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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 peer shares the firm's P&Ps for a variety of events covered in its business continuity plan
Mario Hernandez, CFP®, director of operations at Gemmer Asset Management in Walnut Creek, Calif., shares his firm's cyber P&P related to employee security roles. ...
OCIE's asking about your BCP, the government does more to help you cope with the coronavirus, how your peers are doing and much more
Unless you happened to be alive in 1918, during the last great global pandemic, all of this is new
There are many services designed to help you stay in touch with your colleagues should COVID-19 keep you separated for a long time
The OCIE request raises the specter of a long stretch of working from home
The new order removes two conditions placed on advisers that wished to use the delay
The current turbulence in the markets will eventually subside
The CFTC and NFA are granting CPOs/CTAs additional time to file regulatory obligations given the coronavirus crisis
Today’s Orders supersede and extend the filing periods covered by the Commission’s Original Orders of March 13, 2020
The SEC considers a "firm’s business continuity plan in response to circumstances related to coronavirus disease 2019"
The Commission will continue to monitor the current situation and may issue other relief as necessary or appropriate
"Broker-dealers, investment advisers, and other registrants must comply with policies and procedures that are designed to prevent the misuse of material nonpublic information"
The CFTC understands "that the COVID-19 pandemic may present challenges in timely meeting certain of their obligations"
OCIE has moved to conducting examinations off-site through correspondence, unless it is absolutely necessary to be on-site
The ICI believes that the relief outlined herein is necessary to enhance the liquidity and stability of money market funds during the ongoing and significant ...
Gain tips to help you polish off your new form
Regulatory relief due to the coronavirus, why was a CCO fired after discovering violations by the CEO, help urged for closed-end fund advisers, and ...
Fees, investments, ads and trading dominate this exam
Core Compliance & Legal Services in San Diego permits us to share its P&P for charitable contributions

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