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 | |||||
| Letters of Caution Issued | 6 |
17 |
23 |
||
| Minutes of Settlement Issued | |||||
| - Surrenders | 0 |
0 |
0 |
||
| - Suspension | 2 |
1 |
3 |
||
| - Revocations | 3 |
2 |
5 |
||
| - Applications denied | 0 |
0 |
0 |
||
| - Conditional licenses granted | 0 |
0 |
0 |
||
| Superintendent's Orders Issued | |||||
| - Surrenders | 0 |
0 |
0 |
||
| - Suspension | 1 |
0 |
1 |
||
| - Revocations | 0 |
0 |
0 |
||
| - Applications denied | 1 |
0 |
1 |
||
| - Conditional licenses granted | 0 |
0 |
0 |
||
| Cease & Desist Orders issued | 2 |
1 |
3 |
||
| Closed Files (no enforcement action warranted) |
19 |
14 |
33 |
||
| COURT MATTERS | |||||
| Charges laid in Ontario Court of Justice | 1 |
1 |
2 |
||
| Prosecutions (convictions / fines) | 1 |
1 |
2 |
||
* 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