Regulatory and Administrative Law Expertise

SPBarristers provides comprehensive representation in regulatory proceedings, professional discipline matters, and administrative law disputes. Our lawyers have extensive experience navigating the complex world of regulatory compliance and enforcement, representing both individuals and organizations before various regulatory bodies and administrative tribunals.

Areas of Regulatory Practice

Professional Discipline and Licensing

We represent professionals facing disciplinary proceedings before regulatory colleges and licensing bodies, including:

• Law Society of Ontario disciplinary proceedings
• College of Physicians and Surgeons investigations and hearings
• Professional Engineers Ontario (PEO) discipline matters
• Real Estate Council of Ontario (RECO) proceedings
• Financial services regulatory matters
• Other professional regulatory bodies

Securities and Financial Regulation

Our team handles complex securities law matters, including:

• Ontario Securities Commission (OSC) enforcement proceedings
• Investment Industry Regulatory Organization of Canada (IIROC) matters
• Mutual Fund Dealers Association (MFDA) proceedings
• Financial Services Regulatory Authority of Ontario (FSRA) matters
• Insider trading and market manipulation allegations
• Disclosure and continuous disclosure violations

Environmental and Health & Safety Regulation

We provide representation in environmental and occupational health and safety matters:

• Ministry of Environment, Conservation and Parks prosecutions
• Ministry of Labour, Training and Skills Development proceedings
• Environmental compliance orders and director's orders
• Workplace safety violations and prosecutions
• Environmental assessment and permitting disputes

Competition and Consumer Protection

Our lawyers handle matters involving:

• Competition Bureau investigations and proceedings
• Consumer protection enforcement actions
• Advertising and marketing compliance issues
• Price fixing and market allocation allegations
• Merger review and competition law compliance

Our Regulatory Litigation Approach

Early Intervention and Strategic Planning

We believe that early intervention is crucial in regulatory matters. Our approach includes:

• Immediate assessment of regulatory exposure and potential consequences
• Development of comprehensive defense strategies
• Coordination with internal compliance teams and management
• Strategic communication with regulatory authorities

Investigation Response

When regulatory investigations commence, we provide:

• Guidance on document preservation and production
• Preparation of witnesses for interviews and examinations
• Representation during regulatory inspections and searches
• Negotiation with investigators and enforcement staff

Hearing and Tribunal Representation

Our experienced advocates represent clients in formal proceedings, including:

• Administrative hearings and disciplinary proceedings
• Settlement conferences and mediation
• Appeals to divisional court and appellate courts
• Judicial review applications

Compliance and Risk Management

Beyond litigation, we assist clients with:

• Regulatory compliance audits and assessments
• Development of compliance policies and procedures
• Training programs for management and staff
• Ongoing regulatory monitoring and advice

Understanding Administrative Law

Regulatory proceedings operate under different rules and standards than criminal courts. Key differences include:

• Lower burden of proof (balance of probabilities vs. beyond reasonable doubt)
• Different rules of evidence and procedure
• Administrative penalties in addition to or instead of criminal sanctions
• Professional and reputational consequences
• Ongoing regulatory oversight and compliance requirements

Our lawyers understand these distinctions and tailor our approach accordingly, ensuring that our clients receive effective representation that addresses both the immediate proceedings and long-term regulatory relationships.

If you are facing a regulatory investigation or proceeding, contact SPBarristers for experienced representation that protects your professional standing and business interests.