OSC: Complaint Data - CVMO: Statistiques sur les plaintes

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Complaint Data

COMPLAINT TOTALS*

2000/2001	2001/2002	2002/2003	2003/2004
2004/2005	2005/2006	2006/2007	2007/2008
* The numbers reported here do not include complaints that may have been directed to one or all of the recognized self-regulatory organizations (SROs) and exchanges in Ontario, including the Investment Dealers Association of Canada ("IDA"), the Mutual Fund Dealers Association ("MFDA"), Regulation Services, Inc. ("RS"), or the Toronto Stock Exchange ("TSX"). Also, complainants may have reported their matter to more than one agency or regulator.

MOST COMMON COMPLAINTS Represents 76% of the Total Complaints for Quarter 4 2007-2008
Complaint Type	Q4 07-08	Q4 06-07	% Change	Trend
Complaints from victims of scams and fraudulent activities or information from investors who have identified activities they believe to be fraudulent and against which they would like the OSC to take action.	24	27	-11%
Customer Service issues relating to transfer of account problems, fees charged (other than OSC fees), or operational concerns with registrants and issuers.	23	46	-50%
Complaints and additional information provided relating to Administrative Proceedings, Hearings, or Investigations.	16	62	-74%
Reporting Issuer Matters which include Cease Trade Orders, Default companies, Corporate Governance issues, Shareholder Rights matters	13	43	-70%
Information provided by stakeholders alleging insider trading or self dealing by issuers and their senior officers and directors, including the 22 received through the TIPS process.	8	35	-77%

MOST COMMON INQUIRIES Represents 76% of the Total Inquires for Quarter 4 2007-2008
Inquiry Type	Q4 07-08	Q4 06-07	% Change	Trend
General Inquiries and Questions (including requests for publications and forms, where to find information on the OSC website, or elsewhere, etc.)	3,193	2,736	17%
Requests from registrants and investors concerning Registration policies and procedures, inquiries about status, registration history, etc	837	1,017	-18%
Requests from insiders and issuers for help to input information to the SEDI system, and requests from the public for help in finding the information they are seeking on SEDI.	563	888	-37%
Reporting Issuer Matters which include Cease Trade Orders, Default companies, Corporate Governance issues, Shareholder Rights matters.	449	647	-31%
Requests from Registrants for help in inputting and extracting information from the National Registration Database (NRD)	347	448	-23%