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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.
The order takes effect August 16, 2021. The definition of a qualified client moves to a net worth (together, in the case of a natural ...
Best practice tips for updating your Form CRS, SEC chair outlines his regulatory agenda, loans get adviser into trouble and much more
Courtesy of David Spaulding, DPS, CIPM of the The Spaulding Group in Naples, Fla. (www.SpauldingGrp.com)
“Examiners doing routine examinations are looking at Form CRS very, very closely." One adviser drew an exam deficiency for changing certain required language on the ...
The SEC isn’t immune to the social ills that plague the outside world, as confirmed by the Commission’s Office of Inspector General
Verus Capital Partners got wind of an SEC enforcement action and filed a revised Form ADV brochure but the abrupt disclosure failed to stop the ...
The new agenda lists 49 items, many targeting investment advisers. Some are holdovers, but many are new
Courtesy of David Spaulding, DPS, CIPM of the The Spaulding Group in Naples, Fla. (www.SpauldingGrp.com)
Intervest and Carson caused certain advisory clients to invest in Standard Units and Fund Class A shares when otherwise identical, but less expensive, Fee Account ...
Require the cloud vendor to complete a written due diligence questionnaire
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