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All Sectors - Monitoring - Statistics at a Glance - 2010

2010 Monitoring

FSCO undertakes a number of monitoring activities as part of its regulatory functions. It conducts criminal record 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