To protect consumers and enhance public confidence in the sectors it regulates, FSCO takes appropriate regulatory action when there is non-compliance with legislation and regulations that relate to the regulated sectors. Non-compliance may result in enforcement action.
Other Statistics:
| CATEGORY (click titles for definitions) | Q1 |
Q2 |
Q3 |
Q4 |
CUMULATIVE TOTAL |
| OUTCOME OF INVESTIGATIONS | |||||
| Minutes of Settlement issued | N/A* |
N/A* |
3 |
2 | 5 |
| Superintendent's Orders issued | N/A* |
N/A* |
3 |
0 |
3 |
| Cease & Desist Orders issued | N/A* |
N/A* |
2 |
2 |
4 |
| Letters of Caution issued | N/A* |
N/A* |
3 |
5 |
8 |
| Closed Files (no enforcement action warranted) |
N/A* |
N/A* |
10 |
11 |
21 |
TOTAL |
N/A* |
N/A* |
21 |
20 |
41 |
| COURT MATTERS | |||||
| Charges laid in Ontario Court of Justice | N/A* |
N/A* |
0 |
1 |
1 |
| Prosecutions (convictions / fines) | N/A* |
N/A* |
0 |
1 |
1 |
* This page contains Monitoring and Enforcement-related statistical data from July 1, 2007 onward.
If you require information prior to this date, please visit the Monitoring and Enforcement Bulletin page.
Financial Services Commission of Ontario