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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.
“The biggest impact is the loss of personal contact. I know employees can be hesitant to raise issues via e-mail"
New Form CRS FAQs, examining the new DOL fiduciary duty exemption proposal, criminal charges for VC founder and much more
The new regulation abandons the “core principles of the Advisers Act” ... as investment advisers and B-Ds “are as different as butchers and nutritionists.”
"Although Regulation Best Interest may not be the policy that Petitioners would have preferred, it is what the SEC chose after a reasoned and lawful ...
Here’s a primer on the other basics you must know
Download the latest quarterly compliance calendar from RCW
I look forward to continuing our work with the Department so that collectively we can enhance investor choice and increase investor protections
BNPP was aware of red flags that indicated that the Hedge Fund might not be able to deliver sufficient shares
Financial professionals "could receive a wide variety of payments that would otherwise violate the prohibited transaction rules, including, but not limited to, commissions, 12b-1 fees, ...
SEC releases new Form CRS FAQs days before June 30th deadline
The Commission is proposing a set of principles for DCMs to address the prevention, detection, and mitigation of market disruptions and system anomalies associated with ...
Post-trade name give-up may still be necessary to accommodate trading mechanisms and infrastructures currently used for U.S. Treasury swap spreads that do not allow for ...
In response to significant concerns regarding the COVID-19 outbreak, BCBS/IOSCO decided to amend its margin policy framework to further extend the implementation schedule for the ...
The eligible affiliate counterparties electing the exemption must pay and collect variation margin on swaps with all other eligible affiliate counterparties with whom they enter ...
The Commission continues to interpret the term ‘‘virtual currency’’ broadly
Based on this consultant’s findings and recommendations, SGAS implemented new controls and procedures over its EBS reporting process intended to ensure the completeness and accuracy ...
"The health and safety of all participants in the securities markets is of paramount importance"
It is clear that the need for certain relief remains, such as relief to ensure continued remote operations and to provide flexibility in light of ...
High Court addresses disgorgement, new OCIE risk alert, extended pandemic relief and much more
"What adds to my concern is that securities that trade in the OTC market are primarily owned by and marketed to retail investors"

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