Roundtable: Everything Everywhere All At Once: Navigating Concurrent Proceedings

Join Field Law’s Professional Regulatory Group and your professional regulatory colleagues for our spring roundtable.

In this roundtable we’ll explore a scenario where a regulator’s investigation and hearing process is just one of several proceedings a registrant is facing. Sometimes, a regulator’s process runs parallel with civil or criminal proceedings, or a grievance arbitration process, or maybe all these things at once. How should concurrent proceedings factor into a regulator’s approach?

Discussion topics include:

• What kind of procedural safeguards may be considered where there are parallel proceedings? Stays? Private hearings? Publication bans?
• Where does the right against self-incrimination come into play?
• When can a regulator rely on evidence obtained in parallel processes? When is such evidence off limits? What is the “implied undertaking rule”, anyway?
• When might a regulator rely on findings made in a parallel process? What if parallel proceedings result in different findings?

Who should attend? This roundtable is designed for professional regulators involved in discipline processes.

Questions? Contact Kate at krieger@fieldlaw.com.