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Section § 31550

Não é permitido assumir o controle de uma empresa licenciada sem obter permissão prévia do comissário.

adquirir controle licenciado aprovação do comissário propriedade empresarial conformidade regulatória aquisição de negócios autoridade de licenciamento transferência de propriedade requisito de permissão regulamentações empresariais aquisição de controle processo de aprovação supervisão entidades reguladas mudança de controle

(Amended by Stats. 1996, Ch. 1064, Sec. 669. Effective January 1, 1997. Operative July 1, 1997.)

Section § 31551

[TL: This law says that if someone wants to take control of a company that is already licensed, the commissioner must approve their application if certain conditions are met.]

[TL: These conditions include that the applicant and their directors are trustworthy and financially stable, the applicant will follow all relevant laws and regulations, and any major changes they plan to make won't harm the company's safety or the public's interest.]

[TL: If these conditions aren't met, the commissioner can deny the application after a review process.]

[TL: If the commissioner finds, with respect to an application for approval to acquire control of a licensee:]

(a) [TL: That the applicant and the directors and officers of the applicant are of good character and sound financial standing;]

(b) [TL: That it is reasonable to believe that, if the applicant acquires control of the licensee, the applicant will comply with all applicable provisions of this division and of any regulation or order issued under this division; and]

(c) [TL: That the applicant’s plans, if any, to make any major change in the business, corporate structure, or management of the licensee are not detrimental to the safety and soundness of the licensee or to the public convenience and advantage;]

[TL: The commissioner shall approve the application. If, after notice and a hearing, the commissioner finds otherwise, he or she shall deny the application.]

[TL: commissioner approval] [TL: acquire control] [TL: licensee] [TL: good character] [TL: financial standing] [TL: comply with regulations] [TL: business changes] [TL: corporate structure] [TL: management changes] [TL: public convenience] [TL: safety and soundness] [TL: application denial] [TL: notice and hearing process] [TL: applicant's plans] [TL: trustworthy directors]

(Amended by Stats. 1996, Ch. 1064, Sec. 670. Effective January 1, 1997. Operative July 1, 1997.)

Section § 31551.5

Seksyon lwa sa a pèmèt komisyonè a deside si yon moun k ap aplike pou yon lisans finansye, oswa direktè ak ofisye yo, pa gen bon karaktè si yo te kondane pou krim ki gen rapò ak fwod oswa malonètete. Si yon moun konsa gen plan pou fè gwo chanjman nan jesyon, sa ka konsidere kòm danjere pou sekirite moun ki gen lisans lan ak enterè piblik la. Anplis de sa, seksyon an fè konnen sa yo pa sèl rezon ki fè yon moun ka jije kòm pa gen bon karaktè, sa ki kite plas pou lòt konsiderasyon.

(a) Pou rezon Seksyon 31551, komisyonè a ka jwenn:

(1) Ke yon aplikan oswa yon direktè oswa ofisye yon aplikan pa gen bon karaktè si moun sa a te kondane pou, oswa te plede nolo contendere pou, yon krim ki enplike fwod oswa malonètete.

(2) Ke plan yon aplikan pou fè yon gwo chanjman nan jesyon yon moun ki gen lisans prejidis pou sekirite ak solidite moun ki gen lisans lan ak pou konvenyans ak avantaj piblik la si plan an prevwa pou yon moun ki te kondane pou, oswa ki te plede nolo contendere pou, yon krim ki enplike fwod oswa malonètete vin yon direktè oswa ofisye moun ki gen lisans lan.

(b) Sou-divizyon (a) pa dwe konsidere kòm sèl rezon ki fè komisyonè a ka jwenn, pou rezon Seksyon 31551, ke yon aplikan oswa yon direktè oswa ofisye yon aplikan pa gen bon karaktè oswa ke plan yon aplikan pou fè yon gwo chanjman nan jesyon yon moun ki gen lisans prejidis pou sekirite ak solidite yon moun ki gen lisans oswa pou konvenyans ak avantaj piblik la.

lisans finansye bon karaktè kondanasyon pou fwod malonètete chanjman jesyon aplikan plan jesyon prejidis sekirite ak solidite konvenyans piblik avantaj piblik diskresyon komisyonè jesyon lisansye gwo chanjman jesyon

(Amended by Stats. 1996, Ch. 1064, Sec. 671. Effective January 1, 1997. Operative July 1, 1997.)

Section § 31552

Esta ley permite al comisionado eximir a ciertas personas o actividades financieras de las reglas de este capítulo si cree que es en el mejor interés del público y que estas exenciones no afectarán negativamente los objetivos generales de la división.

autoridad del comisionado interés público exención transacciones financieras exenciones regulatorias términos específicos exenciones incondicionales clase de personas regulación de transacciones condiciones apropiadas propósitos de la división regulación necesaria regulación financiera períodos específicos órdenes de regulación

(Amended by Stats. 1996, Ch. 1064, Sec. 672. Effective January 1, 1997. Operative July 1, 1997.)