Enforcement Statistics

   2017     2016     2015     2014     2013     2012     2011     2010     2009     2008     2007  


​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
Mortgage Brokerages
 1

0

00

1

 0

0

00

0

 0

0

00

0

 12

12

1112

47

 0

0

00

0

Compliance Order
 0

0

00

0

 2

1

0

4

Administrative Monetary Penalties Levied (# issued)
 8

0

0

9

Administrative Monetary Penalties Levied ($)
 $8,000

$0

$3,000 0

$11,000

 2

4

23

11

 0

0

00

0

 0

0

0 0

0

Mortgage Administrators
 0

0

0

0

 0

0

00

0

 0

3

12

6

 0

0

0 0

0

Compliance Order
 0

0

00

0

 1

1

00

2

Administrative Monetary Penalties Levied (# issued)
 0

0

20

2

Administrative Monetary Penalties Levied ($)
$0 

$0

$10,000$0

$10,000

 0

0

0 0

0

 0

0

00

0

 0

0

00

0

Mortgage Brokers
Cease & Desist Order
 0

0

1

1

 0

0

0

0

 3

0

10

4

 5

0

32

10

 0

0

0 0

0

 1

0

00

1

Administrative Monetary Penalties Levied (# issued)
 3

4

31

11

Administrative Monetary Penalties Levied ($)
$31,100 

$8,000

$15,000$3,000

$57,100

 2

3

2 6

13

 0

0

00

0

 0

0

00

0

Mortgage Agents
 0

0

0

 0

0

0

1

 19

3

1117

50

License Suspension​ (includes Extension of Interim Order)
 1

1

1 0

3

 0

1

0

2

Interim Compliance Order
 1

0

0

1

Administrative Monetary Penalties Levied (# issued)
 3

0

9

Administrative Monetary Penalties Levied ($)
$9,160

$0

$8,350$23,000

$40,510

 10

8

8

30

 0

0

0

 0

0

0

 


​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
Mortgage Brokerages
 0

0

00

0

 0

0

00

0

 0

0

00

0

 2

0

03

5

Compliance Order
 1

0

01

2

 0

2

8

15

Administrative Monetary Penalties Levied (# issued)
 0

12

0

12

Administrative Monetary Penalties Levied ($)
 0

$11,000

0

$11,000

 0

0

00

0

 0

0

00

0

 0

0

0 0

0

Mortgage Brokers
 0

0

0

0

 0

0

00

0

 0

0

00

0

 0

0

05

5

 0

1

1 0

2

Administrative Monetary Penalties Levied (# issued)
 1

4

0 0

5

Administrative Monetary Penalties Levied ($)
$1,500 

$23,000

00

$24,500

 0

0

00

0

 0

0

00

0

 0

0

00

0

Mortgage Agents
 0

0

0

 0

0

0

1

 0

0

00

0

 1

2

04

7

 1

2

0

3

Administrative Monetary Penalties Levied (# issued)
 4

5

11

Administrative Monetary Penalties Levied ($)
$5,500

$52,853

0$16,000

$74,353

 1

2

0

3

 0

0

0

 0

0

0

 


​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
Mortgage Brokerages
 0 0 0 0 0
 0 0 0 0 0
 0 0 0 0 0
 0 0 0 0 0
 0 0 1 8
Administrative Monetary Penalties Levied (# issued)
 3 5 3 1 12
Administrative Monetary Penalties Levied ($)
 $9,600 $12,500 $13,000 $4,000 $39,100
 4 0 0 1 5
 0 0 0 0 0
 0 0 0 0 0
Mortgage Brokers
0 0 0 0 0
 0 0 0 0 0
 0 0 0 0 0
 1 0 0 0 1
 0 1 0 0 1
Administrative Monetary Penalties Levied (# issued)
 0 0 1 1 2
Administrative Monetary Penalties Levied ($)
 0 0 $1,500 $37,500 $39,000
 5 5 0 3 13
 0 0 0 0 0
 0 0 0 0 0
Mortgage Agents
Application Denied​0​1​0​2​3
 0 0 0 0 0
 0 0 0 0 0
 0 0 0 0 0
 1 0 0 0 1
 0 1 2 1 4
Administrative Monetary Penalties Levied (# issued)
 0 0 3 1 4
Administrative Monetary Penalties Levied ($)
 0 0 $7,000 $1,000 $8,000
 8 6 6 0 20
 0 0 0 0 0
 0 0 0 0 0
 


