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What are Regulatory Offences?

We live in a highly regulated society. Almost every activity, business, and industry is regulated by our government. Regulatory offences arise from non-compliance or breaches of the rules of lawful, regulated activities. Regulatory offences may be investigated by federal, provincial, or municipal agencies and governments. For example, the Occupational Health and Safety Act and its regulations have the goal of making workplaces in Ontario safe. If a worker is injured in Ontario or if a company has failed to meet safety standards, both individuals and corporations can be prosecuted. Penalties for non-compliance or breaches can include significant financial penalties and jail, either of which could jeopardize your business and reputation.  

You should seek immediate legal assistance if you believe that you or your company is being investigated for regulatory offences or breaches of your industry’s regulations. While not criminal offences, regulatory offences share the same procedures for prosecution and can often include the same penalties as criminal offences, such as period of imprisonment, fines, probation orders, and victim-fine surcharges. Regulatory offences differ significantly from criminal offences in that the prosecution is often only required to prove that an incident happened, whether it was intentional or not. The onus often shifts to the company or individual to prove that, despite the occurrence of the incident, it exercised due diligence.  

Regulatory Compliance Lawyers for Ontario

The risk of imprisonment aside, there are numerous reasons to consult with a lawyer if you are being investigated by a regulatory agency. There can be complex procedural and evidentiary issues that you and your company should not navigate without the assistance of a lawyer. Investigators can execute search warrants at your company’s office, obtain production orders for records from your financial institutions and business partners, and seek to interview your employees and clients. In order to successfully defend against a prosecution, you or your company may be required to prove due diligence, and demonstrate that all reasonable steps were taken to prevent an offence.

The lawyers at Damien Frost & Associates LLP are experienced litigators, familiar with the investigation and prosecution of regulatory offences. We can help you protect your business and reputation, whether you are currently being investigated or you are looking to ensure that day never comes. We often provide strategic advice and assistance to individuals and organizations, including owners, officers, and directors on the following areas:   

  • Regulatory and quasi-criminal offences
  • Risk assessment and compliance
  • Investigations, search warrants, and production orders
  • Due diligence (due diligence audits)
  • Legal Advice for Officers, Directors, and Corporations

Regulatory Investigations and Defence Lawyers

You should not wait for, or simply react to a regulatory investigation. The best way to protect your company and reputation is to take steps before a regulatory investigation occurs. In many cases, there does not have to be any intentional or bad conduct to trigger an investigation. Some regulatory investigations are triggered by virtue of an act occurring beyond your control. The best defence to any regulatory investigation is to have proof that you and your company exercised due diligence.

The lawyers at Damien Frost & Associates LLP are here to assist you in auditing your company’s due diligence systems, which are intended to prevent the occurrence of any non-compliance or regulatory offence. If you are being investigated as a result of a breach or incident, it will be too late to start working on a due diligence plan. Systems and procedures must be in place prior to any incident of non-compliance. If you or your company does not have a system in place, let us help you determine what steps can be taken to protect you.

Contact Us For Your Free Consultation.

Our lawyers have extensive knowledge and insight into the investigation and enforcement of regulatory offences. Whether you operate a small business or a multinational corporation, regulatory investigations and proceedings can significantly impact your business. Even if you are not the target of a regulatory investigation or prosecution, the decisions you make with respect to risk assessment and compliance can make or break your business. We provide businesses with legal advice and strategies to ensure compliance with federal, provincial, or other regulatory bodies. Being proactive is the best way to ensure that your business complies with regulations. Non-compliance with regulations and applicable laws can cause serious harm to your reputation and business. 

As experienced litigators, we defend businesses and individuals from serious and complex regulatory prosecutions, such as offences under the Provincial Offences Act, Occupational Health and Safety Act, and others. Don’t wait for incidents of non-compliance to occur. Contact the lawyers of Damien Frost & Associates LLP for a free consultation to discuss your due diligence and compliance programs.   


Members of The Criminal Lawyers Association, Toronto Lawyers Association, Ontario Bar Association 
and Advocates' Society.


Very Pleased Working with Rebecca

"I have been very pleased working with Rebecca. She worked very efficiently, professionally and cared for every step, as we went through the process with Ontario College of Pharmacists. Initially I thought I would be going through a nightmare ,when I received my paperwork from Ontario College of Pharmacists, but Rebecca made the process seamless and the outcome was positive. Thank-you Rebecca and I would highly recommend your excellent professional service to others."
- NP

Very Professional and Helpful

I hired Ms Rebecca Young regarding a legal matter in October 2015. I found her and the firm to be very professional and helpful. The whole process took about one year to resolve. I followed her advice and the outcome was in my favour. I would recommend her for her professionalism, knowledge and pleasant attitude. –

Pleased with the Outcome

"Daniel, Thank you for your excellent work. I am pleased with the outcome. I didn’t feel ‘prosecuted’ and I believe that is due to your excellent advocacy skills and rapport with the Court."
- AF

Helped a Lot to Calm my Nerves

"I was accused by my former employer of interfering and damaging their computer systems. I was charged under the Criminal Code for mischief, unauthorized access and destruction of data, which was a very scary, stressful, and upsetting experience. I thought that my world was over and all the hard work I had done in my life was coming to an end. Mr. Frost’s initial consultation (which was no obligation and free of charge) helped a lot to calm my nerves and comfort me and my family in trying times. His team was very understanding, sympathetic, concerned and supporting, she always took my frantic phone calls with calmness and assurance and helped me understand the progress of my case clearly. At every step, I received sound professional advice. At the end of the case, the charges were dropped. As a result, I do not have a criminal record, my reputation is intact, and my current job is still secure. Words cannot truly express my gratitude for having such amazing lawyers. From explaining the terminology used in court, to sitting with me outside the court room when I couldn’t hold back my tears, they stood by my side. Thank you for exceeding my expectations, and then some."
– JS

Very Pleased with Mr. Frost’s Representation

"We were very pleased with Mr. Frost’s representation. He provided us with the best possible legal representation. He was dedicated to obtaining a tremendous resolution in what was complex litigation while being always mindful that we required a cost-effective solution."
– BB

I am very Pleased

"I was charged along with nine other physicians with fraud against OHIP. I was also the subject of a complaint before the College of Physicians and Surgeons arising from the same allegations. I was assigned counsel by the Canadian Medical Protective Association (CMPA). On the advice of a friend who was a Crown Counsel I insisted that I be allowed to retain Mr. Frost. I am very pleased that I was allowed to do so. Mr. Frost (together with Ms. Samantha Peeris) provided me with first class representation. He convinced the Crown to drop the charges against me. His office always kept me informed in a timely fashion of any developments. He clearly understood the impact of these allegations on my professional reputation. Mr. Frost always maintained a very low profile. Mr. Frost went on to represent me before the College of Physicians and Surgeons ensuring that no disciplinary was taken. I continue to practice medicine in my area of expertise." –
Dr. C

I was Relieved with his Representation

"I am a healthcare provider with a practice in the Greater Toronto Area, Ontario. I was represented by Mr. Frost before my professional licensing College with respect to a complaint by an insurance company. I was quite concerned that the complaint could affect my professional standing and reputation. Mr. Frost understood what needed to be done. He also understood the impact the complaint was having on me personally. He acted quickly. He was able to convince the College to take no further action. I was relieved that his representation was very low profile and my professional reputation was not undermined with the public or the College. As a result of his representation my status with that particular insurer was regularized."
– CC

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