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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.
A peer passes along a policy and procedure for the use of e-mails as well as for the retention of e-mails
Tips to prevent insider trading, SEC ALJ system being challenged anew, eyeing private funds and ESG and much more
The adviser takes additional precautions. After the 10-day period passes, its analysts can see only a 'high-level summary' of the networking firm’s interview with a ...
'Do not make it more difficult for investment advisers to engage in proxy voting or to use' proxy advisory firms, wrote one commenter
You may well be thinking, 'wait, I thought the nation’s High Court already took up this issue.' Well, you’d be partly correct
The DOL has stated that it will begin enforcing at the end of this month whether ERISA fiduciaries are following the department’s five-year-old impartial conduct ...
Mistakes around these items cause the most exam deficiencies among CPOs/CTAs that are NFA members
These amounts are effective beginning on January 15, 2022, and will apply to all penalties
ONIMCO had a conflict of interest when it recommended Sweep Account Options to its clients
Language purporting to limit an adviser’s liability in an advisory agreement is also called a 'hedge clause.' Whether a particular hedge clause is misleading is ...
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