Investment Advisers – Annual Written Examination Questionnaire Online
The Department of Financial Protection and Innovation (DFPI) enforces the Corporate Securities Law of 1968 and its implementing regulations. The Broker Dealer and Investment Adviser Division (Division) has an investment advisory program that consists of registration/licensing and examination components. Both components are integral to the integrity of the investment advisory industry and the protection of investors.
The Division is launching an Annual Written Examination Questionnaire of certain Investment Advisors registered with DFPI. The examination consists of an online questionnaire that investment advisory firms are required to complete and return to the Division.
Although the Division has the authority to conduct on-site examinations of investment advisers with or without notice, the Division has determined that, in certain cases, on-site examinations, may not be necessary. Rather, this online examination may be preferable.
You have been selected as a candidate for online examination. After reviewing your examination responses, the DFPI may contact you with additional questions, or requests for information, or may determine that an on-site examination is warranted.
To receive the online questionnaire and follow-up emails from the Division, you must designate a business email address to DFPI by April 9, 2018. The designated business email address must be dedicated to receiving DFPI communications, and be monitored by the executive staff of your firm, to ensure prompt attention is paid to communications from DFPI.
Please provide your designated business e-mail address by April 9, 2018 to IAAEQ@dfpi.ca.gov.
If you have any questions or inquiries, please contact the Division at: IAAEQ@dfpi.ca.gov.