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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.
American sanctions and USA flag on table.
More time to think about the SEC's safeguarding proposal changes few minds, why it's worth paying attention to U.S. sanctions, could SEC ALJs go away, ...
Woman Speaking At Group Neighborhood Meeting In Community Center
Several of the new comments noted the array of cyber-related proposals and urged coordination or consolidation
Woman judge hand holding gavel to bang on sounding block in the court room.
Could the days of SEC ALJs be numbered?
Flags of the member states of the European Union
Participating in a global economy carries a lot more responsibilities now, especially given the explosion of U.S. government sanctions
Businesspeople gathered in boardroom listen to confident woman business coach or presenter talks, explain infographic shown in flip chart. Educational training and presentation event in modern office
A peer passes on an adviser's recent DOE exam document request letter
Businessman holding magnifying glass zoom and analyzing financial indicators
This checklist comes courtesy of Steven Felsenthal, GC/CCO at Millburn Ridgefield Corp. in New York
Top 10 text on notebook in hand businesswoomen.
Check out the most popular stories of the month
Word CONFLICT written on wood block,stock image
RTW failed to disclose conflicts of interest, made statements that omitted material facts, and failed to adopt reasonably designed written policies and procedures regarding RTW ...
A wide-angle view of a board room meeting which is all women. They are discussing ideas and working on things together to come up with business opportunities.
RCW shares questions from a recent DOE advisory firm exam that focus on the firm's organizational structure and its key personnel
The marketing rule and ESG, Reg BI violations prove costly, ideas for handling charitable contributions and much more

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