Home Authors Posts by Carl Ayers

Carl Ayers

Avatar
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.
Click here to open an Excel spreadsheet that's a tool to help assess the cybersecurity of third-parties your firm works with.
Emily Gordy spent 27 years as a financial regulator, most recently as FINRA’s senior vice president of enforcement before joining Shulman Rogers Gandal in Potomac, ...
It goes back some time, SEC examiners’ interest in GIPS at those firms that claim compliance with those standards (IA Watch, Nov. 22, 2010). The ...
Saying “it’s beyond time to act” on the lack of exams for IAs, SEC Chair Mary Jo White last week said permitting “a program of ...
There’s no debate. Firms can’t use their soft dollars to cover a trade error (IA Watch, Nov. 7, 2011). End all doubt by checking out ...
It’s even worse than you think.   Consider that cyber thieves are now so adept that they can place a virus onto your network that ...
This new Regulation SBSR, courtesy of the Dodd-Frank reforms, would, among other things, provide for the reporting of security-based swap information to registered security-based swap ...
This final rule from the SEC in 2015 establishes the new security-based swap data repository registration process called for by Dodd-Frank reforms.
This proposed SEC rule from 2015 would amend Regulation SBSR, the security-swap reporting rule, in several ways. For instance, it includes an exemption process from registration ...
Just as OCIE did last year before launching its cybersecurity initiative that visited some 100 firms (IA Watch, April 21, 2014), look for the agency ...
Few transactions offer less transparency and price comparisons than derivatives. There aren’t clear best execution obligations for these instruments. However, if your firm trades in ...
Suffering a multimillion-dollar penalty for non-compliant advertising served as incentive enough for F-Squared Capital ($3.9B in AUM) in Wellesley, Mass., to tighten its compliance procedures ...
It’s well established that examiners will likely question adviser accounts with little trade activity that were moved from 401(k) plans (IA Watch, March 5, 2015). ...
A rep would complete to disclose to compliance the rep's outside business activities
This is part of a document request letter received by an adviser within the Chicago region.
A peer passes on the state of Virginia's investment adviser self-inspection checklist. This could prove helpful to RIAs that are state registered in the Commonwealth ...
This is a copy of a SEC document request letter received for an exam of an investment company adviser.
While FINRA’s long been interested in supervision of branch offices (IA Watch, Dec. 12, 2011), there are signs OCIE’s taking a deeper interest in this ...
rcw
rcw

Copyright PEI Media

Not for publication, email or dissemination