Enforcement Statistics

The following tables summarize enforcement cases received and handled for the period January 1 to December 31.

Year	Total Cases Opened	Escalated to Investigation	Escalated to Litigation Group
	Q1	Q2	Q3	Q4	YTD	Q1	Q2	Q3	Q4	YTD	Q1	Q2	Q3	Q4	YTD
2020	120				120	46				46	28				28
2019	95	111	128	119	453	41	23	44	37	145	29	23	18	17	87
2018	136	110	96	116	458	38	23	36	30	127	27	29	15	19	90
2017	131	118	99	121	469	53	60	48	56	217	48	30	35	38	151
2016	138	99	94	115	446	46	38	35	45	164	29	43	22	35	129
2015	116	104	106	122	448	33	42	40	52	167	38	23	20	43	124
2014	109	102	110	97	418	24	17	33	53	127	7	15	12	18	52
2013	125	98	110	93	426	44	25	24	20	113	18	21	12	10	61
2012	109	100	138	127	474	20	23	27	35	105	15	19	23	22	79
2011	103	114	101	140	458	22	20	23	29	94	10	14	12	13	49
2010	119	157	126	110	512	23	29	18	19	89	10	14	3	16	43
2009	172	180	116	114	582	23	45	12	32	112	18	12	14	6	50
2008	130	89	105	128	452	40	25	23	9	97	6	5	7	11	29
2007	89	102	56	106	353	33	37	24	20	114	7	15	10	3	35
2006	95	75	85	85	340	31	33	19	41	124	5	7	2	8	22
2005	200	101	91	110	502	16	33	18	35	102	3	2	2	4	11
2004	104	54	81	59	298	11	7	32	17	67	0	1	0	8	9
2003	51	44	76	87	258	1	6	15	11	33	0	0	0	0	0
2002	0	0	0	44	44	0	0	0	1	1	0	0	0	0	0

(a) Cases Opened (Click on table to reveal quarterly statistics)

Year	Total Cases Opened	Escalated to Investigation	Escalated to Litigation Group
2020	120	46	28
2019	453	145	87
2018	458	127	90
2017	469	217	151
2016	446	164	129
2015	448	167	124
2014	418	127	52
2013	426	113	61
2012	474	105	79
2011	458	94	49
2010	512	89	43
2009	582	112	50
2008	452	97	29
2007	353	114	35
2006	340	124	22
2005	502	102	11
2004	298	67	9
2003	258	33	0
2002	44	1	0

Year	Case Assessment	Investigation	Litigation Group	Total
	Q1	Q2	Q3	Q4	YTD	Q1	Q2	Q3	Q4	YTD	Q1	Q2	Q3	Q4	YTD	YTD
2020	82				82	10				10	24				24	116
2019	86	68	76	85	315	12	16	18	14	60	45	43	18	22	128	503
2018	80	88	85	69	322	17	21	14	23	75	34	22	43	40	139	536
2017	53	60	70	65	248	13	10	10	11	44	36	48	27	35	146	438
2016	75	94	84	54	307	16	9	17	12	54	24	23	29	13	89	450
2015	73	90	49	52	264	7	11	10	16	44	14	10	12	5	41	349
2014	79	68	62	67	276	11	7	5	15	38	21	11	13	14	59	373
2013	101	101	97	79	378	14	11	8	22	55	14	11	13	12	50	483
2012	109	95	91	74	369	9	16	16	14	55	6	20	12	17	55	479
2011	103	94	102	83	382	16	15	12	13	56	16	10	10		46	484
2010	122	113	94	114	443	10	22	12	11	55	12	10	15	7	44	542
2009	85	111	123	114	433	22	10	8	6	46	2	5	4	4	15	494
2008	59	76	87	67	289	19	36	13	17	85	12	1	6	3	22	396
2007	93	120	48	63	324	15	30	17	17	79	1	5	6	7	19	422
2006	55	68	40	77	240	7	21	13	25	66	4	3	7	0	14	320
2005	46	76	76	67	265	16	16	18	7	57	0	2	5	0	7	329
2004	46	27	105	62	240	2	3	16	12	33	0	0	0	1	1	274
2003	42	30	36	38	146	0	2	0	4	6	0	0	0	0	0	152
2002	0	0	0	25	25	0	0	0	0	0	0	0	0	0	0	25

(b) Cases Closed (Click on table to reveal quarterly statistics)

Year	Case Assessment	Investigation	Litigation Group	Total
2020	82	10	24	116
2019	315	60	128	503
2018	322	75	139	536
2017	248	44	146	438
2016	307	54	89	450
2015	264	44	41	349
2014	276	38	59	373
2013	378	55	50	483
2012	369	55	55	479
2011	382	56	46	484
2010	443	55	44	542
2009	433	46	15	494
2008	289	85	22	396
2007	324	79	19	422
2006	240	66	14	320
2005	265	57	7	329
2004	240	33	1	274
2003	146	6	0	152
2002	25	0	0	25

Jurisdiction	Case Assessment	Investigation	Litigation	All Groups
New Brunswick	3	5	3	11
Newfoundland	1	1	2	4
Nova Scotia	1	3	6	10
PEI	0	0	0	0
Total Atlantic Region	5	9	11	25
Ontario	72	68	75	215
Quebec	0	0	1	1
Total Central Region	72	68	76	216
Alberta	15	14	18	47
Manitoba	6	9	5	20
Northwest Territory	0	0	0	0
Nunavut Territory	0	0	0	0
Saskatchewan	3	3	3	9
Total Prairie Region	24	26	26	76
British Columbia	27	19	20	66
Yukon Territory	1	0	0	1
Total Pacific Region	28	19	20	67
Canada	129	122	133	384

