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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.
Sign outside Department of Labor building, Washington, DC
The SEC also is conducting rulemaking on disclosures by mutual funds, other SEC-regulated investment companies, and SEC-regulated investment advisers designed to provide consistent standards for ...
The adviser did not have procedures or controls in place to identify or monitor cross trades involving RICs. It also did not conduct any testing ...
"Another way that we work to address the declining trust in the financial markets is by conducting proactive enforcement sweeps and initiatives that specifically target ...
No doubt you anticipate more headaches should your firm permit staff to use text messages for work but you may be fighting in vain against ...
"The uncertainty of benefits associated with ESG investing, combined with the certainty of costs for companies undertaking ESG activities, should motivate all market participants – ...
'Proactive compliance' comes down to three things, said Enforcement Director Gurbir Grewal. 'That’s what we’re looking for from each of you'
The new ad rule requires firms to be able to substantiate the ads’ claims. 'This is a great tool for us,' said the SEC ...
One bright spot about the new SEC final rule that will force registered funds and institutional managers to report more about their proxy votes is ...
A mic in front of a packed theater
Guidance from SEC exam and enforcement staff, fallout from FTX collapse, comment deadline for SEC outsourcing proposal and much more
SEC Commissioner Hester Peirce
"Requiring every fund to disclose its votes implicitly pressures funds to vote, even when voting is not in their best interest"
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