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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.
An 8-page cybersecurity questionnaire for your vendors
The Alternative Investment Management Association grants us permission to share this with you
“Romeril faces the threat of reopened and renewed prosecution if he speaks up”
“OCIE exceeded its goal and conducted over 3,075 examinations"
A “recommendation is always going to be viewed in hindsight, and it’s a very loose term”
Certain records may be exempt from your destruction policy
Chairman looks back and ahead at his regulatory agenda
Proposed rule's regulatory language regarding testimonials
Reaction to the SEC's advertising proposal, a CCO who faces prison, your peers and social media and much more
A subscriber-request story
It doesn't always pay to listen to the boss
Rule clarifies proprietary trading and ownership of hedge or private equity funds
Reactions to the SEC's new slant on marketing
Rule requires P&Ps to protect customer records and information
New rules take effect with the first of the year
Lessons learned and best practices to bolster your cybersecurity
An example of a compliance policy and procedures
Get the jump on your next exam
A jury found the defendants made false and misleading statements in the private placement offering of American Growth Funding II
The Commission is now proposing to restore the inadvertently deleted Detailed Requirements provision

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