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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.
A peers the questionnaire it shares annually with its vendors as an example of its due diligence
OCIE shows appreciation of IA CCOs, what's inside OCIE's latest risk alert, an explanation of 'informed consent,' and much more
Advisers were encouraged to gather their business staff with compliance so that everyone “understands all of the revenue sources” coming into a firm
“We cannot overstate a firm’s continued need to assess whether its compliance program has adequate resources to support its compliance function. Resources means a lot ...
The final rule will effectively codify two decades’ worth of exemptive orders permitting registered funds and BDCs to exceed Investment Company Act Section 12 ownership ...
The CFTC is amending its regulations to improve the accuracy of data reported to, and maintained by, swap data repositories, and to provide enhanced and ...
The amendments, among other things, address certain issues related to reporting post-priced swaps and disseminating swaps associated with prime brokerage arrangements. In addition, the Commission ...
The amendments, among other things, streamline the requirements for reporting new swaps, define and adopt swap data elements that harmonize with international technical guidance, and reduce ...
The year in enforcement resulted in more than $14 million being returned to 700 harmed investors and the collection of $2.7 million in fines
The required margin for each long or short position in a security future shall be fifteen (15) percent of the current market value of such ...
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