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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.
In light of COVID-19, however, Division staff will offer applicants the option to provide an e-mail address
On April 8, 2020, the Commission adopted rules that will modify the registration, communications, and offering processes for business development companies and other closed-end investment ...
If certain rules are followed, the loan turns into a grant
Originally, the SEC slated Form CRS filings to begin in May
This message originally went to attendees of RCW's scheduled May IA compliance conference
Examiners “may review records of the dates that each relationship summary was provided to retail investors to validate whether the firm has complied with the ...
This is a sample policy, courtesy of Ben Anderson, principal with Anderson PLC in Minneapolis, for governing the use of electronic devices by firm employees
An opportunity to get paycheck loans, guidance on filing your first Form CRS, new disclosures related to the pandemic, and much more
“Gooder now recognizes the importance of rules regulating investment advisers and intends to continue complying with them ‘enthusiastically’ going forward”
Hackers could do more damage than that should confidential information be shared between an adviser and its client via Zoom
Most of the largest advisers made no mention of the coronavirus or the pandemic
The Commission intends to continue to monitor the situation as it develops
The revised compliance schedule mitigates the potential of a market disruption
As directed by Congress, we are adopting rules that will allow affected funds to use the securities offering rules that are already available to operating ...
“Designate a ‘point person’” among board directors who would be the firm’s liaison with the valuation committee
These new FAQs were published by the SEC in April 2020
Examples of the areas the staff may focus on during examinations are discussed below
After the compliance date, OCIE staff intends to engage in examinations to assess broker-dealers’ implementation and operational effectiveness of Regulation Best Interest
The failure of a broker-dealer to provide complete and accurate EBS information ... ultimately interfere[s] with the Commission’s ability to protect investors
Grenville Gooder failed to remain informed about compliance requirements and designated figurehead CCOs who would not undertake any actual compliance responsibilities
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