Enforcement Statistics 2009

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.
 
Category (click titles for definitions) Q1​ Q2​ Q3​ Q4​ Cumulative Total
Outcome Of Investigations
Letters of Caution Issued 5​ ​8 ​6 ​1 ​20
Minutes of Settlement Issued
Surrenders ​0 ​6 ​9 ​1 ​16
Suspension ​1 ​0 ​2 ​1 ​4
Revocations ​0 ​0 ​0 ​3 ​3
Applications denied ​0 ​0 ​0 ​0 ​0
Conditional licenses granted ​1 ​0 ​0 ​0 ​1
Superintendent's Orders Issued ​ ​ ​ ​ ​ ​
Surrenders 0​ ​0 ​0 ​0 ​0
Suspension ​0 ​1 ​3 ​0 ​4
Revocations 2​ ​3 ​4 ​18 ​27
Applications denied ​0 ​0 ​0 ​1 ​1
Conditional licenses granted ​0 ​0 ​0 ​0 ​0
Cease & Desist Orders issued ​1 ​0 ​0 ​0 ​1
Closed Files (no enforcement action warranted) ​3 ​9 ​8 ​11 ​31
Court Matters
Charges laid in Ontario Court of Justice ​2 ​2 ​0 ​0 ​4
Prosecutions ​2 ​2 ​0 ​0 ​4
 

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