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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.
"I am concerned that the projected cost savings in today’s proposal are greatly overstated and wholly inconsistent with the Commission’s past analysis"
We are proposing to amend rule 13f-1 and Form 13F to raise the reporting threshold for Form 13F to $3.5 billion
Elad Roisman
Investment advisers to funds that have economic exposure to companies based in emerging markets also have responsibilities to inform their investors
The Commission is issuing the Interim Final Rule to amend the CFTC Margin Rule by deferring for one year to September 1, 2021, compliance with ...
We request that the SEC require companies to list specific locations—at least street addresses, and preferably longitude and latitude—of all facilities whose loss or impairment ...
Rule targets business development companies and other closed-end investment companies
An investment adviser’s fiduciary duty includes, among other things, an obligation to seek best execution for client transactions
Alderson is no longer associated with Touchstone Advisory. Alderson, 42 years old, is a resident of the United Kingdom
The opportunity presents to see how they answered the delicate question of how their financial professionals make money
Only 17% answered that they do offer additional products or services
A peer shares an example of a request for proposal (RFP) for custodian and technology services
A peer shares the firm's branch office checklist and audit report template
Compensation disclosures, exclusive Form ADV data, tips to manage P&Ps and much more
The third goal promises to emphasize “our tradition of principles-based regulation where appropriate” and to address “any regulations that no longer serve a regulatory purpose”
The SEC also promised the Commission will issue a public announcement about the relief due to expire Dec. 31 at least two weeks before the ...
"A lack of liquidity and transparency can negatively impact the ability of derivatives markets participants to manage and mitigate risk"
There’s an expectation among regulators that you should know the signs of dementia in your clients
The Final Rule generally prohibits persons who have, or whose principals have, in their backgrounds any of the statutory disqualifications from claiming a CPO registration ...
Elad Roisman
"I do not discount or ignore these calls for additional ESG information, but they raise questions in my mind about what the asset managers are ...
A peer shares the firm's statement that solicitors must sign
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