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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.
We are proposing to require ESG-related disclosures from registered investment advisers that consider ESG factors as part of their advisory businesses
"The request seeks comment about these and other questions on whether these information providers are providing investment advice under particular facts and circumstances, and thus ...
"The growing prominence of information providers in the industry adds import to our consideration of whether and how the framework for registering and regulating investment ...
"The continuing refusal of the SEC to approve a spot bitcoin ETP is puzzling to many agency observers"
The concept of a multi-series trust first popped up in the 1980s. The trend shows that many newer and smaller advisers prefer to put their mutual ...
Investors may reasonably expect funds with these names to invest in companies with policies, practices, or characteristics that are consistent with these standards, particularly when ...
"WAM’s compliance department also received a number of automatically generated daily and weekly exception reports that correctly identified the offerings at issue as ones that ...
"ECP should not have allocated to Fund III more than its proportional share of such expenses"
The advisers' "Forms ADV Part 2A, included misleading statements about the Respondents’ cash allocation decisions for the SIP portfolios, and failed to adequately disclose the ...
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