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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.
Roosevelt lacked policies and procedures reasonably designed to prevent and detect these violations by its registered representatives
Welsh placed orders for new issue municipal bonds with Dockside and Murphy to obtain bonds for Roosevelt’s inventory when he should have known that they, ...
"we are adopting an expedited review process for routine applications, an informal internal procedure for applications that would not qualify for the expedited process, and ...
The Commission is also adopting several amendments to existing regulations as part of the proposed capital and financial recordkeeping and reporting requirements
The Commission believes that section 2(i) provides it express authority over swap activities outside the United States when certain conditions are met, but it does ...
Schwartz earned substantial management fees, misled the advisory client who received the better trades into thinking RRBB and Schwartz were better at managing their money ...
Dang advised the couple to transfer their retirement money to an online brokerage firm and to provide him with their log-in credentials so that he ...
Rodemer’s deceptive conduct continued even after he became aware that his misconduct was being investigated
Graham Bordelon caused its clients to receive credits on 12b-1 fees back to their accounts and began a process of converting its clients’ mutual fund ...
This sample form, from a peer, serves to give a firm permission to conduct a background check on an employee
A peer shares her firm's code of ethics and personal trading policy
RCW contacted numerous CCOs, asking if they feel appreciated or could recall one time when they were seen in a heroic light within their firm. Most ...
“Assume that you made a mistake or someone else will make a mistake and have layers of defense,” asserts Ingalsbe
Two specific disclosures about the use of automated voting are encouraged in the new guidance
An adviser recorded pleading not to go to jail gets charged criminally with fraud, tips to destroy sensitive data so they don't fall into the ...
A compliance program that looks adequate to enforcement staff can result in lower civil money penalties after an enforcement action
“Data classification is right there in the beginning with risk analysis” when starting to confront cyber threats
SQN Capital relied on the Audited Financials Alternative to attempt to comply with the custody rule during the relevant period but failed to do so
Recordings caught Kamensky saying "Because they’re going to say that I abused my position as a fiduciary, which I probably did, right? Maybe I should ...
Compliance personnel recommended moving the FuelCell account to another trading desk to take advantage of that desk’s “newly built execution protocols for issuer stock sales.” ...
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