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Compliance Survey - California Financial Information Privacy Act - SB1
The California Department of Corporations is gathering this information as part of its examination process to help determine compliance with the Financial Privacy Act, pursuant to its authority under Financial Code Sections 4057 and 4058. To accomplish this, the Department sent an email from email address sb1survey@corp.ca.gov on March 5 and 6, 2007 to those broker dealers and investment advisors for whom it had email information. Broker dealers and investment advisors for whom the department did not have an email address, as well as other licensees (including check sellers, bill payers and proraters; deferred deposit originators; escrow agents; finance lenders/brokers; and residential mortgage lenders/servicers) will receive the survey via US mail.
Click here to review our transmittal letter and the survey. Please complete the survey, save it, and return it within 20 days of receipt.
You may submit the survey electronically to sb1survey@corp.ca.gov. Just fill in the contact information, your email address will act as an electronic signature. You can also mail the survey back to the Sacramento address listed on the survey, to the attention of the financial privacy survey coordinator.
For broker dealers and investment advisors, the license number is your CRD number.
If you have questions, feel free to contact (916) 322-6126.