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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.
The portolio manager managed the Fund differently from what was represented to investors and their advisers
OCIE hopes "these observations" will spur you "to reflect on their own cybersecurity practices”
"Cyber threat actors are becoming more aggressive and sophisticated"
The amendments address certain risk management and reporting obligations
OCIE examiners may ask an adviser to demonstrate its process for verifying an investor’s status
Certain fund practices can heighten leverage-related risks, such as the risk of potentially significant losses and increased fund volatility
Brexit's for real now, update on Reg BI lawsuits, tips for confirming qualified clients, and more
Reg BI arrives June 30: “The court knows what the timeline is. It’s up to the court”
Driscoll: The risk alert will be designed to “help firms prepare for potential exams”
Gain greater insight into how to do your break-even analysis for the NFA
"Without doubt, we face another interesting year ahead"
A peer shares a copy of a subscription agreement that includes terms relevant to clients in various countries
It's critical that the asset management industry include women and men with diverse backgrounds and perspectives
Hester Peirce
Privacy regulations of this sort can be very difficult for investment advisers and others in the financial services industry who are also subject to extensive ...
The asset management industry is a key player in helping investors to meet their retirement and other financial goals
A peer shares the firm's form for reporting outside business activity
The CCO created a compliance committee where he documented his concerns and what actions he took
Reg BI answers, case raises reporting questions, more share class enforcement and much more
A peer shares items that should be found within a new client's folder.
Some of his widowed victims came to him through an elder care placement center owned by his wife
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