All Sectors - Monitoring - Statistics at a Glance

   2016     2015     2014     2013     2012     2011     2010  


2016 Monitoring

 
FSCO undertakes a number of monitoring activities as part of its regulatory functions. It conducts criminal record checks, compliance audits, and reviews complaints in the sectors it regulates.
 
Category (click titles for definitions)
Q1
Q2
Q3
Q4
Cumulative Total
Monitoring Activities - All Sectors (Insurance, Mortgage Brokers, Credit Unions & Caisses Populaires, Loan & Trust Corporations, and Pensions)
 0

0

  

0

 3,267

3,991

  

7,258

 228

213

  

441

 0

0

  

0

 6

86

  

92

Total
 3,501

4,290

  

7,791

 
 

2016 Investigations

 

An investigation is the second step in the enforcement process. The purpose of an investigation is to gather evidence to support regulatory action, specifically a prosecution or administrative proceeding.
 
 
Category
Q1
Q2
Q3
Q4
Cumulative Total
All Sectors
Investigations Initiated
(Insurance, Mortgage Brokers, Credit Unions & Caisses Populaires, Loan & Trust Corporations, and Pensions)
 9 31   40
 
 


2015 Monitoring

 
FSCO undertakes a number of monitoring activities as part of its regulatory functions. It conducts criminal record checks, compliance audits, and reviews complaints in the sectors it regulates.
 
Category (click titles for definitions)
Q1
Q2
Q3
Q4
Cumulative Total
Monitoring Activities - All Sectors (Insurance, Mortgage Brokers, Credit Unions & Caisses Populaires, Loan & Trust Corporations, and Pensions)
 0 0 0 0 0
 4,263 4,280 3,639 4,754 16,936
 151 166 183 155 655
 0 0 0 0 0
 12 2 4 2 20
Total
 4,426 4,448 3,8264,911 17,611
 
 

2015 Investigations

 

An investigation is the second step in the enforcement process. The purpose of an investigation is to gather evidence to support regulatory action, specifically a prosecution or administrative proceeding.
 
 
Category
Q1
Q2
Q3
Q4
Cumulative Total
All Sectors
Investigations Initiated
(Insurance, Mortgage Brokers, Credit Unions & Caisses Populaires, Loan & Trust Corporations, and Pensions)
 30 21 14 14 79
 
 


2014 Monitoring

 
FSCO undertakes a number of monitoring activities as part of its regulatory functions. It conducts criminal record checks, compliance audits, and reviews complaints in the sectors it regulates.
 
Category (click titles for definitions)
Q1
Q2
Q3
Q4
Cumulative Total
Monitoring Activities - All Sectors (Insurance, Mortgage Brokers, Credit Unions & Caisses Populaires, Loan & Trust Corporations, and Pensions)
50
 0
 0
 0
50
2,908
 2,655
 5,432
 3,214
14,209         
227
 360
 164
 185
936
74
 110
 0
 240
424
18
 140
 2
 3
163
Total
3,277
 3,265
 5,598
 3,642
15,782
 
 

2014 Investigations

 

An investigation is the second step in the enforcement process. The purpose of an investigation is to gather evidence to support regulatory action, specifically a prosecution or administrative proceeding.
 
 
Category
Q1
Q2
Q3
Q4
Cumulative Total
All Sectors
Investigations Initiated
(Insurance, Mortgage Brokers, Credit Unions & Caisses Populaires, Loan & Trust Corporations, and Pensions)
17
51
19
41
128
 
 


 

2013 Monitoring

 

FSCO undertakes a number of monitoring activities as part of its regulatory functions. It conducts criminal record checks, compliance audits, and reviews complaints in the sectors it regulates.
 
Category (click titles for definitions)
Q1
Q2
Q3
Q4
Cumulative Total
Monitoring Activities - All Sectors (Insurance, Mortgage Brokers, Credit Unions & Caisses Populaires, Loan & Trust Corporations, and Pensions)
0
 0
 0
 0
0
2,516
 3,618
 3,079
 2,489
11,702         
228
 308
 267
 257
1,060
0
 0
 0
 0
0
56
 21
 57
 22
156
Total
2,800
 3.947
 3,403
 2,768
12,198

 

2013 Investigations

 
An investigation is the second step in the enforcement process. The purpose of an investigation is to gather evidence to support regulatory action, specifically a prosecution or administrative proceeding.
 
