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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.
Comment period reopened for certain SD repository and data reporting requirements
The Commission is also proposing revisions to streamline the requirements for reporting new swaps
The Commission is also proposing revisions that, among other things, change the “block trade” definition
Guidance to get start on your Form CRS, what's the latest with OCIE exams, will closed-end funds survive, and much more
“Just start drafting. Start typing. The longer you wait to start the drafting process, the more challenging it’s going to be”
Be aware that examiners may question your logic for placing clients in certain share classes
“If you’re going to save this industry, you’re going to have to do a 180-degree turn"
The case marks just the latest bad news for small-firm managers with compliance duties
This exam touched on a wide-range of topics
These matters are currently the subject of relief in certain no-action letters from Commission staff
A transition plan can run as short as 2-3 pages
As a service to the adviser industry, Schwab has granted RCW permission to share its guide with you
These SEC FAQs can help you prepare for Reg BI
The proposal could update the national market system for the collection, consolidation, and dissemination of information with respect to quotations for and transactions in stocks
New Form CRS FAQs, an adviser takes on the coronavirus, comments on advertising rule and much more
Charges faced by former SEC-RIA now state-registered advisory firm
BPU Investment Management agrees to pay $927,000 to settle charges
To help in the transition away from LIBOR
A peer shared this example of a policy and procedure for anti-money laundering
The SEC gives the nod of approval for an investment adviser and its affiliated IA to create one form

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