REBBA, Sec 19 OTH, Sec 20 and. Lyrics

REBBA, Sec. 19
OTH, Sec. 20 and 21

Under REBBA 2002, all complaints and concerns, including those dealing with the Code of Ethics, will be dealt with through the Registrar's Complaints and Inquiries (RCI) Process. Sec. 19 provides that if a complaint is received about a registrant, the Registrar may request information in relation to the complaint from any registrant and registrants are obligated to provide such information as soon as is practicable after receiving a written request.
If the Registrar makes a written request for information from a registrant, a copy of the request must be given to the broker of record of the brokerage if information was requested from the brokerage or from a broker or salesperson employed by the brokerage.
CODE, Sec. 41

REBBA 2002 has introduced a new level of compliance control within brokerages. Every real estate brokerage must designate a broker to be the broker of record. The Registrar must be notified of the identity of this person. If the broker of record changes, the Registrar must be notified within five days (REBBA, Sec. 12; GEN, Subsec. 6(1) and 7).
The broker of record ensures brokerage compliance with the Act and Regulations. The broker of record must actively participate in brokerage management, provide adequate supervision for brokers and salespersons, and deal with any lack of compliance by employed brokers, salespersons or others within the brokerage (GEN, Sec. 30).
In a sole proprietorship, the sole proprietor must be the broker of record.
The Code of Ethics also requires that every salesperson and broker, including the broker of record (in relation to brokerage activities), carries out duties in compliance with the Code (CODE, Sec. 41).
See Registrar's Bulletins-Broker of Record for additional details. REBBA, Sec. 19

Complaints are handled through the registrar's complaints and inquiries (RCI) process. If the Registrar receives a complaint about a registrant, the Registrar may request additional information from any registrant and take one of several actions:

Attempt to mediate or resolve the complaint. If resolved, the Registrar must prepare a public summary.
Give a written warning with subsequent action if activity continues.
Require the broker or salesperson to take further education course.
Refer the matter, in whole or in part, to the discipline committee.
Take action to suspend or revoke registration or apply conditions to that registration. See Registrar for additional details regarding such powers.
Take such other appropriate action pursuant to the Act.
Discipline Committee

REBBA, Sec. 21
CODE, Sec. 42 to 53
GEN, Sec. 42

A discipline committee is established under Sec. 21 of the Act to determine whether a registrant has failed to comply with the Code of Ethics. When the Registrar refers a matter as per procedures set out in the registrar's complaints and inquiries (rci) process, the chair of the committee a__igns a panel. The panel is charged with the responsibility of determining matters relating to the complaint.

Discipline Committee Composition
REBBA, Sec. 21; CODE, Sec. 42 to 49
Procedures regarding the composition and appointment of discipline committees (and appeals committees) are set out in the Code of Ethics. When a matter is referred to a discipline committee, the chairperson generally a__igns a panel consisting of three members of the committee to hold a hearing.
If the panel is composed of three or more members of the discipline committee, at least two members of the panel must be registrants and one member must never have been a registrant or a shareholder, officer, director or employee of a registrant (or former registrant).
If a broker of record is the subject of the proceeding, at least one of the panel members must be a broker of record. If a broker is the subject of the proceeding, at least one of the panel members must be a broker. If a salesperson is the subject of the proceeding, at least one of the panel members must be a salesperson.

Discipline Committee Orders
REBBA, Subsec. 21(4)

A notice of hearing is given to the parties to the proceeding. Parties include the registrant (who is subject to the proceeding), a RECO representative(s), and other parties added by the discipline committee.
Evidence may be tendered based on established procedural rules. Parties intending on tendering evidence must do so within prescribed time limits (30 days for the administrative authority and 15 days for other parties).
The discipline panel, following the hearing, prepares a final decision including reasons.
If the discipline committee makes a determination that a registrant has failed to comply with the Code of Ethics, it may order the registrant to take education courses, pay a fine up to $25,000, and fix/impose costs. The discipline committee may also require a brokerage to pay for education courses for employed brokers and salespersons.

Appeals
REBBA, Sec. 21(2), (5) and (6); CODE, Sec. 50 to 53

Registrants may appeal a discipline committee decision. The chair of the appeals committee generally a__igns a panel of three members of the appeals committee to hear and determine the appeal.
Appeals committee members cannot be members of the original discipline committee. The appeals committee may overturn, affirm or modify any order of the discipline committee. See Appeals Committee for additional discussion.

