News & Analysis as of

Administrative Procedure Act Department of Financial Protection and Innovation (DFPI)

Troutman Pepper Locke

Troutman Pepper Locke Weekly Consumer Financial Services Newsletter – February 2025 # 3

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To keep you informed of recent activities, below are several of the most significant federal and state events that have influenced the Consumer Financial Services industry over the past week....more

Shipkevich PLLC

CA DFPI Approves Third Set of Proposed Regulations for the Registration of Debt Settlement Companies and Other Providers

Shipkevich PLLC on

On October 11, 2024, the California Department of Financial Protection and Innovation (DFPI) approved regulations submitted to the California Office of Administrative Law (OAL) under its authority granted by the California...more

Allen Matkins

Is Due Process Denied When The DFPI Isn't Required To Read Or Become Familiar With The Record?

Allen Matkins on

In  S.E.C. v. Jarkesy, 2024 WL 3187811 (June 27, 2024), the United States Supreme Court held that when the Securities and Exchange Commission seeks civil penalties against a defendant for securities fraud, the Seventh...more

Allen Matkins

OAL Rejects DFPI Proposed Regulations

Allen Matkins on

In March 2023, the California Department of Financial Protection & Innovation proposed to adopt numerous regulations to "implement, interpret, and make specific registration requirements for covered persons under the...more

Troutman Pepper Locke

Troutman Pepper Weekly Consumer Financial Services Newsletter - April 2024 # 5

Troutman Pepper Locke on

To keep you informed of recent activities, below are several of the most significant federal and state events that have influenced the Consumer Financial Services industry over the past week...more

Allen Matkins

Can Nonprecedential Decisions Be Relied Upon?

Allen Matkins on

Yesterday's post noted that an administrative decision had not been listed as a "precedent decision".  Today's post will delve into the role of precedential and nonprecedential agency decisions....more

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