Home Authors Posts by Carl Ayers

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.
In sharing the focus areas for the digital asset initiatives, the Division encourages market participants to reflect upon their own practices, policies and procedures, as ...
Broker-dealer custody of digital asset securities raises certain compliance questions with respect to the Customer Protection Rule
Warf recalls nurses waking him to say, “‘we’re taking you to the ICU,’ which, of course, scared me to death”
A peer shares the firm's extensive business continuity plan and policies. Use this to improve yours
Having P&Ps in place give staff direction, make them feel safer and can mitigate a firm’s risks. However, making a COVID vaccine a condition of ...
A peer shares 15 tips for responding to a disaster
A CCO battles COVID during an SEC exam, defining a high-net worth individual, more fallout from the GameStop incident and much more
It can get confusing to assign clients to certain categories when there are so many different terms, like “high-net worth individual,” “qualified purchaser,” “accredited investor” ...
Hester Peirce
"The anti-Wall Street sentiments coursing through the market events of recent weeks and the growing realization of the power that private and public centralized entities ...
Many advisers hold Monday morning monitoring meetings, where they discuss the state of financials. “That’s the information they should be using for valuation”

Copyright PEI Media

Not for publication, email or dissemination