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All Sectors - Monitoring - Statistics at a Glance - 2011

2011 | 2010

 

2010 Monitoring

​
FSCO undertakes a number of monitoring activities as part of its regulatory functions. It conducts police background checks, compliance audits, and reviews complaints in the sectors it regulates.
 
Category (click titles for definitions)​ Q1​ Q2​ Q3​ Q4​ Cumulative Total​
​Monitoring Activities - All Sectors (Insurance, Mortgage Brokers, Credit Unions & Caisses Populaires, Loan & Trust Corporations, and Pensions)​
Continuing Education Audits​ 50​ ​0 ​0 ​0 ​50
Criminal Record Checks​ ​1,904 ​2,088 ​2327 ​1977 ​8296
Complaint Reviews​ ​172 ​216 ​245 ​231 ​864
Errors & Omission's Insurance Audits​ ​0 ​300 ​0 ​0 ​300
Onsite Compliance Exams​ ​1 ​26 ​42 ​26 ​95
Total​ ​2,127 ​2630 ​2614 ​2234 ​9605
 

2010 Investigations

 
An investigation is the second step in the enforcement process. The purpose of an investigation is to gather evidence to support regulatory action, specifically a prosecution or administrative proceeding.
 
Category​ Q1​ Q2 Q13 Q4​ Cumulative Total​
All Sectors​ ​ ​ ​ ​ ​
Investigations Initiated
(Insurance, Mortgage Brokers, Credit Unions & Caisses Populaires, Loan & Trust Corporations, and Pensions)
28​
19
17
26
90