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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.
“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
One CCO tells us past general ledger reviews uncovered a profit-sharing arrangement between an affiliate and the adviser that hadn’t been disclosed and was supposed ...
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
Tips for reviewing your firm's general ledger, how to avoid becoming a fall guy/gal, the SEC suspends a CCO and much more
In total, on about 3,000 occasions, Polevikov used this material non-public information to execute trades in his wife’s brokerage account in the same securities and ...
Helikon did not qualify for an exception to Rule 105 when it purchased shares in the Offering
Oseas Zuluaga knew, or should have known, that Revere’s proprietary holdings should have been included in the calculation of Revere’s net capital
Coda did not always provide its subscribers with information indicating where their orders had been routed or executed

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