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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’s better to take a conservative position” and disclose that you’ll make more money in a rollover
Randall wrote the agency to admit that he “‘wasn’t even aware of this [Advisers] Act or its potential applicability’ to himself
The SEC doesn’t require that firms encrypt sensitive documents
Only one Form CRS per firm, how to disclose rollovers, encryption best practices
A peer shares the firm's form it uses to document a client's investment objectives
Karen Huey of Professional Compliance Assistance in Woodstock, Ga., gives us permission to share with you her 18-point guide to an on-site exam by OCIE.
That result doesn’t sit well with the Investment Adviser Association
Foreign travel figured into the NFA’s year
New guidance from the SRO reminds exempt CPOs/CTAs how the affirmation process works and answers FAQs
Burroughs "misappropriated his clients’ money, and provided his clients with fake documents to cover up what he had done"
Although Barnett and Aven had never worked for a hedge fund or created a valuation model, they thought that they knew better than the rest ...
Reconciliation touches client fees, trades, expenses, performance, trade errors, allocations, withdrawals and more
Proxy Voting
The proposed amendments would codify the Commission’s interpretation that proxy voting advice generally constitutes a solicitation
"Modernizing old rules is one of the Division’s major themes. We are pursuing this on a number of fronts"
"We have recognized previously that other demands on a CCO’s time may be a mitigating factor and [recognize] competing demands on" the CCO's time as ...
Disclosing conflicts lies at the heart of Reg BI and Form CRS
Nearly 50 regulatory rules are being considered by the SEC
The changes harmonize the CFTC’s rules with the SEC’s
SEC proposes derivatives rule, disclosure failures, CFTC aims for harmony
Four FAQs make up the SEC's first on the new form

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