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Your search found 1053 hits- Disclosure statements (HAR §16-39-439)Advisers must provide each client and prospective client a written disclosure statement which may be a copy of the adviser’s Form ADV Part II or another written document containing at least the information provided on the Form ADV Part II (Investment Advisers Act of 1940) Not less than 48 hours prior to entering into any […]
- RELEASE: Securities Commissioner Orders Leilani Embernate and Joycelyn Embernate to Cease and DesistDEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS DAVID Y. IGE GOVERNOR CATHERINE P. AWAKUNI COLÓN DIRECTOR TY Y. NOHARA SECURITIES COMMISSIONER FOR IMMEDIATE RELEASE January 3, 2017 Securities Commissioner Orders Leilani Embernate and Joycelyn Embernate to Cease and Desist Asserts the Embernates and their company, Twin Stars of the Pacific, Inc., violated state anti-fraud provisions HONOLULU […]
- Military ResourcesThis section is dedicated to our military men, women, and their families. Included are links to investor education information that has been designed especially with our military in mind. The following is a listing of resources that are available for viewing and/or printing. Click on the links below to access/connect some helpful information. Military Handouts […]
- RELEASE: DCCA WARNS PUBLIC TO BEWARE OF ILLEGAL PYRAMID INVESTMENT SCHEMESDEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS DAVID Y. IGE GOVERNOR CATHERINE P. AWAKUNI COLÓN DIRECTOR TY Y. NOHARA SECURITIES COMMISSIONER FOR IMMEDIATE RELEASE December 4, 2017 DCCA WARNS PUBLIC TO BEWARE OF ILLEGAL PYRAMID INVESTMENT SCHEMES Honolulu – The Department of Commerce and Consumer Affairs’ (DCCA) Commissioner of Securities wants to remind the public […]
- RELEASE: Registration Now Open for the 2018-2019 Hawaii LifeSmarts CompetitionDEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS DAVID Y. IGE GOVERNOR CATHERINE P. AWAKUNI COLÓN DIRECTOR TY Y. NOHARA SECURITIES COMMISSIONER FOR IMMEDIATE RELEASE August 28, 2018 Registration Now Open for the 2018-2019 Hawaii LifeSmarts Competition HONOLULU – The Department of Commerce and Consumer Affairs (DCCA) Office of the Securities Commissioner invites teams to participate in […]
- August 2019TIP: Ask Questions! That’s the best advice we can give you about how to invest wisely. Many investors can avoid trouble and losses if they ask basic questions from the start. We encourage you to thoroughly evaluate the background of any financial professional with whom you intend to do business—before you hand over your hard-earned […]
- RELEASE: Registration Open for 2019-2020 Hawaii LifeSmarts CompetitionDEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS DAVID Y. IGE GOVERNOR CATHERINE P. AWAKUNI COLÓN DIRECTOR TY Y. NOHARA SECURITIES COMMISSIONER FOR IMMEDIATE RELEASE September 9, 2019 Registration Open for 2019-2020 Hawaii LifeSmarts Competition HONOLULU – The Department of Commerce and Consumer Affairs (DCCA) Office of the Securities Commissioner invites teams to participate in the 2019-2020 […]
- News Release: Top 4 High School Teams to Compete at LifeSmarts State Finals DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS Business Registration Division NEIL ABERCROMBIE GOVERNOR KEALII S. LOPEZ DIRECTOR FOR IMMEDIATE RELEASE Dec. 19, 2013 Securities Commissioner Announces Top 4 High School Teams to Compete at LifeSmarts State Finals HONOLULU — The Department of Commerce and Consumer Affairs (DCCA) Office of the Securities […]
- RELEASE: Franchise Filings Deadline ExtendedDEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS DAVID Y. IGE GOVERNOR CATHERINE P. AWAKUNI COLÓN DIRECTOR TY Y. NOHARA SECURITIES COMMISSIONER FOR IMMEDIATE RELEASE March 29, 2020 Franchise Filings Deadline Extended HONOLULU — The state Department of Commerce and Consumer Affairs’ (DCCA) Office of the Securities Commissioner has extended the deadline for franchise filings to April […]
- Investment Adviser Annual RequirementsFinancial reporting (HAR §16-39-437) Investment advisers must file an annual financial report within 90 calendar days following the end of the investment adviser’s fiscal year. The type of financial statements required is as follows: Hawaii investment advisers with custody or discretionary authority Audited financial statements. Hawaii investment advisers without custody or discretionary authority Financial statements […]