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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.
"Several hedge funds lost significant money during these events. Though it doesn’t appear to have triggered broader market events, at least one fund had to ...
Why a presidential pardon doesn't stop the SEC, more ESG tips, disclosure examples and much more
President Donald saved one of his final pardons—coming in his last hours in office—for a man who previously served time in prison and was facing ...
One lesson from a recent DOE exam was to disclose the receipt of a PPP loan. On more than one occasion, SEC staff have indicated ...
Given that ESG is hotter than a steel furnace, it’s smart to keep your cool with compliance. Here are nine best practices to guide you ...
Tennison fooled investors, selling securities in a supposed religious and humanitarian project and claiming profits would be used for religious and humanitarian projects
Start small by setting out four quarters and pick easy tests like sampling of fees
A critical part of the SEC’s mission is to facilitate capital formation. American entrepreneurs and business owners rely on a diverse array of sources to ...
An entrepreneur who is plugged in to a network of financially sophisticated people should be able to go to those people for funding, even if ...
It’s time for the Commission to formally incorporate an assessment of the distributional consequences of our rulemaking into our economic analysis
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