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Carl Ayers

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Carl Ayers Carl Ayers, Publisher | 202-908-6194 | cayers@regcompliancewatch.com Carl has been the publisher of Regulatory Compliance Watch since 2008. He has won several national journalism awards, including for investigative reporting. In 2018, Ayers won two awards - a second place award for Best Spot News for a story reporting Form ADV developments ahead of the SEC (IA Watch, July 6, 2017), and a third place award for Best Investigative Reporting for a series on an adviser that initially fought SEC charges (IA Watch, July 27, 2017). He has worked at newspapers, in television news and in healthcare journalism. Carl hails from New Jersey, earned his master's degree from Northwestern University and enjoys playing guitar, working out and pursuing golf.
This client alert presents a brief outline of the final rule, as well as a discussion of certain key questions and compliance considerations introduced by ...
The DOE report tips its hat to CCOs, recognizing that “compliance programs, CCOs and other compliance staff play critically important roles at firms” and provides ...
A peek at the SEC's 2021 exam priorities, 16 actions to take ahead of the new IA ad rule, scandal trips up adviser and much ...
RCW has obtained a new DOE document request letter proving opportunity zone investments have attracted examiner interest
Re-papering agreements. Establishing new compliance P&Ps. Reining in marketer expectations. While the new SEC IA ad rule will give you great flexibility, it also hands ...
New rule 2a-5 lays out certain requirements when quotes are lacking. These include to come up with, test and apply fair value methods and to ...
The NFA is warning you not to fall for fraudulent phishing emails purportedly coming from the SRO. The NFA has even provided an example of ...
A CPO/CTA should require a vendor to “notify it of any material changes to the provider’s material systems or processes utilized to carry out an ...
This statement updates the Division’s position of January 5, 2021, by extending the expiration date of the staff position from March 31, 2021 to March 31, ...
Attorney Michael Caccese lays out a plan for getting ready for the SEC's new IA ad rule. Video runs 8:21
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