Publication: Committee Decisions
GEN, Sec. 42

The discipline committee and the appeals committee are required to publish a copy of decisions including reasons on the Internet (i.e., the RECO website) and at least one other method deemed appropriate for a period of at least sixty months.
Such material must not identify any person unless the person consents in writing. However, the identity will be published if the discipline committee determines that the registrant has not complied with the Code of Ethics and:

the time for commencing an appeal has ended and no appeal commenced; or
an appeal was commenced but withdrawn or abandoned.

Similarly, the appeals committee may identify a registrant if the committee has made a determination that the registrant failed to comply with the Code of Ethics.
See Registrar's Complaints and Inquiries (RCI) Process and Complaints regarding complaints received by the Registrar and various options available to address these, one of which is referral to the discipline committee.

Investigations
REBBA, Sec. 22 to 25

Investigative procedures have not changed substantially under the new Act, however, more specifics are included regarding powers and procedures. Investigators, appointed by the Director, may act under a search warrant issued by a justice of the peace to enter and access brokerage premises (or any place specified in the warrant) to investigate, access documents/records relevant to the inspection, use equipment to produce/copy information/evidence, require persons to produce documents, remove items and return them in a reasonable time, and such other matters as detailed in the Act and/or the search warrant.
Copies of documents collected are admissible in an action, proceeding or prosecution. Search warrants are issued by the justice of the peace based on the reasonable belief that a person has or is contravening the Act or the Regulations, or has committed some offence under the law relating to the person's fitness to be registered under the Act. The search warrant may contain conditions (i.e., the scope of search permitted). No person may obstruct an investigator carrying our his/her duties. Investigators may use the police to a__ist in executing a warrant.
The Act also details other investigative powers involving seizures, freeze orders, and applications to Court. The Director may also take action against non-registrants who have conducted business for which registration is required. For additional powers to inspect brokerage records, see Inspections.
For matters concerning the Registrar's investigation of a complaint about a registrant, see Registrar's Complaints and Inquiries (RCI) Process.

Licence Appeal Tribunal

REBBA, Sec. 1(1)

A registrant can appeal a Registrar's proposal to the Licence Appeal Tribunal (LAT), formerly the Commercial Registration Appeal Tribunal. LAT reviews appeals under several statutes that deal with both licences and registrations.
The Licence Appeal Tribunal is an adjudicative agency created under the Licence Appeal Tribunal Act. An individual seeking an appeal from a proposal or decision under various Acts, including the Real Estate and Business Brokers Act, 2002, must provide notice to the Tribunal that a hearing is required within the time limit set out relating to the specific proposal or decision. Such proposal or decision arises from actions of the Registrar pursuant to REBBA 2002.
The Licence Appeal Tribunal consists of a panel of members selected by the Lieutenant Governor in Council. Hearing panels generally consist of a chair, a representative of the industry involved, and a person with a general background.
Rules of procedure for the Licence Appeal Tribunal are set out in the Statutory Powers Procedure Act. An appeal of a tribunal decision can be made to the Divisional Court.

Penalties

REBBA, Subsec. 40(3) and Sec. 41, 42, and 43

Penalties fall under two categories: offences relating to the Act and Regulations that are processed in accordance with the Provincial Offences Act (POA) i.e., court trials; and those involving disciplinary action, i.e., discipline and appeals committees, under REBBA 2002.
The Provincial Offences Act is a procedural law for administering and prosecuting provincial offences under various provincial legislation including the Real Estate and Business Brokers Act, 2002. The POA sets out procedures for legal prosecution from serving an offence notice to an accused person, to conducting trials, sentencing and appeals.
Individuals found guilty are now subject to fines of $50,000 with potential prison term of two years for convictions. The previous Act provided for a $25,000 fine and one year imprisonment.
Fines for corporations have been increased from $100,000 to $250,000. Courts now have the power to order convicted persons to pay compensation and make restitution.
If a fine arising out of a conviction under the Act is in default for 60 days, the Director may disclose particulars including the defaulter's name to a consumer reporting agency. Further, the Director may file a lien against the defaulter's real property (charge on the property) and/or personal property (security interest).
For a discussion of penalties involving disciplinary action, see Discipline Committee and Appeals Committee.

Public Summary

GEN, Sec. 27

The registrar, when successfully mediating or resolving a complaint, must prepare and make available to the public a written summary of both the complaint and resolution. The summary must not identify any person without that person's written consent.