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STATE OF CALIFORNIA Department of Financial Protection …
financial services using virtual currencies should have policies, procedures, and processes to protect against the unique risks that virtual currencies present. Refer to the OFAC Guidance, OFAC Sanctions Compliance Guidance for the Virtual Currency Industry. Licensees should consider virtual currency-specific control measures
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STATE OF CALIFORNIA Department of Financial Protection …
dfpi.ca.govDepartment of Financial Protection and Innovation GOVERNOR Gavin Newsom · COMMISSIONER Clothilde Hewlett . INSTRUCTIONS FOR COMPLETING THE 202. 1. ANNUAL REPORT FOR LENDERS AND BROKERS LICENSED UNDER THE CALIFORNIA FINANCING LAW (CFL) The 20ATTENTION: 2. 1CFL Annual Report is a webased application and must be …
Proposed Regulations Under the Debt Collection Licensing Act
dfpi.ca.govCommissioner. Note: Authority cited: Section 100003, Financial Code. Reference: Section 1633.7, Civil Code; and . Sections 100004, 100006, 100006.3 and 100015, Financial Code. § 1850.6.1. Language. Each document filed with the Commissioner shall be in the English language. However, whenever the Commissioner requires that a document that is not ...
Nano Banc Order to Cease and Desist - 12.15
dfpi.ca.gov2. On February 24, 2021, the Department of Financial Protection and Innovation (“Department”) issued an order (“February Order”), to which the Bank consented, requiring the Bank to provide 30 days advance notice before appointing, electing or adding any new individuals to the Board and executive management. The February Order reads, in ...
TITLE 10 OF THE CALIFORNIA CODE OF REGULATIONS
dfpi.ca.govor permit a property owner to waive any mandatory provision of these rules and regulations, unless the law or regulation expressly authorizes a waiver. Note: Authority cited: Section 22150, Financial Code. Reference: Section 22001 and 22689 22150
NOTICE OF TRANSACTION PURSUANT TO …
dfpi.ca.gov(2) any offer or sale of a security pursuant to a qualification under Section 25110 or 25120 which became effective after the filing of the notice of the transaction pursuant to Rule 260.102.14, or in which the application for qualification discloses the transaction under the exemption, whether past, current or proposed.
Broker-Dealer / Investment Adviser Program 2022 Annual ...
dfpi.ca.govwriting and enforcing its rules as well as federal securities rules and laws established by the SEC. FINRA conducts regulatory examinations of its member broker-dealers and broker-dealer branch offices. Since BDIA is the sole regulatory authority over state-registered investment advisers, the Department has placed a priority on their examination.
Application for Finance Lender or Broker's License
dfpi.ca.govThe fictitious business name must be provided in addition to the legal name. Applicants who intend to conduct business under a fictitious business name are required to comply with the rules governing the filing of a fictitious business name as set forth in the Business and Professions Code, beginning at section 17900.
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Policy Responses to the Economic Crisis: Investing in …
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