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Broker-Dealer Department of Corporations

Allen Matkins

What Does The DBO Regulate?

Allen Matkins on

The Department of Business Oversight is more than a securities regulator.  When I headed the Department of Corporations, it was also a health care regulator - administering and enforcing California's Knox-Keene Health Care...more

Allen Matkins

If You Did This, It Would Be Fraud!

Allen Matkins on

All fees, reimbursements, assessments, and other money or amounts charged and collected by the Department are required to be deposited into the the State Corporations Fund. Cal. Gov’t Code § 13978.6(b). The legislature...more

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