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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.
Investment advisers should consider whether any advice regarding LIBOR-linked investments and applicable risks is consistent with their clients’ goals
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"I also hear a troubling number of anecdotes, from my own parents and from other older adults, who have found themselves in the crosshairs of ...
RCW interviews Rachel Mayo, associate general counsel at Stephens Investment Management Group in Little Rock, Ark., and a former Labor Department official, about what advisers ...
"The SEC has not provided clarity in response to repeated questions on crypto from reputable players, but has instead embraced an approach that has been ...
An example of a new P&P for use of testimonials, guidance to get all over the DOL's new rollover exemption, doubts about the SEC's new ...
Two words of caution about vendors: they can be very expensive and “the accuracy of the data and whether or not it’s current”
Reps will be given a checklist for submitting a testimonial for approval. The form would indicate whether the testimonial came from an existing, a new ...
David Chiueh wore multiple hats at Upright Financial Corp. ($68M in AUM) in East Hanover, N.J.—president, portfolio manager and chief compliance officer. A new SEC ...
This is what the new SEC IA ad rule says about use of testimonials
"We just don’t have enough investor protection in crypto. The American public is buying, selling, and lending crypto on trading, lending, and decentralized finance platforms, ...
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