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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.
SEC Chairman Gary Gensler
"A conflicted transaction entails directly shorting the ABS, entering into a credit default swap that references the underlying assets, or something economically equivalent to either ...
"Our pattern of proposing unrealistic rules with numerous questions, only to substantively revise the rule text after the comment period closes inhibits our ability to ...
"If market participants are seeking to comply with the rule and find that there are circumstances that call for an exemption, guidance, or other relief, ...
SEC Commissioner Lizarraga
"The final rule we adopt today will contribute to the healthy functioning of ABS markets by reducing the ability of securitization participants to exploit their ...
Stock market in Manhattan by Wall Street
Entities that will be effected by this new final rule include investment advisers and ABS investors. For example, pension funds, endowments, foundations, hedge funds, and ...
silver brick and golden coins laying on dollar banknotes
This is an SEC final rule that would prohibit conflicts of interest in the sale of asset-backed securities
Man checking personal finances at home, while sitting at the table, holding the paper.
Here’s a tip. Ask your accounting department for a list of vendors your firm pays and double-check to ensure they’re really your vendors
Child around 10 years old stands on a field after a failed rocket launch. He covers his head in his hands. He wears a lab coats like a real scientist.
Although Laidlaw had monitoring procedures to detect potential violations by reps of the quantitative prong of the Care Obligation, Laidlaw did not reasonably maintain and ...
Businessmen with plants
A look at the state of ESG in the industry, due diligence best practices, more reaction to proposed PF rules and much more
Business Stock Exchange Trading Concepts
Respondents employed a strategy of taking quick profits on part of a particular securities position resulting in frequent trade recommendations in these accounts .... As ...

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