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Council Interpretation 104
Requirement to Co-operate
104/1 The regulatory processes of the Institute include practice reviews, investigations into professional conduct; disciplinary or other hearings; admission, registration, readmission or reregistration inquiries; and appeals of any decisions resulting from the aforementioned processes.
104/2 Lack of co-operation includes attempts to delay, mislead or misdirect the Institute by concealing relevant information, providing false, incomplete or misleading statements or information, failing to respond to communications or otherwise obstructing the regulatory processes of the Institute. Lack of co-operation does not include good faith assertions of legal privilege.
104/3 The requirement for prompt written replies and production of documents contemplates the establishment of a reasonable timeframe to respond to the request. Requests for reasonable extensions will not normally be refused, however, repeated requests without adequate grounds will be refused.
104/4 Requirements for attendance in person may be modified by agreement between the Institute and the member, student or firm to provide reasonable accommodations. However, repeated requests for alternative accommodations without adequate grounds will be refused.
104/5 Subject to the agreement of the Institute, the requirement to attend in person may include attendance by teleconference, videoconference or other means.
104/6 The requirement to co-operate with the Institute includes a requirement to cooperate with officers, staff, volunteers or agents acting on behalf of the Institute in matters described in Rules 104.1 and 104.2.
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Council Interpretation 105
Hindrance, Inappropriae Influence and Intimidation
105/1 Rule 105.1, which prohibits hindering or otherwise exerting inappropriate influence on the outcome of a specific regulatory matter, explicitly includes a reference to “inappropriate influence or pressure”. The rule is not intended to prevent members, students or firms from taking appropriate steps to advocate for or defend themselves or another member, student or firm before the appropriate regulatory decision-making body within the Institute or the courts. Further, another member, student or firm may act as an expert or other witness, provide letters of reference, or appear before the appropriate regulatory decision-making body within the Institute as the representative of the member, student or firm.
105/2 Without limiting the generality of the rule, in particular, when a complaint has been made against a member, student or firm, the requirements of Rule 105.2 apply to any communication that the member, student or firm has with the complainant. Any such communication must meet the requirements of Rule 105.2 and should ordinarily be limited to only those matters that must be addressed to continue to serve the interests of the complainant.
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