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 | 5 |
3 |
2 |
10 |
|
| Superintendent's Orders issued | 2 |
0 |
0 |
2 |
|
| Cease & Desist Orders issued | 2 |
1 |
1 |
4 |
|
| Letters of Caution issued | 5 |
17 |
14 |
36 |
|
| Closed Files (no enforcement action warranted) |
22 |
14 |
15 |
51 |
|
TOTAL |
36 |
35 |
32 |
103 |
|
| COURT MATTERS | |||||
| Charges laid in Ontario Court of Justice | 1 |
3 |
1 |
5 |
|
| Prosecutions (convictions / fines) | 1 |
3 |
1 |
5 |
|
* 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