​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
Mortgage Brokerages
0
 0
 0
 0
 0
0
 0
 0
 0
 0
46
 41
 25
 21
 133
0
 0
 0
 0
 0
1
 4
 4
 9
 18
Administrative Monetary Penalties Levied (# issued)
2
 2
 0
 1
 5
Administrative Monetary Penalties Levied ($)
$7,500
 $4,500
 0
 $1000
 $13,000
1
 0
 1
 1
 3
0
 0
 0
 0
 0
0
 0
 0
 0
 0
Mortgage Brokers
0
 0
 0
 1
 1
0
 0
 0
 0
 0
0
 0
 0
 0
 0
1
 0
 0
 0
 1
2
 1
 1
 2
 6
Administrative Monetary Penalties Levied (# issued)
1
 0
 2
 0
 3
Administrative Monetary Penalties Levied ($)
$1,500
 0
 $9,000
 0
 $10,500
2
 0
 0
 1
 3
0
 0
 0
 0
 0
0
 2
 0
 0
 2
Mortgage Agents
1
 1
 0
 0
 2
3
 0
 1
 2
 6
0
 0
 0
 0
 0
0
 0
 0
 0
 0
0
 0
 1
 0
 1
Administrative Monetary Penalties Levied (# issued)
​0
 1
 2
 0
 3
Administrative Monetary Penalties Levied ($)
0
$8,000
 $10,000
 0
 $18,000
1
 0
 1
 4
 6
0
 0
 0
 0
 0
0
 0
 0
 0
 0
 


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
Mortgage Brokerages
0
 0
 0
 0
 0
0
 0
 0
 0
 0
24
 26
 15
26
 91
0
 0
 1
 0
 1
0
 0
 0
 0
 0
Administrative Monetary Penalties Levied (# issued)
0
 1
 7
 5
 13
Administrative Monetary Penalties Levied ($)
$0
 $2,500
 $19,000
 $8,000
 $29,500
0
 1
 5
 2
 8
0
 0
 0
 0
 0
0
 0
 0
 0
 0
Mortgage Brokers
0
 0
 0
 1
 1
0
 0
 0
 0
 0
0
 0
 0
 0
 0
0
 0
 0
 0
 0
0
 0
 0
 0
 0
Administrative Monetary Penalties Levied (# issued)
0
 0
 1
 0
 1
Administrative Monetary Penalties Levied ($)
0
 0
 $2,500
 0
 $2,500
1
 0
 0
 3
 4
0
 0
 0
 0
 0
0
 0
 0
 0
 0
Mortgage Agents
0
 0
 0
 0
 0
1
 0
 0
 0
 1
0
 0
 0
 0
 0
0
 0
 0
 0
 0
0
 1
 0
 0
 1
Administrative Monetary Penalties Levied (# issued)
0
 1
 0
 0
 1
Administrative Monetary Penalties Levied ($)
0
 $4000
 0
 0
 $4000
0
 3
 8
 0
 11
0
 0
 0
 0
 0
0
 0
 0
 0
 0


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
Mortgage Brokerages
0
 0
 0
 0
 0
0
 0
 0
 0
 0
64
31
 28
 13
136
0
 0
 1
 0
 1
1
 0
 0
 2
 3
Administrative Monetary Penalties Levied (# issued)
6
 8
 5
 5
24
Administrative Monetary Penalties Levied ($)
$17,500
 $17,500
 $8,000
 $7,000
 $50,000
1
 0
 0
 1
 2
0
 0
 0
 0
 0
0
 0
 0
 0
 0
Mortgage Brokers
0
 0
 0
 0
 0
0
 1
 0
 0
 1
0
 0
 0
 0
 0
1
 0
 0
 0
 1
1
 0
 0
 1
 2
Administrative Monetary Penalties Levied (# issued)
0
 0
 2
 0
 2
Administrative Monetary Penalties Levied ($)
0
 0
 $6, 500
 0
 $6, 500
0
 0
 0
 0
 0
0
 0
 0
 0
 0
0
 0
 0
 0
 0
Mortgage Agents
0
 0
 1
 0
 1
0
 2
 0
 0
 2
0
 0
 0
 0
 0
1
 0
 0
 0
 1
1
 0
 1
 0
 2
Administrative Monetary Penalties Levied (# issued)
0
 0
 1
 0
 1
Administrative Monetary Penalties Levied ($)
0
 0
 $2, 500
 0
 $2, 500
0
 0
 0
 1
 1
0
 0
 0
 0
 0
0
 0
 0
0
 0
 


