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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.
Tasks such as setting up bank accounts, creating legal entities, obtaining tax ID numbers, finding a transfer agent, scoring D&O insurance for officers, lining up ...
Charging CCOs can actually increase future securities violations, the report argues, because it could discourage compliance professionals from “deep involvement” in their firms
In a somewhat related development, the FSA June 2 released a Global Transition Roadmap for LIBOR
I believe it’s appropriate to look at ways to freshen up the SEC’s rules to ensure that our equity markets reflect our mission: to maintain ...
Sideletter
Broker-dealers have a legal duty to seek to obtain best execution of customer orders....for several years now I have advocated for the Commission to provide ...
It is important that all regulated financial institutions have an open and constructive LIBOR transition dialogue with their regulators, both home state and host state, ...
Between 2016 and 2020, the nineteen Verus IARs who received forgivable loans stood to earn over $480,000 in principal and interest forgiveness
Know that an inherited IRA cannot be rolled over but a spousal one can be
MacDonald failed to exercise reasonable care and caused these fees to be transferred to VII Peaks even though she was unaware of any obligation by ...
Sideletter
"The SEC Chair has made clear that further ESG disclosure is an area that the agency will pursue.[8]  So, I want to take this opportunity ...
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