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Complaints against LSO Benchers, Employees and Licensee Adjudicators

All regulatory complaints (received by Complaints & Compliance in the Law Society’s Client Service Centre) which are made against licensees who are:

  • benchers or employees of the Law Society; or
  • adjudicators appointed to the Law Society Tribunal

are transferred to Professional Regulation Intake & Resolution for assessment.

Where the complaint is not serious and is unlikely to result in formal or informal regulatory sanction, with the Executive Director of Professional Regulation's instruction, the complaint may be assigned to Law Society staff for processing in the normal course.

The Executive Director of Professional Regulation may decide to retain outside counsel to assess the complaint or to investigate, in consultation with the Treasurer.

Where it is determined that the complaint raises more serious allegations which, if supported by the evidence would lead to a "found" complaint requiring formal regulatory proceedings, or a referral to the Proceedings Authorization Committee, the Executive Director will retain an outside investigator in consultation with the Treasurer. ("Found" complaints are complaints in which a breach was found as a result of an investigation.)

On completion of his or her investigation, the outside investigator is required to provide a report to the Treasurer and the Executive Director of Professional Regulation.  If the recommendation is that the matter should close without referral to the Proceedings Authorization Committee, and the Treasurer and the Executive Director both agree, the case will be closed.  Where any one of the investigator, the Treasurer or the Executive Director are of the view that the case should be reported to the Proceedings Authorization Committee (PAC), the investigator is required to prepare and present a report to the PAC.

The Executive Director will provide the Treasurer with a regular report on all ongoing regulatory investigations of licensees who are benchers or employees of the Law Society or adjudicators appointed to the Law Society Tribunal.

In the appropriate case, the Executive Director may also refer such a complaint to the Complaints Resolution Commissioner for resolution where the matter concerns a complaint of a less serious nature.

All persons involved in application of this policy must be mindful of conflicts of interest and shall not act in the event of a conflict. 

If a regulatory complaint is received about the Executive Director of Professional Regulation, the Chief Executive Officer will assume the role of the Executive Director, for the purpose of instructing the investigation under By-Law 11. 

If a regulatory complaint is received about the Chief Executive Officer, the Treasurer will refer the complaint to an outside investigator for review, assessment, and or investigation as required, and provide direction to the Executive Director.

If a regulatory complaint is received about the Treasurer, the Chair of the Audit and Finance Committee will act as Treasurer, in accordance with the provisions of By-Law 3, for the purpose of this policy, and provide direction to the Executive Director.  

Notwithstanding the provisions of this policy, if a regulatory complaint is received about any of the Executive Director of Professional Regulation, the Chief Executive Officer or the Treasurer, the complaint shall be referred to an outside investigator for review, assessment and /or investigation as required.