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  2. California Department of Financial Protection and Innovation

    en.wikipedia.org/wiki/California_Department_of...

    In an effort to strengthen consumer financial protections in California, Governor Gavin Newsom in 2020 proposed an initiative [3] to modernize and revamp the Department of Business Oversight (DBO). The measure included an increase in staff and authority, to enhance the department's regulatory scope and enable it to become a national model for ...

  3. List of financial regulatory authorities by jurisdiction

    en.wikipedia.org/wiki/List_of_financial...

    China Banking Regulatory Commission (2003–2018), China Insurance Regulatory Commission (2003–2018), China Banking and Insurance Regulatory Commission (2018–2023), and Financial Stability and Development Committee (2017–2023) Hungarian Financial Supervisory Authority (2000–2013) Financial Regulator (Ireland) (2003–2010)

  4. California Department of Financial Institutions - Wikipedia

    en.wikipedia.org/wiki/California_Department_of...

    Pursuant to the Governor's Reorganization Plan No. 2 of 2012, the Department of Financial Institutions and Department of Corporations became divisions of the California Department of Business Oversight (DBO) on July 1, 2013.

  5. Financial regulatory authority - Wikipedia

    en.wikipedia.org/wiki/Financial_regulatory_authority

    Financial regulatory authorities include those in charge of bank supervision; of securities regulation, often referred to as securities commissions; of anti-money laundering supervision of financial firms; and of consumer protection in financial services, and more generally of enforcing "conduct-of-business" requirements, not to mention ...

  6. Banking regulation and supervision - Wikipedia

    en.wikipedia.org/wiki/Banking_regulation_and...

    By and large, banking regulation and supervision aims at ensuring that banks are safe and sound and at fostering market transparency between banks and the individuals and corporations with whom they conduct business. Its main component is prudential regulation and supervision whose aim is to ensure that banks are viable and resilient ("safe and ...

  7. California Department of Corporations - Wikipedia

    en.wikipedia.org/wiki/California_Department_of...

    The Department of Corporations was originally known as the "State Corporation Department" and was created by the "Investment Companies Act". [1] Governor Hiram Johnson appointed H.L. Carnahan as California's first Commissioner of Corporations in 1914. The Investment Companies Act faced immediate opposition but was approved by the voters in a ...

  8. FCA Controlled Functions - Wikipedia

    en.wikipedia.org/wiki/FCA_Controlled_Functions

    The compliance oversight function is the function of acting in the capacity of a director or senior manager who is allocated by the Financial Services Authority the function of reporting to the governing body to ensure compliance with the rules set out in Conduct of Business, Collective Investment Schemes and Client Assets related operations. [10]

  9. List of official business registers - Wikipedia

    en.wikipedia.org/wiki/List_of_official_business...

    This is a list of official business registers around the world. [1] [2]There are many types of official business registers, usually maintained for various purposes by a state authority, such as a government agency, or a court of law.