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.
Other Statistics:
| CATEGORY (click titles for definitions) | Q1 |
Q2 |
Q3 |
Q4 |
CUMULATIVE TOTAL |
| OUTCOME OF INVESTIGATIONS | |||||
| Minutes of Settlement issued | 3 |
6 |
9 |
||
| Superintendent's Orders issued | 111 |
12 |
123 |
||
| Cease & Desist Orders issued | 1 |
0 |
1 |
||
| Letters of Caution issued | 12 |
10 |
22 |
||
| Closed Files (no enforcement action warranted) |
9 |
12 |
21 |
||
TOTAL |
135 |
40 |
175 |
||
| COURT MATTERS | |||||
| Charges laid in Ontario Court of Justice | 2 |
0 |
2 |
||
| Prosecutions (convictions / fines) | 2 |
0 |
2 |
||
* This page contains Monitoring and Enforcement-related statistical data from July 1, 2007 onward.
If you require information prior to this date, please visit the Monitoring and Enforcement Bulletin page.
Financial Services Commission of Ontario