What to do if you receive a complaint to your regulatory body

Published By: ryanbreedon

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Navigating the world of professional regulations can be daunting, especially if you are the subject of a complaint. If you are a professional in Ontario and you receive a complaint to your regulatory body, it’s essential to handle the situation with care, diligence, and the right legal advice. Here’s a step-by-step guide to help you through the process:

1. Don’t Panic

Receiving a complaint can be overwhelming, but it’s essential to stay calm. Remember that a complaint does not automatically mean you’ve done something wrong. Many professionals will encounter complaints at some point in their careers, and there are processes in place to address and resolve these matters fairly.

2. Read the Complaint Carefully

Understand the specifics. Know who has lodged the complaint, the nature of the allegations, and any evidence they’ve presented. This will help you assess the situation better and decide the subsequent steps to take.

3. Do Not Contact the Complainant

It might be tempting to reach out and clear the misunderstanding or dispute, but this could complicate matters. Refrain from discussing the complaint with the complainant. Let the formal process take its course.

4. Gather Relevant Documentation

Start by collecting and preserving all pertinent documents, communications, and records related to the complaint. This evidence will be critical in helping your defence and presenting your side of the story.

Having said this, do not go and seek records not already in your possession (for example, hospital records or records from a subcontractor) without first speaking with a lawyer.

5. Seek Legal Counsel

Before you respond, it’s advisable to consult with a lawyer with experience in professional regulatory law. They can guide you on how to draft a response, advise you on the potential implications, and represent you if necessary.

6. Craft a Thoughtful Response

With the help of your lawyer, draft a response that is concise, factual, and addresses the concerns raised in the complaint. Stick to the facts, avoid being defensive, and ensure you comply with any timelines set by the regulator.

7. Stay Informed and Engaged

Keep yourself informed about the regulatory process. Attend all meetings, hearings, or interviews you are required to, and collaborate closely with your lawyer.

8. Understand Possible Outcomes

Depending on the severity and nature of the complaint, there could be several outcomes ranging from a dismissal of the complaint, mediation, a reprimand, to more serious consequences like suspension or revocation of your license. Understanding these possibilities helps set expectations.

9. Consider Mediation

In some instances, your regulatory body might offer mediation as an option. This can be a less confrontational way to resolve disputes, so consider it if it’s appropriate and available.

10. Reflect and Learn

Regardless of the outcome, take this experience as an opportunity to reflect on your professional practices. Continuous learning and improvement are vital in any profession.


While receiving a complaint can be stressful, being proactive and informed can greatly ease the process. By securing appropriate legal counsel, you can ensure you navigate the regulatory landscape efficiently and protect your professional interests. Remember, you’re not alone in this, and with the right approach, most professionals emerge from such experiences stronger and more informed.

We’re ready to take on the challenge.

From our office in downtown Barrie, we provide legal services to clients across Ontario. We are skilled trial lawyers practicing in the area of civil litigation and are available to assist you with your case.

Our initial consultation, whether it be in person or by Zoom, is always free. Call our office to schedule a meeting.

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