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
Mortgage Brokerages
Conditional licenses granted 0​  0  0  0
License Refusals ​0  0  0  0  0
License Surrenders ​23  39  35  17  114
License Suspension ​0  4  1  8
License Revocations ​0  2  4  0  6
Administrative Monetary Penalties Levied (# issued) ​0  0  15  8 23
Administrative Monetary Penalties Levied ($) ​0  0  $28, 500  $22, 500 $51, 000
Letters of Caution issued ​1  1  0  0  2
Charges laid in Ontario Court of Justice ​0  0  0  0  0
Prosecutions 0​  0  0  0  0
Mortgage Brokers
Conditional licenses granted ​0  0  0  0  0
License Refusals ​0  0  0  0  0
License Surrenders ​0  0  0  0  0
License Suspension ​1  0  0  0  1
License Revocations ​0  0  0  0  0
Administrative Monetary Penalties Levied (# issued) ​0  0  1  0  1
Administrative Monetary Penalties Levied ($) ​0  0  $1,000  0  $1,000
Letters of Caution issued ​1  1  0  0  2
Charges laid in Ontario Court of Justice ​0  0  0  0  0
Prosecutions​ (convictions / fines) ​0  0  0  0  0
Mortgage Agents
Conditional licenses granted 0​  0  0  0  0
License Refusals ​0  0  0  0  0
License Surrenders ​0  0  0  0  0
License Suspension ​0  0  0  0  0
License Revocations ​0  0  0  0  0
Administrative Monetary Penalties Levied (# issued) ​0  0  0  0  0
Administrative Monetary Penalties Levied ($) ​0  0  0  0  0
Letters of Caution issued ​3  1  0  0  4
Charges laid in Ontario Court of Justice ​0  0  0  0  0
Prosecutions ​(convictions / fines) ​0  0  0  0  0
 


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
Mortgage Brokerages
Conditional licenses granted 0​ ​0 ​0 ​0 ​0
License Refusals ​0 ​0 ​0 ​0 ​0
License Surrenders ​0 ​0 ​0 ​0 ​0
License Suspension ​0 ​0 ​0 ​0 ​0
License Revocations ​0 ​0 ​0 ​0 ​0
Administrative Monetary Penalties Levied (# issued) ​3 ​2 ​0 ​0 ​5
Administrative Monetary Penalties Levied ($) ​$2,250 ​$1,250 ​0 ​0 ​$3,500
Letters of Caution issued ​0 ​0 ​0 ​0 ​0
Charges laid in Ontario Court of Justice ​0 ​0 ​0 ​0 ​0
Prosecutions 0​ ​0 ​0 ​0 ​0
Closed Files (no enforcement action warranted) ​0 ​0 ​0 ​0 ​0
Mortgage Brokers
Conditional licenses granted ​0 ​0 ​0 ​0 ​0
License Refusals ​0 ​0 ​0 ​0 ​0
License Surrenders ​0 ​0 ​0 ​0 ​0
License Suspension ​1 ​0 ​0 ​0 ​1
License Revocations ​0 ​0 ​1 ​0 ​1
Administrative Monetary Penalties Levied (# issued) ​0 ​0 ​0 ​0 ​0
Administrative Monetary Penalties Levied ($) ​0 ​0 ​0 ​0 0​
Letters of Caution issued ​0 ​0 ​0 ​0 ​0
Charges laid in Ontario Court of Justice ​0 ​0 ​0 ​0 ​0
Prosecutions ​0 ​1 ​0 ​0 ​1
Closed Files (no enforcement action warranted)​ ​0 ​0 ​0 ​0 ​0
Mortgage Agents
Conditional licenses granted 0​ ​0 ​0 ​0 ​0
License Refusals ​0 ​0 ​0 ​0 ​0
License Surrenders ​0 ​0 ​0 ​0 ​0
License Suspension ​1 ​0 ​0 ​0 ​1
License Revocations ​1 ​0 ​1 ​0 ​2
Administrative Monetary Penalties Levied (# issued) ​0 ​0 ​0 ​0 ​0
Administrative Monetary Penalties Levied ($) ​0 ​0 ​0 ​0 ​0
Letters of Caution issued ​4 ​0 ​0 ​0 ​4
Charges laid in Ontario Court of Justice ​0 ​0 ​0 ​0 ​0
Prosecutions ​0 ​0 ​0 ​0 ​0
Closed Files (no enforcement action warranted)​ ​2 ​0 ​0 ​0 ​2
 


