Your rights during a disciplinary investigation : what every professional needs to know

Published on April 06, 2026

A disciplinary investigation can arise at any point in a professional career. It does not mean that a fault has been committed. However, it must be taken very seriously from the outset. At Gaucher Ross Avocats, we regularly assist professionals facing this type of procedure. Acting quickly and surrounding yourself with the right advice can therefore make all the difference in protecting your licence and your reputation.

Comment se préparer à une enquête disciplinaire en milieu professionnel

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Being the subject of a disciplinary investigation can be a stressful experience. This is true for any professional, regardless of their field.

In this article, we present the basic principles of a disciplinary investigation. You will also learn about the rights available to protect yourself.

The triggering of an investigation

A disciplinary investigation generally begins following a complaint from the public. It can also be triggered by a report or an internal review. In the field of real estate brokerage, for example, the OACIQ is responsible for overseeing the conduct of licence holders. Similarly, each professional order has a disciplinary body. Its objective is to oversee professional practice.

The investigation aims to determine whether the professional has breached their ethical or legal obligations.

Example : a broker could be investigated for failing to disclose a known defect. They could also be targeted for having exerted undue pressure during a transaction.

The right to be informed

As soon as an investigation is opened, you have the right to be informed. In particular, you must be made aware of the nature and subject matter of the procedure. Certain elements may remain confidential at this stage. However, you must understand the general nature of the allegations made.

This information is essential. It allows you to adequately prepare your response.

The right to cooperate… with caution

Professionals have an obligation to cooperate with their order or regulatory body. This means you must respond to requests for information. You must also provide the required documents.

However, cooperating does not mean waiving your rights. It is therefore strongly recommended to consult a lawyer before providing a statement or documents. This way, you will avoid compromising your position.

Example : an agent contacted by an OACIQ syndic might be tempted to quickly answer all questions. However, certain answers could be misinterpreted or incomplete. This could harm their subsequent defence.

The right to legal assistance

You have the right to be accompanied and advised by a lawyer at every stage of the investigation. This right is fundamental, particularly when the stakes for your career are significant.

A lawyer can notably :

  • Help you understand the allegations
  • Prepare your responses
  • Ensure that your rights are respected
  • Intervene with the investigator if necessary

Respect for procedural fairness

Even though the investigation is administrative in nature, it must comply with certain principles. These are notably the principles of procedural fairness. This includes :

  • An impartial process
  • The absence of hasty conclusions
  • An objective analysis of the evidence
If these principles are not respected, this can have a significant impact. Indeed, the validity of subsequent proceedings could then be called into question.

The outcome of the investigation

At the end of the investigation, several outcomes are possible :

  • No further action : the file is closed;
  • Administrative measures : warning, recommendation, training;
  • Filing of a disciplinary complaint : the file is referred to the discipline committee.
In the latter case, a formal legal procedure is initiated. It can thus lead to significant disciplinary sanctions. These include fines, suspensions, or even revocation of the licence.

The importance of acting quickly

Too often, professionals wait for the situation to deteriorate before seeking advice. Yet a prompt intervention can make a significant difference.

Concrete example: a broker who poorly documented a purchase offer file could correct certain shortcomings at the investigation stage. They could also provide satisfactory explanations. This could thus prevent the filing of a formal complaint.

Conclusion

A disciplinary investigation does not necessarily mean that a fault has been committed. It must nonetheless be taken very seriously. Indeed, your statements, your actions, and your strategy from the outset can have a decisive impact on the outcome of the file.

Whether you are a real estate broker or agent, knowing your rights is essential. It is equally important to surround yourself with the right advice to protect your reputation and your licence to practise. In the event of proceedings, consulting a lawyer from the very first steps remains the best approach. Our firm will support you in ensuring an effective and structured defence.

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