(c) Active Caseload as at March 31, 2020 (Click on table to reveal provincial statistics)

Jurisdiction	Case Assessment	Investigation	Litigation Group	All Groups
Total Atlantic Region	5	9	11	25
Total Central Region	72	68	76	216
Total Prairie Region	24	26	26	76
Total Pacific Region	28	19	20	67
Canada	129	122	133	384

Year	Cautionary Letter*	Warning Letter*	Agreement and Undertaking	Notice of Hearing
	Q1	Q2	Q3	Q4	YTD	Q1	Q2	Q3	Q4	YTD	Q1	Q2	Q3	Q4	YTD	YTD
2020	34				34	21				21	0				0	17
2019	26	23	29	35	113	21	21	26	24	92	0	0	0	0	0	78
2018	28	28	31	27	114	32	35	29	31	127	1	0	0	0	1	136
2017	15	15	20	23	73	28	30	29	24	111	0	0	0	0	0	121
2016	21	24	30	11	86	36	40	22	22	120	0	0	0	0	0	111
2015	31	23	17	15	86	19	22	22	22	85	0	1	0	0	1	69
2014	21	19	25	30	95	28	18	14	30	90	0	0	0	0	0	48
2013	35	40	36	27	138	27	31	33	46	137	0	0	0	0	0	65
2012	34	33	39	29	135	14	36	22	14	86	0	0	0	0	0	48
2011	41	43	38	29	151	20	20	24	17	81	0	0	0	0	0	36
2010	43	57	29	52	181	24	19	13	13	69	0	0	0	0	0	35
2009**	0	0	32	38	70	67	63	29	33	192	1	0	1	0	2	31
2008	0	0	0	0	0	55	67	50	53	225	1	3	2	1	7	31
2007	0	0	0	0	0	60	74	43	41	218	8	7	1	1	17	20
2006	0	0	0	0	0	18	39	21	41	119	6	1	1	2	10	8
2005	0	0	0	0	0	28	35	44	29	136	2	5	4	7	18	14
2004	0	0	0	0	0	3	7	31	19	60	0	0	1	1	2	1
2003	0	0	0	0	0	1	3	3	4	11	0	0	0	0	0	0
2002	0	0	0	0	0	0	0	0	0	0	0	0	0	0	0	0

(d) Cases in which Discipline Imposed (Click on table to reveal quarterly statistics)

Year	Cautionary Letter*	Warning Letter*	Agreement and Undertaking	Notice of Hearing
2020	34	21	0	17
2019	113	92	0	78
2018	114	127	1	136
2017	73	111	0	121
2016	86	120	0	111
2015	86	85	1	69
2014	95	90	0	48
2013	138	137	0	65
2012	135	86	0	48
2011	151	81	0	36
2010	181	69	0	35
2009**	70	192	2	31
2008	0	225	7	31
2007	0	218	17	20
2006	0	119	10	8
2005	0	136	18	14
2004	0	60	2	1
2003	0	11	0	0
2002	0	0	0	0

*Each Case may result in informal discipline to one or more subjects
**Cautionary letters were introduced in July 2009

(e) Cases Opened by Type (January 1, 2020 to March 31, 2020)

Type	Number of cases*	Percentage of total
Business Standards	17	14%
Suitability – Investments	12	10%
Unauthorized/Discretionary Trading	10	8%
Pre-Signed Forms	9	8%
Active Signature Falsification	9	8%
Personal Financial Dealings	6	5%
Confidentiality / Privacy	6	5%
Forgery / Fraud / Theft / Misappropriation / Misapplication	5	4%
Outside Activity	5	4%
Suitability – Leveraging	5	4%
Commissions and Fees	4	3%
Policy & Procedures	4	3%
Conflict of Interest	3	2%
Books / Records / Client Reporting	3	2%
Acting Outside Registration Status	3	2%
Reporting Violations	3	2%
Transfer of Accounts	2	2%
Complaint Procedure	2	2%
KYC Documentation Deficiency	2	2%
Stealth Advising	2	2%
Supervision	1	1%
Falsification / Misrepresentation	1	1%
Sales Communication	1	1%
Disclosure	1	1%
Failure to Cooperate	1	1%
Provincial Securities Legislation	1	1%
Excessive Trading / Churning	1	1%
Financial Requirements	1	1%
Total	120	100%

*”Type” refers to the primary allegation in the case, whether or not the alleged conduct was found to have occurred.

(f) Cases Opened by Source (January 1, 2020 to March 31, 2020)

(g) Cases Closed by Reason (January 1, 2020 to March 31, 2020)

Reason	Number of cases	Percentage of total
No Violation Established	43	37%
Cautionary Letter(s) Sent	34	30%
Warning Letter	21	18%
Hearing – Settlement – Violation Established	12	10%
Hearing – Violation Established	6	5%
Total	116	100%

Year	Total Complaint Events Reported*
	Q1	Q2	Q3	Q4	YTD
2020	501				501
2019	449	327	277	274	1,327
2018	441	403	293	426	1,563
2017	377	337	354	359	1,427
2016	475	397	318	338	1,528

(h) METS Complaint Events Reported (January 1 to December 31) (Click to Reveal Quarterly Details)

Year	Total Complaint Events Reported*
2020	501
2019	1,327
2018	1,563
2017	1,427
2016	1,528

*Numbers may change as a result of updates made to the system