Professional regulators are organizations that regulate
professions, usually under the authority of legislation which
provides jurisdiction and powers to enforce their governing
legislation. Most regulators have powers of investigation, which
are an important tool for fulfilling their statutory mandate to
govern their respective professions in the public interest. The
professionals who are governed by a regulator may be called
different names depending on the regulator, including
"member", "registrant", and
"licensee". In this blog, we will use the term
"registrant", although your regulator may use another
term.
Regulators often communicate with registrants informally as a
first step in determining whether further investigation is needed.
Responding appropriately to an initial inquiry by regulators can
sometimes nip a concern in the bud. If a formal investigation
occurs, the regulator's investigative or screening committee
decide whether there is enough evidence
