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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.
A business man in denial. An image using humour to represent ignorance, denial and obstinate views we see when people refuse to see the truth.
A host of compliance slip-ups and CCO changes feed into this enforcement action
SEC Chairman Gary Gensler
"Recent recordkeeping charges settled by Morgan Stanley Smith Barney speak to how important it is that market participants properly safeguard customer information"
SEC Commissioner Peirce
"Assuming those inspiring words did not convince my colleagues to postpone this rulemaking until we undertake a moonshot harmonization project, let me highlight some other ...
SEC Chairman Gary Gensler
"The events of the last week are a reminder of the importance of these resiliency projects for everyday Americans"
SEC Chairman Gary Gensler
Gensler seeks to calm nerves following the failure of the Silicon Valley Bank and others
Masked theif wearing all black steals computer secrets or commits identity theft on an office or home laptop computer. Cyper crimes concept.
The SEC proposes a new rule and form and amendments to existing recordkeeping rules to require broker-dealers, clearing agencies, major security-based swap participants, the Municipal ...
Word In Wooden Cube
This new proposal from the SEC would revise Reg S-P to require IAs, ICs and B-Ds to "adopt written policies and procedures for incident response ...
Tips include to take a sampling of senior clients and check to see if reps are putting notes in your CRM to document their most ...
Young displeased woman using megaphone and shouting while protesting with group of people on city streets.
RCW sampled early reactions to the proposal
Businessman point to the laptop looking graph of the company financial statements in the computer screen and together analysis the work room.
The idea of charging user fees to pay for SEC RIA exams resurfaces

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