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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.
Regulation Best Interest expressly applies to account recommendations including recommendations of securities account types
The Commission is granting this nine-month extension because it believes the temporary exemptions from these provisions warrant further consideration
Documentation is critical when questions arise about suitability
JP Morgan failed to provide available sales charge waivers in at least 58,000 transactions involving approximately 16,734 accounts
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You're directed to report “if your cloud service providers have been affected by this attack"
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Use this tool to reveal a vendor's approach to privacy and cybersecurity
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Check out this due diligence questionnaire
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If you’re part of a larger organization you could fall under the cyber reg
The proposal addresses the cross-border application of the registration thresholds and certain requirements applicable to swap dealers and major swap participants
The defendants’ conduct involved fraud, deceit, or deliberate or reckless disregard of regulatory requirements
The new report provides “hallmarks” of effective compliance programs detected by the agency over the years
SEC states chief compliance officers, and other compliance staff play critically important roles at firms
Be aware that once things settle down, staff will seek to reach loved ones above anything else
Thanks go to Michael S. Caccese, Chairman of the Management Committee and Practice Area Leader - Financial Services at K&L Gates LLP, for giving us ...
Ask for evidence that the software meets your requirements
Predictions for 2020, your peers' compliance resolutions, new regulations coming this year

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