Cal. Code Regs. tit. 10 § 10.4355

Current through Register 2024 Notice Reg. No. 52, December 27, 2024
Section 10.4355 - Information Regarding Officers and Employees
(a) Provide a table showing, with respect to each executive officer of the applicant:
(1) Name.
(2) Business address.
(3) Home address.
(4) Age.
(5) Date first employed by the applicant.
(6) Amount and type of securities of the applicant owned, directly or indirectly, of record or beneficially, by the executive officer.
(7) Title.
(8) Duties.
(9) Annual salary.
(b) With respect to each executive officer of the applicant listed in the table called for in Subdivision (a) of this Section, provide:
(1) Personal financial statement in the form of Department Form 2, containing the information called for therein, dated as of a date within 90 days before the filing of the application, and signed by the executive officer.
(2) Confidential resume the form of Department Form 3, containing the information called for therein, and dated as of a date within 90 days before the filing of the application, and signed by the executive officer.
(3) Statement dated as of a date within 90 days before the filing of the application and signed by the executive officer, stating:
(A) Commercial banking, trust, other financial, and other business experience of the executive officer, including, with respect to each position held, title, description of duties, name and address of employer, period of employment, and reason for leaving.
(B) Whether or not the executive officer has ever been discharged or requested to resign from any position, and, if so, an account of the circumstances.
(c) State the total number of officers and employees of the applicant.

Cal. Code Regs. Tit. 10, § 10.4355