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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.
David Kotz understands a thing or two about fraudsters. As the SEC’s inspector general, he investigated the agency’s behavior in the years leading up to ...
Recognizing that most broker-dealers wouldn’t be able to afford to carry insurance against arbitration or court judgments, FINRA has decided against mandating that they do. ...
The inquiry from the SEC came in on Friday, Oct. 13, 2000. It would lead to alleged insider trading charges uniquely applied to mutual fund ...
Many advisers continue to generate deficiencies on SEC exams because they incorrectly determine that they don’t have custody, said Renee Esfandiary, assistant director of the ...
The SEC’s rules regarding advertising and marketing were developed long before the internet could have ever been imagined but that doesn’t mean your firm’s website ...
The number of RIAs that participate in wrap fee programs is increasing. More firms are receiving compensation for client referrals. Nearly all investment advisory firms ...
A new no-action letter from the CFTC grants blanket relief from registration to CPOs that delegate their investment management authority to another CPO that is ...
Your responsibilities to “know your customer” (KYC) is capsulized in several FINRA rules (IA Watch, July 8, 2013). The most recent one being rule 2090, ...
Even with the best precautions, it’s possible a cyber bad guy could infiltrate your network. Should you find evidence of an intrusion, consider these steps: ...
The insider trading case that led to Wells Fargo Advisors ($334B in AUM) in St. Louis last month paying a $5 million fine to the ...
This no-action relief from the CFTC in 2014 explains how a delegating CPO can escape the registration requirements in Section 4m(1) of the Commodity Exchange ...
Nearly all investment advisory firms now host their own website. The number of RIAs that participate in wrap fee programs is increasing. More firms are ...
This no-action letter from the SEC's Division of Investment Management hails from 1998. It tackles the use of ratings from Dalbar surveys and whether the ...
Click here to open a Word file that includes examples of two sample disclosures firms may consider adding to their websites. These disclosures give the message ...
The SEC’s Investor Advisory Committee last week approved sending recommendations to the full Commission that would topple the current rules for verifying an accredited investor. ...
The advent of high-frequency trading and the use of so-called dark pools has shifted the training dynamic. Now, the shrewd compliance officer gets trained on ...
Finding out how your compensation compares with your peers – locally and nationally – is now but a click away. Announcing IA Watch’s and NSCP’s ...
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