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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.
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Many firms periodically visit branch offices to show compliance is watching
These come courtesy of Ellen Bruno of Compliance Advisor Professionals in Berkley, Mass
A look at what you're likely to face in the year ahead, your peers' compliance resolutions, a calendar of new 2022 rules and much more
This document, shared with permission of author David Marshall of Katz Marshall & Banks in Washington, D.C., is designed to explain how the SEC's whistleblower ...
Take a look at what's being predicted to cross your path this year
Sample what fellow CCOs aim to achieve this year--and gain some ideas for your program
Our annual table informs you of new rules due to take effect this year
The defendants improperly registered Bóveda with the Commission as an Internet IA
Walker solicited investors to purchase 1 Global securities; advised investors about the merits of the investments; and received commissions of approximately $393,000 that were transaction-based ...
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