to become a paralegal in Ontario. After losing the original hearing where we did not represent her, Legal Solutions (lawyer Ryan Manilla) was retained for the appeal.  The appeal decision was released in May 2023 and we were successful in a 5-0 tribunal decision setting aside her lower tribunal loss. It is very rare and difficult to win at the tribunal against the Law Society of Ontario. Legal Solutions was able to do just that and Ms. Singh is very happy with the victory. Attached is a copy of the appeal tribunal decision and an article written regarding Ms. Singh’s case.

Legal Solutions is happy to assist you in whatever discipline proceeding, conduct hearing and/or good character situation you are facing. Contact us for a free consultation.

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