Regulatory discipline begins with a complaint, which can come from a client, the public, another professional, or be initiated by the regulator itself. There is no requirement that the complainant be personally harmed; protecting the public is the goal.
Typical flow:
- Intake / screening, the complaint is received (often by the Registrar) and screened. Frivolous, vexatious, or out-of-jurisdiction matters may be dismissed early.
- Investigation, a matter with substance goes to the Investigation Committee, which gathers evidence. Investigators typically have strong statutory powers: to demand documents and records, interview witnesses, and require the member's cooperation. A member who refuses to cooperate may themselves face discipline.
- Disposition by the committee, after investigating, the committee may dismiss the matter, resolve it informally (e.g., a caution, an agreed undertaking, or stipulated order), or refer it to a formal discipline hearing.
🧠 Memory hook: Complaint → Screen → Investigate → Decide (dismiss / resolve / refer). Investigation gathers facts; it does not itself impose major penalties like revocation.
A key trap: the investigation stage does not determine guilt or strip a licence on its own. Serious sanctions require the discipline stage with its hearing, keep the two committees distinct.