Tag Archives: DBO Exam

California RIAs – Exam update

As previously discussed in my blog on February 4, 2016  the California Department of Business Oversight has hired eighteen new examiners.  In the past several months, I have seen several deficiency letters from these examiners.  One thing that keeps coming … Continue reading

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California Registered Investment Advisers – Are you Ready?

In July 2015, the State of California hired 18 new examiners for its Department of Business Oversight (DBO).  This is the department that examines California registered investment advisers. As a result I have seen an increase in the number of … Continue reading

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