ARTICLE
9 October 2025

Regulatory Pitfalls And How To Avoid Them

ML
McKercher LLP

Contributor

McKercher LLP is a full-service law firm with offices in Saskatchewan, Canada with roots tracing back to 1926. With over 70 lawyers and locations in both Saskatoon and Regina, we have played an integral role in Saskatchewan’s most significant commercial projects and have led litigation cases that have shaped Canadian law.
Regulated professions in Saskatchewan are governed by different legislation which sets out requirements related to membership, obligations of members and the regulator, and governance, among other things.
Canada Food, Drugs, Healthcare, Life Sciences
McKercher LLP are most popular:
  • within Food, Drugs, Healthcare, Life Sciences and Law Department Performance topic(s)
  • with Finance and Tax Executives and Inhouse Counsel
  • in Canada
  • with readers working within the Property and Law Firm industries

Regulated professions in Saskatchewan are governed by different legislation which sets out requirements related to membership, obligations of members and the regulator, and governance, among other things. However, while the legislation itself may differ, the law around what a regulator can and cannot do when a complaint is received (or self-generated) is largely consistent. As a result, similar issues tend to arise across most complaint investigations. This blog post will briefly refer to some of the common pitfalls regulators frequently face when investigating and prosecuting complaints. Legal counsel can help regulators avoid these pitfalls and their implications.

Notice & Disclosure

Notice is one of the most crucial obligations of any regulator during an investigation or disciplinary proceeding. Legislation and/or bylaws will set out notice requirements at different stages, which may include notice that a complaint was received, that an investigation committee has been formed, that a member has been charged, or that a hearing has been set.

Disclosure is another critical obligation throughout a disciplinary process, which obligations can arise from both legislation and common law. Members facing discipline must be given notice of the case they have to meet, meaning that sufficient particulars are required. As a general rule, anything an investigator relies on, along with anything on which the prosecution intends to rely, should be shared with the member and their legal counsel.

Failure to comply with notice or disclosure obligations can significantly impact the course of a complaint file, with both being common causes of delayed proceedings.

Investigation

The investigation is the "fact-gathering" stage - the investigators will obtain and review relevant documents, medical records, correspondence, metadata, audit logs, witness statements, photographs, and other relevant evidence. The complainant, direct witnesses, and the member will generally be interviewed. Investigations must be thorough and accurate, as the information gathered during this stage will determine whether charges against a member will be pursued.

Investigators should receive sufficient training and education to ensure an investigation occurs properly and in accordance with governing legislation. It is important for investigators to understand the nature of, and limits to, their authority and mandate. Where possible, investigators should receive training in investigations, conducting interviews, legal requirements for due process, disclosure, statutory interpretation, and confidentiality. A poorly conducted investigation will impact the entire course of a complaint.

Charges

Even where charges are recommended following an investigation, a reviewing committee must carefully analyze the available materials and consider whether, even if established, the facts alleged would amount to unprofessional conduct. A reviewing committee is not bound by an investigation report, and the decision to charge a member must not be taken lightly.

If a charge is laid, the wording of a charge – which set out what must be proven at a disciplinary hearing - is critical and requires legal advice.

The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.

Mondaq uses cookies on this website. By using our website you agree to our use of cookies as set out in our Privacy Policy.

Learn More