The Financial Services Commission of Ontario is committed to providing quality service in performing its regulatory activities. 

As part of our commitment, in performing regulatory examinations, we will:

• Be fair, impartial and courteous, performing our work with respect and dignity;
• Provide services which are unbiased and objective, based on statutes and regulations; and conform to established standards, procedures and specifications;
• Target high-risk areas and thereby improve our programs and services;
• Deliver efficient and effective services within appropriate and established time frames;
• Listen to your comments, suggestions and concerns in an effort to improve our services and to meet your needs;
• Respond to your inquiries or complaints within established standards;
• Maintain a high level of competence by committing to continuous learning and keeping abreast of new technologies, approaches and methods;
• Follow government quality-service standards and those of our respective ministries;
• Continue to improve accessibility to our services;
• Set and maintain service standards which delineate the conduct of Examiners;

Examiners of FSCO will carry out their duties in a manner which demonstrates:

Professional Behaviour…

Examiners will conduct themselves in a fashion which:

• promotes respect for the law;
• encourages public confidence in their, competence, fairness and impartiality;
• reflects the high standards, character and demeanor expected of those entrusted with the compliance function; and
• ensures that the duties being performed are timely, consistent, impartial and courteous.

Honesty and Integrity…

Examiners will not engage in activities that are, or could appear to be, incompatible with their responsibilities and duties, or call into question their objectivity, integrity and impartiality.  They will conform to the OPS Conflict of Interest Guidelines and identify situations of potential, actual or perceived conflict of interest.

Fairness…

Examiners will perform their duties with objectivity and in a manner which demonstrates that they are impartial participants in the examination and enforcement process.

Businesslike Appearance…

FSCO endorses "business casual" as its standard for personal appearance.  However, more formal business attire should be worn, as appropriate in the circumstances, when employees are representing the Commission or attending meetings with stakeholders, staff from other Ministries, professionals and/or members of the General Public.

Knowledge and Good Judgement…

Examiners will utilize their training and experience to its maximum potential by:

• Risk and Compliance – targeting their efforts on high-risk areas and using compliance tools that are flexible and proportionate to the level of risk and the nature and circumstances of the contravention;
• Rights – respecting individual rights, including the right to privacy;
• Timeliness – conducting and concluding activities in a timely fashion;
• Competence – making a commitment to a high degree of competence through continuous learning;
• Documentation – collecting information professionally and in compliance with FSCO’s policies which are designed to comply with relevant legislation consistent with the principle of administrative fairness;
• Decisions – making impartial and objective decisions based on relevant legislation, regulations, standards and OPS and FSCO policies and practices.

Consistency…

Examiners will be consistent in their approach to compliance while taking into account the level of complexity and client history.

Clear Communication… 

Examiners will engage in two-way communications with you and will:

• listen to you;
• remain calm and professional at all times;
• verify the accuracy of information before using it in making regulatory recommendations.

Courtesy…

Examiners will be courteous at all times and in all situations, and in return will expect similar courtesy.

Quality Service at FSCO

FSCO is committed to service excellence as we carry out our responsibilities. We welcome any comments and suggestions that might help us provide even better service.

If you have any comments/suggestions/complaints about the services provided by FSCO they must be made in writing (letter or e-mail).

Please e-mail us at: QualityService@fsco.gov.on.ca or write to us at:

Quality Service
Corporate Services Division
Financial Services Commission of Ontario
5160 Yonge Street, Box 85
Toronto, Ontario
M2N 6L9