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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.
SEC rules also don’t prohibit you from doing one annual review for the entire entity but be sure you conduct separate testing for each RIA, ...
"We notice on exams when firms hire someone for the role to check the box but do not support or empower them.  We notice when ...
The parties that are likely to be affected by the amendments include investors and other market participants that use the information in these filings (such ...
"There’s no time to waste in setting to ourselves to this task, and we look forward to rolling up our sleeves to establish requirements for ...
Jay Clayton
"The totality was a package of rules and interpretations that will enhance the quality and transparency of retail investors’ relationships with broker-dealers and investment advisers.  ...
Engage in forensic testing to spot if some trade errors aren’t being reported. Be clear how you calculate a trade error and keep that documentation
The risk alert provides examples of notable deficiencies or weaknesses identified by OCIE staff in connection with the compliance rule
We’ve been asked to query CCOs about the type of compliance training software they use. In an online RCW survey launched this month, 52% of ...
A peer passes along the firm's P&Ps for trade errors
A peer shares the firm's P&Ps related to trade errors
rcw
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