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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 an action that accepts the reality of the international derivatives market, SEC Commissioners Wednesday unanimously approved a new proposal relating to when a non-U.S. ...
Last year, we told you that OCIE had contracted with a Tennessee company, Capital Confirmation, to do electronic verification of accounts for custody inquiries during ...
You don’t want to mess with FINRA when it comes to rule 8210 (provision of information and testimony and inspection and copying of books ) ...
The SEC proposes amending Regulation SBSR to apply the regulatory reporting and public dissemination requirements to transactions that are arranged, negotiated or executed by personnel ...
Click here to open a Word file that a peer assembled based on the SEC's document request letter received by the firm in a 2014-2015 ...
This guidance update from the SEC's Division of Investment Management includes best practice suggestions for how firms can deal with cybersecurity.
A new guidance update from the SEC released Tuesday encourages steps investment and fund advisers can take to improve their ability to repel cyber threats. ...
This is H.R. 1560 that passed the House in April 2015. It would strengthen the nation's response to the threat of cyber-attacks.
If you harbored any doubt that compliance staff can qualify for an SEC whistleblower award, remove it (IA Watch, March 26, 2012). Last week, the ...
With the Federal Register release of the Department of Labor’s new proposal revising the definition of a fiduciary under ERISA, you have until July 6 ...
If you’re an investment company adviser that’s never been examined by the SEC and the fund has been registered for more than a year, you ...
With the bulk of their assets in retirement accounts, independent broker-dealers are bracing for big changes in the wake of the Department of Labor’s proposal ...
The CFO fudged the numbers and can stay in that position. But he dropped his title as CCO after the SEC said he violated the ...
Advisers affected by last year’s SEC money market fund reforms have until next year to master the major elements of the rule. Last week, the ...
This is OCIE's 2015 risk alert detailing what examiners will focus on during their visits to never-been-examined investment companies. The top issues are their compliance ...
The national exam staff intends to focus on certain never-before-examined registered investment companies. Such examinations will focus on the following topics: compliance programs; annual contract ...
The Department of Labor packs a lot into its new 120-page proposed rule redefining a fiduciary. It contains a new “best interest contract exemption” under ...
Whatever you say about the Department of Labor’s new fiduciary duty proposal, it promises to change the landscape if finalized.   “It’s a thoughtful, complicated ...
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