ComSet (Complaints and Settlement Reporting System) is a system that enables reporting of client complaints and disciplinary matters by dealer Members to IIROC. With ComSet, staff can identify new and emerging compliance or regulatory issues, as well as patterns and trends in the industry, at the national, regional and firm level that help to direct focus on potential problems, areas that require enhanced compliance review, or events that warrant enforcement action.
|
2011 (as of December 31) |
2010 |
2009 |
2008 |
2007 |
2006 |
2005 |
|
Number of reports in ComSet |
1,709 |
1,728 |
2,314 |
2,393 |
1,858 |
1,924 |
1,836 |
|
Number of events reported |
|
|
|
|
|
|
|
|
Civil claim |
266 |
362 |
337 |
224 |
277 |
382 |
383 |
|
Criminal charge |
11 |
16 |
11 |
9 |
8 |
8 |
6 |
|
Customer complaint |
1,285 |
1,256 |
1,852 |
1,992 |
1,419 |
1,415 |
1,314 |
|
Denial of registration or approval |
|
|
|
|
3 |
|
1 |
|
External disciplinary action |
16 |
19 |
7 |
29 |
15 |
25 |
23 |
|
Internal disciplinary action |
22 |
35 |
37 |
48 |
29 |
28 |
39 |
|
Internal investigation |
109 |
40 |
70 |
91 |
107 |
66 |
70 |