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
Mortgage Brokerages
Conditional licenses granted 1​ ​0 ​0 ​0 ​1
License Refusals ​0 ​0 ​0 ​0 ​0
License Surrenders ​106 ​0 ​0 ​0 ​106
License Suspension ​91 ​0 ​0 ​0 ​91
License Revocations ​20 ​2 ​0 ​0 ​22
Administrative Monetary Penalties Levied (# issued) ​34 ​6 ​20 ​47 ​107
Administrative Monetary Penalties Levied ($) ​$34,000 ​$5,250 ​$14,900 ​$43,900 ​$98,050
Letters of Caution issued ​0 ​0 ​0 ​0 ​0
Charges laid in Ontario Court of Justice ​0 ​0 ​0 ​0 ​0
Prosecutions 0​ ​0 ​0 ​0 ​0
Closed Files (no enforcement action warranted) ​0 ​0 ​0 ​0 ​0
Mortgage Brokers
Conditional licenses granted ​0 ​0 ​1 ​0 ​1
License Refusals ​0 ​0 ​0 ​0 ​0
License Surrenders ​0 ​0 ​0 ​0 ​0
License Suspension ​1 ​0 ​0 ​0 ​1
License Revocations ​0 ​0 ​0 ​0 ​0
Administrative Monetary Penalties Levied (# issued) ​0 ​0 ​0 ​0 ​0
Administrative Monetary Penalties Levied ($) ​0 ​0 ​0 ​0 0​
Letters of Caution issued ​2 ​0 ​0 ​0 ​2
Charges laid in Ontario Court of Justice ​0 ​0 ​0 ​0 ​0
Prosecutions ​0 ​0 ​1 ​0 ​1
Closed Files (no enforcement action warranted)​ ​6 ​3 ​4 ​0 ​13
Mortgage Agents ​ ​ ​ ​
Conditional licenses granted 0​ ​0 ​0 ​0 ​0
License Refusals ​3 ​0 ​0 ​1 ​4
License Surrenders ​0 ​0 ​0 ​0 ​0
License Suspension ​0 ​0 ​1 ​0 ​1
License Revocations ​0 ​0 ​0 ​1 ​1
Administrative Monetary Penalties Levied (# issued) ​0 ​0 ​0 ​0 ​0
Administrative Monetary Penalties Levied ($) ​0 ​0 ​0 ​0 ​0
Letters of Caution issued ​5 ​2 ​0 ​1 ​8
Charges laid in Ontario Court of Justice ​0 ​0 ​0 ​0 ​0
Prosecutions ​0 ​0 ​0 ​0 ​0
Closed Files (no enforcement action warranted)​ ​0 ​0 ​0 ​3 ​3
 


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 ​0 ​0 ​2 ​5 ​7
Minutes of Settlement Issued
License Surrenders ​0 ​0 ​0 ​0 ​0
License Suspension ​0 ​0 ​0 ​0 ​0
License Revocations ​0 ​0 ​0 ​0 ​0
License Refusals ​0 ​0 ​0 ​0 ​0
Conditional licenses granted ​0 ​0 ​0 ​0 ​0
Superintentent's Order Issued
License Surrenders ​0 ​0 ​0 ​0 0​
License Suspension ​1 ​0 ​0 ​0 ​1
License Revocations ​0 ​0 ​0 ​0 ​0
License Refusals ​0 ​0 ​1 ​5 ​6
Conditional licenses granted ​0 ​0 ​0 ​1 ​1
Cease & Desist Orders issued 0 0 0 0 0
Closed Files (no enforcement action warranted)​ 3 0 5 10 18
Court Matters
Charges laid in Ontario Court of Justice ​0 ​2 ​0 ​0 ​2
Prosecutions ​0 ​2 ​0 ​0 ​2
 


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 ​n/a* ​n/a* ​17 ​5 ​22
Minutes of Settlement Issued
License Surrenders ​n/a* ​n/a* ​n/a* ​n/a* ​n/a*
License Suspension ​n/a* ​n/a* ​n/a* ​n/a* ​n/a*
License Revocations ​n/a* ​n/a* ​n/a* ​n/a* ​n/a*
License Refusals ​n/a* ​n/a* ​n/a* ​n/a* ​n/a*
Conditional licenses granted ​n/a* ​n/a* ​n/a* ​n/a* ​n/a*
Superintendents Orders Issued
License Surrenders ​n/a* ​n/a* ​n/a* ​n/a* n/a*​
License Suspension ​n/a* ​n/a* ​n/a* ​n/a* ​n/a*
License Revocations ​n/a* ​n/a* ​n/a* ​n/a* ​n/a*
License Refusals ​n/a* ​n/a* ​n/a* ​n/a* ​n/a*
Conditional licenses granted ​n/a* ​n/a* ​n/a* ​n/a* ​n/a*
Cease & Desist Orders issued n/a* n/a* n/a* n/a* n/a*
Closed Files (no enforcement action warranted)​ n/a* n/a* n/a* n/a* n/a*
Court Matters
Charges laid in Ontario Court of Justice ​n/a* ​n/a* ​n/a* ​n/a* ​n/a*
Prosecutions ​n/a* ​n/a* ​n/a* ​n/a* ​n/a*
 
* This page contains Monitoring and Enforcement-related statistical data from July 1, 2007 onward.

 
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