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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.
OCIE on compliance shortfalls with complex products, tips for tackling trade errors, our exclusive survey on compliance training software and much more
Future requests for SEC no-action and interpretive letters must be filed using a new web-based form
“There’s a bright side to it and a dark side,” contends Alex Platt. The former helps the SEC bring additional cases; the latter may see ...
When the pandemic arrived and marketplace, supply chain and other disruptions began, having a principles-based disclosure regime meant that we already had the rules in ...
“OCIE adapted to conducting examinations on a correspondence basis while remaining prepared to go on-site when necessary,” wrote SEC Chair Jay Clayton. “OCIE has worked ...
SEC commissioners approve final rule creating a "consistent and efficient rules-based regime for the formation, operation, and oversight of fund of funds arrangements"
This final rule relates to the execution of package transactions on swap execution facilities (“SEFs”) and the resolution of error trades on SEFs.
This final rule spells out the granting of exemptions from registration for certain derivatives clearing organization (DCOs)
The SEC’s website has been updated to include a new web intake form for no-action and interpretive letter requests
The SEC passed this fund of funds' rule in 2020. It affect investment advisers to mutual funds but not private funds.

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