Discipline Trends: Common Areas of Non-Compliance

The most common infractions this year have involved administrative compliance, competent service, and fiduciary obligations. While the circumstances of each matter differ, these areas remain fundamental components of professional practice and continue to be recurring themes in disciplinary action.

As part of RECA’s commitment to transparency, this new section will highlight trends observed in disciplinary action throughout the past six months. While every matter is assessed on its own facts, reviewing common areas of non-compliance can provide insight into recurring regulatory issues and industry trends.

Since October 1,2025, RECA has issued 19 administrative penalties totaling $31,500 and five letters of reprimand.

The most common infractions involved:

Rule 91(4) – A brokerage’s accounting shall be filed with the Council no later than three months after the end of the brokerage’s fiscal year.
Rule 41(b) – A licensee must provide competent service.
Rule 41(d) – A licensee must fulfill their fiduciary obligations to their client.

Although these rules address different aspects of practice, they share a common theme: accountability. Rule 91(4) relates to a brokerage’s administrative obligations, while Rules 41(b) and 41(d) relate to the standard of service and conduct expected of licensees. Together, they reflect the importance of meeting regulatory requirements, maintaining professional standards, and fulfilling obligations to clients.

These trends also demonstrate that disciplinary action is not limited to a single area of practice. Matters may arise from administrative oversights, service-related issues, or failures to meet professional obligations. Understanding where non-compliance most frequently occurs can help licensees remain aware of their responsibilities under the Real Estate Act Rules.

Resources for Licensees

RECA provides a variety of resources to support licensees in understanding their regulatory obligations. The Resource Hub contains guidance documents, practice resources, webinars, and other educational materials covering common areas of regulatory compliance. Reviewing these resources, along with hearing decisions and case summaries, can help licensees stay informed about regulatory expectations and emerging trends.

All disciplinary decisions and enforcement actions are publicly available on RECA’s Enforcement Action page.