Mastering Regulatory Inspections and Investigations
Author(s): Ontario Bar Association
Publication Date: February 2019
Format: shipped (hardcopy), download (PDF)


Description
Many regulators, whether responsible for the regulation of professions, trades or consumer protection, have the authority to conduct both routine examinations and inspections, as well as investigations of alleged misconduct. How do these processes differ from one another? What should counsel be aware of when an inspection transitions into an investigation?

Whether you represent investigating bodies or subjects of investigations, join us to explore the intricacies of this unique legal area, and gather valuable best practices to enhance your expertise.

PROGRAM CHAIR

David Demirkan, Barrister & Solicitor

TABLE OF CONTENTS

Review of Key Recent Jurisprudence
Bernard LeBlanc, Steinecke Maciura LeBlance

Overview of Administrative Law
Brian Osler, Ontario Motor Vehicle Industry Council

An Overview to Handling an Investigation: Defence Counsel's Perspective
Elyse Sunshine, Rosen Sunshine LLP

Regulatory Inspections and Investigations: The Differences and Practical Considerations
Shelly Feld, Mutual Fund Dealers Association of Canada

Procedural Fairness in the Regulatory Process
Shelly Feld, Mutual Fund Dealers Association of Canada

Real World Insight: Regulator, Inspectors and Counsel Speak
Michael Denyszyn, Ontario Securities Commission

Applications and Inspections and Relevant Cases
Aviva R. Harari, Alcohol and Gaming Commission of Ontario

Real World Investigations Insights
Bruce G. Matthews, Consulting Engineers of Ontario

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