We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.
In cooperation with Association of Corporate Counsel
  Request new password

Search results

Order by most recent / most popular / relevance

Results: 1-6 of 6

DOC warns financial services licensees and can a theory be a tautology?

  • Allen Matkins Leck Gamble Mallory & Natsis LLP
  • -
  • USA
  • -
  • December 7 2012

Last April, the Consumer Financial Protection Bureau issued this Bulletin cautioning supervised banks and certain non-depository financial services companies that they must have “an effective process for managing the risks of service provider relationships”

A look at recent DOC enforcement activity

  • Allen Matkins Leck Gamble Mallory & Natsis LLP
  • -
  • USA
  • -
  • November 12 2012

The California Department of Corporations administers and enforces numerous state laws, including the Commodity Law, Corporate Securities Law of 1968, Deferred Deposit Law, Escrow Law, Franchise Law, Finance Lenders Law, and Residential Mortgage Lending Act

Are REITs investment advisers?

  • Allen Matkins Leck Gamble Mallory & Natsis LLP
  • -
  • USA
  • -
  • June 29 2012

A REIT is an acronym for Real Estate Investment Trust, although the term more properly refers to tax status than a specific entity type

Borrowing money? The legislature may require you to tell the doc

  • Allen Matkins Leck Gamble Mallory & Natsis LLP
  • -
  • USA
  • -
  • April 10 2012

California defines a “security” to include an “evidence of indebtedness” in Section 25019

Governor proposes to consolidate the DFI and DOC

  • Allen Matkins Leck Gamble Mallory & Natsis LLP
  • -
  • USA
  • -
  • January 17 2012

Article IV, Section 12(a) of the California Constitution requires the Governor to submit to the legislature a proposed budget for the ensuing fiscal year within the first ten days of the calendar year

Federal preemption and bank securities: was the commissioner’s order really necessary?

  • Allen Matkins Leck Gamble Mallory & Natsis LLP
  • -
  • USA
  • -
  • September 16 2011

The August 2011 Monthly Bulletin published by the Department of Financial Institutions recently arrived in my inbox