Purpose of an investigation

One of the basic responsibilities of a self-regulatory body is to carry out investigations into the conduct of Industry Members and take disciplinary action when necessary. Industry Members are licensed real estate brokers, associate brokers, associate managing brokers, and salespeople.

What the Commission investigates

The Commission investigates conduct that is deserving of sanction. Click this article to learn more.

How does the Commission determine whether the conduct is “conduct deserving of sanction”?

The Commission carries out investigations to gather evidence that helps in deciding whether an Industry Member's conduct is deserving of sanction. Assessment of conduct is based on all the facts and circumstances at the time of the conduct and may take into account:

What is not considered “conduct deserving of sanction”?

Isolated, trivial or technical breaches of the standards of business practice devoid of significant consequences are not considered conduct deserving of sanction.

Who the Commission investigates

The Commission investigates the conduct of licensed Industry Members. This includes real estate brokers, associate brokers, associate managing brokers, and salespeople.

Does the Commission investigate unlicensed individuals?

The Commission will only investigate unlicensed individuals if the individual was required to hold a licence for the activities in which they engaged. For example, the Commission would investigate an individual who listed your house but was not licensed as an Industry Member.

Understanding the investigation process

The Commission investigations are conducted according to a formal process based on the requirements of the Real Estate Trading Act and the principles of natural justice (which promote fairness throughout the process).

What happens if I don't want my contact information provided to the Industry Member?

If you do not want your phone number, address and other contact information provided to the Industry Member, the Commission will keep it confidential at your request.

Is the same process followed in every case?

Every effort is made to follow the standard investigation process described above. However, there are some circumstances where the standard investigation process will not be followed. Examples include situations where:

How long does an investigation take?

Each investigation is different and the time required depends on the circumstances of the case. imeliness of an investigation is a common concern, as Industry Members and complainants usually want to deal with the issue as quickly as possible—but the due process required under the Real Estate Trading Act and the principles of natural justice take time.

Is an investigation conducted on behalf of me (the complainant)?

While investigations are often initiated by complaints, investigations are not done on behalf of complainants. The Real Estate Trading Act names the Registrar as the person responsible for conducting the investigation to determine whether there is sufficient evidence of conduct deserving of sanction at the conclusion of the investigation.

Collecting information and protecting confidentiality

Is information gathered during an investigation confidential? Information that is gathered by the Commission during an investigation is shared only as far as the investigation process requires it to be or when required by a law of Canada.

Will my conversations with the investigator be recorded?

The Commission may electronically record interviews with complainants and other witnesses. This ensures the integrity of the investigation by providing an actual record of what was said rather than relying on an investigator's interpretation, recollection or notes.

What is a solicitor-client privilege waiver?

The Commission often requires information pertaining to your complaint that is maintained by your lawyer. For example, your lawyer has copies of documents related to the sale of your house. In situations where your lawyer has documents or information related to your complaint that you do not possess, the Compliance Officer may request a solicitor-client privilege waiver. The waiver allows the Compliance Officer to speak directly to your lawyer only about information specifically related to your complaint. This often improves the efficiency of an investigation.

Will I be informed about the outcome of an investigation?

Complainants will be informed in writing of the outcome if the file is closed or if the Industry Member was issued an administrative penalty.

Is there anything I can do if I disagree with the outcome of an investigation?

If the file is closed and no further action is taken by the Commission following an investigation, complainants who disagree with that decision have the right to appeal to the Complaint Review Committee by providing written notice to the Registrar.

Are disciplinary decisions confidential?

All enforcement actions (for example, a hearing) are published in the Commission's newsletter, in accordance with the Commission's policy.