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16MARY ANN SMITH Deputy Commissioner SEAN ROONEY Assistant Chief Counsel JOHNNY VU ONG (State Bar No. 249570) Senior Counsel Department of Business Oversight 320 W. 4th Street, Suite 750 Los Angeles,
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California Department of Business Oversight (DBO) is a state agency responsible for regulating financial services and products in California, including banks, credit unions, securities brokers, and investment advisors.
Financial institutions and businesses operating in California that provide financial services or products are required to file with the California Department of Business Oversight.
To fill out the California Department of Business Oversight forms, businesses and financial institutions must provide detailed information about their operations, financial health, and compliance with state regulations.
The purpose of the California Department of Business Oversight is to protect consumers, promote transparency and accountability in the financial industry, and ensure compliance with state laws and regulations.
Businesses and financial institutions filing with the California Department of Business Oversight must report financial data, operational information, compliance with state regulations, and any other relevant details about their activities.
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