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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.
New rule 2a-5 lays out certain requirements when quotes are lacking. These include to come up with, test and apply fair value methods and to ...
The NFA is warning you not to fall for fraudulent phishing emails purportedly coming from the SRO. The NFA has even provided an example of ...
A CPO/CTA should require a vendor to “notify it of any material changes to the provider’s material systems or processes utilized to carry out an ...
This statement updates the Division’s position of January 5, 2021, by extending the expiration date of the staff position from March 31, 2021 to March 31, ...
Attorney Michael Caccese lays out a plan for getting ready for the SEC's new IA ad rule. Video runs 8:21
"We continue to believe it is important to emphasize that compliance programs, CCOs and other compliance staff play critically important roles at firms .... One ...
Rob Tull of Path2 Relationships passes on some stress-reducing tips to help you excel at problem-solving
Hester Peirce
"The SEC needs a clearer approach to considering applications for crypto ETPs that is more consistent with precedent. On these and other issues, SEC Chairman ...
Don’t make your code too complex. Simplicity eases your job and gives you flexibility. Voya’s code permits the firm to look back 36 months in ...
When "a market quotation for a portfolio security is not readily available or if the investment is not a security, the Act requires the fund to use ...
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