Carl Ayers
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.
“It is absolutely a problem today” with some firms willing to toss their CCO under the bus should an SEC enforcement case take shape
This tool comes courtesy of Ben Anderson, principal with his law firm Anderson PLC in Minneapolis
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Download the latest quarterly compliance calendar from RCW
This checklist for general ledger reviews comes courtesy of Ryan Sawyer, CFA, CPA of Sawyer Assurance in Dallas
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