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Enforcement Statistics

   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
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.