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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.
“We need to understand better what the heck happened here”
The Commission is issuing the Interim Final Rule as a result of the coronavirus disease 2019
The Commission is proposing that non-U.S. CPOs may claim an exemption from registration with respect to its qualifying offshore commodity pools
“We’re encouraging our compliance officers to have standing office hours on Zoom"
Where do you fall in the work-from-home or return-to-the-office debate?
What to do before returning to the office, SEC enforcement faults compliance, tips should you ever be deposed by the SEC, and much more
Examiners asked for the names of clients lost , including the reason, method that the termination was communicated, termination date, and the account asset value ...
Jay Clayton
I look forward to hearing the Committee’s insights into the effects of the pandemic on the asset management industry and, in particular, our long-term Main ...
Jay Clayton
I echo the staff’s reminder to market participants that any actions taken by a board of a fund, including with regard to control share statutes, ...
This is an example of a 4-page Form CRS for a dual registrant
The staff would not recommend enforcement action to the Commission against a closed-end fund under for opting in to and triggering a control share statute ...
In the staff’s view, the terms and conditions of TALF 2020 are substantially similar to those of TALF 2008 for purposes of the staff no-action ...
Compliance staff failed to comply with policies and procedures designed to prevent misuse of information
This example features a two-column format
TSP Capital also failed to comply with the requirement that every investment adviser registered with the Commission adopt and implement written P&Ps
These revisions should ease compliance burdens and clarify the application of our rules for smaller reporting companies and issuers relying on Regulation A by focusing ...
My views and support for effective disclosure on “decision useful” information, including the modernization of financial disclosures ... are not new to you"
"The rules create significant risks arising from reduced transparency for investors and potentially facilitating increased economic concentration, the latter risk being especially acute for small ...
Hester Peirce
"Let’s keep using our tried and true disclosure framework, which is rooted in materiality and is flexible enough to accommodate a wide range of issuers, ...
“It was very difficult” to condense it down to two pages
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