California Code of Regulations
Title 10 - Investment
Chapter 3 - Commissioner of Financial Protection and Innovation
Subchapter 2.3 - Capital Access Companies
Article 10 - Reports to the Commissioner
Section 280.605 - Verification of Reports

Universal Citation: 10 CA Code of Regs 280.605

Current through Register 2024 Notice Reg. No. 38, September 20, 2024

Attached to each financial report filed pursuant to these rules shall be a verification that, to the best knowledge and belief of the person making the verification,

(1) the financial statements and supporting schedules are true and correct, and

(2) no partner, officer, member, employee, trustee or director, thereof has any proprietary interest in any account classified as that of an investor. If the capital access company is a partnership, the verification shall be made by a general partner; if by a corporation, by a duly authorized officer; by a trust, a trustee; by a limited liability company, by a member.

1. New section filed 6-24-99; operative 7-1-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 26).

Note: Authority cited: Sections 28502 and 28951, Corporations Code. Reference: Section 28502, Corporations Code.

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