Regulatory Framework

The Regulatory Framework describes what we do, how we do it, and why we do it. It outlines:
  • FSCO's legislative mandate;
  • How FSCO fulfills its mandate by achieving regulatory outcomes;
  • FSCO's core regulatory activities; and the
  • Principles that FSCO follows when conducting regulatory activities.
FSCO's approach addresses expectations in the financial services sectors that we regulate. Consumers expect to be treated fairly, pension plan members expect their future pension benefits to be secure, and financial products and services are generally expected to satisfy the needs of the public. In addition, regulated entities and stakeholders expect financial services regulation to be balanced and transparent.
The Regulatory Framework also summarizes what FSCO expects from the businesses and individuals that are licensed or registered with FSCO, stakeholders, consumers, or pension plan members; and what can be expected from FSCO in the regulatory process.


Market Regulation Supervisory Framework


The Market Regulation Supervisory Framework is consistent with FSCO’s Regulatory Framework and describes how FSCO’s Market Regulation Branch plans and delivers its monitoring and compliance activities across the regulated financial services sectors.


  • PDF [PDF Document] Size: ## kb