Guidelines for Professional Regulation Staff

One of the Law Society's foremost responsibilities as regulator of Ontario's legal professions is to provide a transparent, fair and principled complaints process. 

 In support of this responsibility, there are Operational Guidelines for staff in Professional Regulation. The guidelines assist Law Society regulatory staff in making day-to-day decisions about their work.  The guidelines provide information including service standards, communication responsibilities and risk assessment tools to aid regulatory staff to meet high service and procedural standards. 

These guidelines are publicly available, as listed below. Additional guidelines will be published in the future.   

  • Guideline - Third Party Complaints
    Third party complaints are complaints received from individuals other than clients of the licensee.  There are a number of factors to consider when responding to and/or investigating third party complaints.
  • Guideline - Concurrent Proceedings
    Criminal investigations, civil litigation, or disciplinary investigations by another Law Society are examples of concurrent proceedings.  There are a number of factors to consider when deciding whether to investigate the complaint or defer investigation while the other matter proceeds.   


About Professional Regulation  

The Professional Regulation division is responsible for the resolution, investigation and prosecution of complaints against licensees, within the jurisdiction provided under the Law Society Act (LSA).   

Under the direction of the Director of Professional Regulation, Professional Regulation Divisional staff carry out a variety of activities, including working with complainants and licensees to resolve complaints and to investigate licensee conduct.  In conducting prosecutions, Divisional staff represent the Law Society before Hearing and Appeal panels.  Staff are also responsible for monitoring and enforcing court and Hearing Panel orders and undertakings from licensees.   

The Professional Regulation Division also includes Trustee Services, Unclaimed Trust Fund Services and the Compensation Fund.