You are a professional who has been the subject of a complaint or is being investigated by your regulator. You know playing ostrich and sticking your head in the sand will not work. You wonder what you can do to avoid regulatory action or at least bargain for leniency. You consider resigning your licensure. But does resigning stop a discipline matter?
Will resigning stop discipline?
Assumption 1: “The regulator does not have the jurisdiction to pursue me if I resign my licensure”
Comment: You likely cannot avoid accountability by ceasing practice.
Nearly all regulators have express statutory jurisdiction to investigate and discipline both current and former licensees, members or registrants.
The public policy behind the legislature’s intent is to prevent professionals from avoiding investigation, remediation, discipline and publication by simply resigning.
The provisions are usually found in the definition sections, which typically read: “[registrant/member/licensee]” includes a former registrant/member/licensee for the purposes of Part __ [investigation/discipline]”.
Will the regulator leave me alone after resigning?
Assumption 2: “If I resign, the regulator will leave me alone. Everything will go away forever, or at least for a while.
Comment: Don’t count on it.
Offering to resign could possibly decrease the scale of an investigation and lead to lesser consequences, such as avoiding costly remediation or delaying it until you apply to resume practice.
The public policy rationale is that you will no longer be a potential harm to the public. Protecting the public is the regulator’s primary and overarching mandate.
Will resigning stop discipline publication on regulator’s website?
Assumption 3: “If I resign and the regulator still goes ahead, I will avoid publication on the regulator’s website”
Comment: Maybe or maybe not.
It depends on the severity of the allegation and on the statutory provisions governing each regulator. Some regulators have guidelines for publication, others determine on a case-by-case basis whether resignation will avoid publication. Various factors can come into play.
Publication is seen to fulfill the public protection mandate by deterring other professionals from taking a similar path, or by alerting the public to what can and does sometimes happen.
Can I resign and work in another jurisdiction?
Assumption 4: “If I resign and establish my practice in another jurisdiction, no one there will know.”
Comment: Regulators tend to share information.
The destination regulator’s application form will usually require you to disclose investigations and disciplinary outcomes in your departing jurisdiction and require you to consent to the departing regulator sharing such information.
Your application may be declined if you withhold consent.
While the information may not be published on the destination regulator’s website, you may be subject to restrictions or conditions as a result of your reputation in the departing jurisdiction.
We recommend you seek legal advice to assist you in weighing the advantages and disadvantages of resigning in the face of a complaint or an investigation.
Remember: If you resign, you may not get back in.
If you are working in a self-regulated profession and need help with a regulatory or administrative matter, Acumen Law can help. Call us for a free consultation at 604-685-8889.