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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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YieldStreet later determined that the Borrower had stolen the deconstruction proceeds for several ships, including the ship securing the loan in the Vessel Deconstruction VI ...
"By levying punishment on a registered representative for failing to red-flag a transaction and consequently failing to make an internal report, we are encouraging registered ...
SEC Chairman Gary Gensler
"Today’s actions would further secure login protocols by requiring every person filing something into EDGAR to login with individual credentials and to use multi-factor authentication"
SEC Commissioner Lizarraga
"We proposed reforms that would require funds and advisers to stand by their ESG claims, and accurately communicate to investors how they are incorporating ESG ...
"This enforcement action involves activity that we believe constitutes fan crowdfunding—a common phenomenon in the world of artists, creators, and entertainers .... The Commission’s application ...
"Last month, we finalized a rule that, among other things, will require private fund advisers registered with the Commission to provide detailed disclosure to investors ...
"SEC coordination with state regulators and active engagement with the private sector is necessary to become aware of new developments in order to fulfill our ...
Private fund
This final rule creates six new Advisers Act rules and modifies two others and becomes effective Nov. 13, 2023
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Suggestions for successful succession planning, PFs run into custody enforcements, results of Reg BI exams and much more
Man is writing succession planning in the book.
A common mistake advisers make is 'they don’t think about the short-term succession plan.' Plans should be prepared to handle short-, medium- and long-term succession

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