Disciplinary law: The syndic's role in the context of a disciplinary investigation
In a decision rendered in January 2015, the Ordre des comptables professionels agrees du Québec’s disciplinary council discussed the crucial role belonging to the syndic in disciplinary files, namely the control and supervision of professional conduct. The Disciplinary council also reiterated the legal principles developed by the Supreme Court of Canada concerning the syndic’s vast powers within the context of a disciplinary investigation, as well as the professional and public’s obligation to collaborate with the syndic during an investigation (Loubier, ès qualités de syndic adjoint de l’Ordre des comptables professionnels agrees du Québec v. Bourdras, 2016 CanLII 4279 (QC CPA)).
THE FACTS
The syndic of l’Ordre des comptables professionnels agréés du Québec lodged a disciplinary complaint against a chartered professional accountant for having failed to respond to a letter that had been addressed to him by the syndic and for having failed to transfer certain documents that had been requested by the syndic in said letter. More specifically, the chartered professional accountant in question was accused of having hindered the syndic in the performance of his duties by preventing access to a particular file for investigation reasons.
The chartered professional accountant pled guilty to the count described above and the parties submitted a common recommendation to the Disciplinary council in regards to the sanction. They suggested that a one-month temporary striking from the role be imposed in the circumstances.
THE DISCIPLIANARY COUNCIL’S DECISION
After having considered the arguments presented by the parties, the Ordre des comptables professionnels agrees du Québec’s disciplinary council decides that the recommended sanction should be applied and condemns the professional to a one-month temporary striking from the role. The Disciplinary council draws the following conclusions :
1. The primary objective of any professional order is not to protect its members or defend their interests, but rather to protect the public in accordance with article 23 of the Professional Code.
2. Within the Order’s mission to protect the public, the law provides that the syndic has the necessary power to investigate the conduct of any professional and provides that all persons, including the professional being investigating, must collaborate with the syndic in order to facilitate his investigation.
3. The syndic, endowed with the not only the power, but also the legal obligation to investigate the conduct of any professional, is permitted to use all efficient means at his disposal in order to collect all pertinent information and documents allowing him to determine whether or not a complaint should be lodged before the Disciplinary council.
4. Any professional who refuses to collaborate with the syndic risks being accused of having hindered the syndic in the performance of his duties, in accordance with articles 114 and 122 of the Professional Code.
THE LESSONS TO BE LEARNED
1. In order to act efficiently within the context of his investigation and with the respect of the all interested parties in mind, the syndic has the right to request any information or document that he deems pertinent from all persons, including the professional investigated.
2. The disciplinary infraction of having hindered the syndic within the context of his investigation is considered, by the Disciplinary council, to be a serious infraction deserving of a serious sanction Dubé Légal inc., Montréal disciplinary law lawyers.
