2017 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.
Monitoring Activities - All Sectors
(Insurance, Mortgage Brokers, Credit Unions & Caisses Populaires, Loan & Trust Corporations, and Pensions) |
| 0 | 0 | 0 | 0 | 0 |
| 3,881 | 3,627 | 3,679 | 3,606 | 14,793 |
| 268 | 256 | 266 | 241 | 1,031 |
| 0 | 0 | 0 | 0 | 0 |
| 157 | 100 | 66 | 233 | 556 |
Total | 4,306 | 3,983 | 4,011 | 4,080 | 16,380 |
2017 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.
All Sectors
|
Investigations Initiated
(Insurance, Mortgage Brokers, Credit Unions & Caisses Populaires, Loan & Trust Corporations, and Pensions) | 59 | 34 | 25 | 43 | 161 |
2016 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.
Monitoring Activities - All Sectors (Insurance, Mortgage Brokers, Credit Unions & Caisses Populaires, Loan & Trust Corporations, and Pensions) |
| 0 | 0 | 0 | 0 | 0 |
| 3,267 | 3,991 | 3,283 | 3,107 | 13,648 |
| 228 | 213 | 157 | 205 | 803 |
| 0 | 0 | 0 | 0 | 0 |
| 6 | 86 | 5 | 1 | 98 |
Total | 3,501 | 4,290 | 3,445 | 3,313 | 14,549 |
2016 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.
All Sectors |
Investigations Initiated
(Insurance, Mortgage Brokers, Credit Unions & Caisses Populaires, Loan & Trust Corporations, and Pensions) | 9 | 30 | 26 | 23 | 88 |
2015 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.
Monitoring Activities - All Sectors (Insurance, Mortgage Brokers, Credit Unions & Caisses Populaires, Loan & Trust Corporations, and Pensions) |
| 0 | 0 | 0 | 0 | 0 |
| 4,263 | 4,280 | 3,639 | 4,754 | 16,936 |
| 151 | 166 | 183 | 155 | 655 |
| 0 | 0 | 0 | 0 | 0 |
| 12 | 2 | 4 | 2 | 20 |
Total | 4,426 | 4,448 | 3,826 | 4,911 | 17,611 |
2015 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.
All Sectors |
Investigations Initiated
(Insurance, Mortgage Brokers, Credit Unions & Caisses Populaires, Loan & Trust Corporations, and Pensions) | 30 | 21 | 14 | 14 | 79 |
2014 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.
Monitoring Activities - All Sectors (Insurance, Mortgage Brokers, Credit Unions & Caisses Populaires, Loan & Trust Corporations, and Pensions) |
|
50 |
0 |
0 |
0 |
50 |
|
2,908 |
2,655 |
5,432 |
3,214 |
14,209 |
|
227 |
360 |
164 |
185 |
936 |
|
74 |
110 |
0 |
240 |
424 |
|
18 |
140 |
2 |
3 |
163 |
Total |
3,277 |
3,265 |
5,598 |
3,642 |
15,782 |
2014 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.
All Sectors |
Investigations Initiated
(Insurance, Mortgage Brokers, Credit Unions & Caisses Populaires, Loan & Trust Corporations, and Pensions) |
17 |
51 |
19 |
41 |
128 |
2013 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.
Monitoring Activities - All Sectors (Insurance, Mortgage Brokers, Credit Unions & Caisses Populaires, Loan & Trust Corporations, and Pensions) |
|
0 |
0 |
0 |
0 |
0 |
|
2,516 |
3,618 |
3,079 |
2,489 |
11,702 |
|
228 |
308 |
267 |
257 |
1,060 |
|
0 |
0 |
0 |
0 |
0 |
|
56 |
21 |
57 |
22 |
156 |
Total |
2,800 |
3.947 |
3,403 |
2,768 |
12,198 |
2013 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.
All Sectors |
Investigations Initiated
(Insurance, Mortgage Brokers, Credit Unions & Caisses Populaires, Loan & Trust Corporations, and Pensions) |
59 |
30 |
31 |
34 |
154 |
2012 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.
Monitoring Activities - All Sectors (Insurance, Mortgage Brokers, Credit Unions & Caisses Populaires, Loan & Trust Corporations, and Pensions) |
|
0 |
0 |
0 |
0 |
0 |
|
2,571 |
3,201 |
2,665 |
2,585 |
11,022 |
|
384 |
380 |
262 |
272 |
1,298 |
|
0 |
0 |
0 |
0 |
0 |
|
24 |
3 |
0 |
36 |
63 |
Total |
2,979 |
3,584 |
2,977 |
2,893 |
12,383 |
2012 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.
All Sectors |
Investigations Initiated
(Insurance, Mortgage Brokers, Credit Unions & Caisses Populaires, Loan & Trust Corporations, and Pensions) |
35 |
30 |
23 |
13 |
101 |
2011 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.
| Monitoring Activities - All Sectors (Insurance, Mortgage Brokers, Credit Unions & Caisses Populaires, Loan & Trust Corporations, and Pensions) |
| Continuing Education Audits |
0 |
0 |
0 |
0 |
0 |
| Criminal Record Checks |
2,737 |
3,355 |
2,712 |
2,678 |
11,482 |
| Complaint Reviews |
365 |
343 |
366 |
262 |
1,336 |
| Errors & Ommissions Insurance Audits |
0 |
0 |
0 |
0 |
0 |
| Onsite Compliance Exams |
12 |
0 |
10 |
38 |
60 |
| Total |
3,113 |
3,698 |
3,088 |
2,940 |
12,839 |
2011 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.
| All Sectors |
Investigations Initiated
(Insurance, Mortgage Brokers, Credit Unions & Caisses Populaires, Loan & Trust Corporations, and Pensions) |
35 |
28 |
31 |
26 |
120 |
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.
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.
| All Sectors |
Investigations Initiated
(Insurance, Mortgage Brokers, Credit Unions & Caisses Populaires, Loan & Trust Corporations, and Pensions) |
28 |
19 |
17 |
26 |
90 |