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

1 0

4

Administrative Monetary Penalties Levied (# issued)​
 8

0

1 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

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

0 1

1

 0

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

0

1 0

1

 19

3

1117

50

License Suspension​ (includes Extension of Interim Order)
  1

1

 1 0

3

 0

1

1 0

2

Interim Compliance Order​
 1

0

0 0

1

Administrative Monetary Penalties Levied (# issued)​
 3

0

2 4 

9

Administrative Monetary Penalties Levied ($)​
$9,160

$0

$8,350$23,000

$40,510

 10

8

 4  8

30

 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

00

0

 0

0

00

0

 0

0

00

0

 2

0

03

5

Compliance Order
 1

0

01

2

 0

2

5 8

15

Administrative Monetary Penalties Levied (# issued)​
 0

12

0 0

12

Administrative Monetary Penalties Levied ($)​
 0

$11,000

0 0

$11,000

 0

0

00

0

 0

0

00

0

 0

0

0 0

0

​Mortgage Brokers
 0

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

0

1 0

1

 0

0

00

0

 1

2

04

7

 1

2

0 0

3

Administrative Monetary Penalties Levied (# issued)​
 4

5

0 2 

11

Administrative Monetary Penalties Levied ($)​
$5,500

$52,853

0$16,000

$74,353

 1

2

0 0

3

 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
 0 0 0 0 0
 0 0 0 0 0
7  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  0
License Refusals​ ​0  0  0  0  0
License Surrenders​ ​23  39  35  17  114
License Suspension​ ​0  4 3   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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