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Financial Institutions › Securities Regulation › Department of Financial Protection and Innovation (DFPI)

Allen Matkins

Broker-Dealers, Investment Advisers And Others May Soon Face Enforcement Under the California Consumer Financial Protection Law

Allen Matkins on

In 2020, the legislature enacted the California Consumer Financial Protection Law.  The CCFPL significantly expanded the regulatory authority of the the Department of Financial Protection & Innovation by granting it the...more

Allen Matkins

What Doesn't The DFPI Regulate?

Allen Matkins on

In the mid 1990s, I had the privilege of serving as Commissioner of Corporations for the State of California.  At that time, the DOC was known as a tough securities regulator.  However, the times they were a changin'.  In...more

Goodwin

OCC Delays Publication Of Trump Administration “Fair Access” Rule

Goodwin on

In this Issue. The Office of the Comptroller of the Currency (OCC) delayed publication of the “fair access” rule finalized late in the Trump Administration; the OCC also announced the availability of the 2021 list of bank...more

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