Category
Q1
Q2
Q3
Q4
Cumulative Total
All Sectors
Investigations Initiated
(Insurance, Mortgage Brokers, Credit Unions & Caisses Populaires, Loan & Trust Corporations, and Pensions)
59
30
31
34
154
 


 

2012 Monitoring

 

FSCO undertakes a number of monitoring activities as part of its regulatory functions. It conducts criminal record checks, compliance audits, and reviews complaints in the sectors it regulates.
 
Category (click titles for definitions)
Q1
Q2
Q3
Q4
Cumulative Total
Monitoring Activities - All Sectors (Insurance, Mortgage Brokers, Credit Unions & Caisses Populaires, Loan & Trust Corporations, and Pensions)
0
 0
 0
 0
0
2,571
 3,201
 2,665
 2,585
11,022
384
 380
 262
 272
1,298
0
 0
 0
 0
0
24
 3
 0
 36
63
Total
2,979
 3,584
 2,977
 2,893
12,383
 

2012 Investigations

 
An investigation is the second step in the enforcement process. The purpose of an investigation is to gather evidence to support regulatory action, specifically a prosecution or administrative proceeding.
 
Category
Q1
Q2
Q3
Q4
Cumulative Total
All Sectors
Investigations Initiated
(Insurance, Mortgage Brokers, Credit Unions & Caisses Populaires, Loan & Trust Corporations, and Pensions)
35
30
23
13
101
 


2011 Monitoring

 

FSCO undertakes a number of monitoring activities as part of its regulatory functions. It conducts criminal record checks, compliance audits, and reviews complaints in the sectors it regulates.
 
Category (click titles for definitions) Q1​ Q2​ Q3​ Q4​ Cumulative Total
Monitoring Activities - All Sectors (Insurance, Mortgage Brokers, Credit Unions & Caisses Populaires, Loan & Trust Corporations, and Pensions)​
Continuing Education Audits 0  0  0  0 0
Criminal Record Checks 2,737  3,355  2,712  2,678 11,482
Complaint Reviews 365  343  366  262 1,336
Errors & Ommissions Insurance Audits 0  0  0  0 0
Onsite Compliance Exams 12  0  10  38 60
Total 3,113  3,698  3,088  2,940 12,839
 

2011 Investigations

 
An investigation is the second step in the enforcement process. The purpose of an investigation is to gather evidence to support regulatory action, specifically a prosecution or administrative proceeding.
 
Category Q1 Q2 Q3 Q4 Cumulative Total
All Sectors​ ​ ​ ​ ​ ​
Investigations Initiated
(Insurance, Mortgage Brokers, Credit Unions & Caisses Populaires, Loan & Trust Corporations, and Pensions)
35  28  31  26 120
 
  


2010 Monitoring

FSCO undertakes a number of monitoring activities as part of its regulatory functions. It conducts criminal record checks, compliance audits, and reviews complaints in the sectors it regulates.
 
Category (click titles for definitions) Q1​ Q2​ Q3​ Q4​ Cumulative Total
Monitoring Activities - All Sectors (Insurance, Mortgage Brokers, Credit Unions & Caisses Populaires, Loan & Trust Corporations, and Pensions)​
Continuing Education Audits 50​ ​0 ​0 ​0 ​50
Criminal Record Checks ​1,904 ​2,088 ​2327 ​1977 ​8296
Complaint Reviews ​172 ​216 ​245 ​231 ​864
Errors & Omission's Insurance Audits ​0 ​300 ​0 ​0 ​300
Onsite Compliance Exams ​1 ​26 ​42 ​26 ​95
Total ​2,127 ​2630 ​2614 ​2234 ​9605
 

2010 Investigations

 
An investigation is the second step in the enforcement process. The purpose of an investigation is to gather evidence to support regulatory action, specifically a prosecution or administrative proceeding.
 
Category Q1 Q2 Q3 Q4 Cumulative Total
All Sectors​ ​ ​ ​ ​ ​
Investigations Initiated
(Insurance, Mortgage Brokers, Credit Unions & Caisses Populaires, Loan & Trust Corporations, and Pensions)
28​
19
17
26
90