FSRA issues Notice of Proposal against Mark Dennis Carter

The Financial Services Regulatory Authority of Ontario (FSRA) has initiated enforcement action against Mark Dennis Carter.

FSRA alleges that Mark Dennis Carter failed to maintain errors and omissions insurance or an approved form of financial guarantee contrary to Ontario Regulation 347/04.  FSRA also alleges that Mark Dennis Carter furnished false and misleading information to FSRA contrary to section 447(2)(a) of the Insurance Act.

FSRA is proposing to impose administrative penalties against Mark Dennis Carter.

Mark Dennis Carter may request a hearing before the Financial Services Tribunal about this proposal.

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FSRA continues to work on behalf of all stakeholders, including consumers, to ensure financial safety, fairness, and choice for everyone.

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For media inquiries:

Russ Courtney
Sr. Media Relations and Digital Officer
Financial Services Regulatory Authority
C: 437-225-8551
Email: [email protected]

Enforcement Actions