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Carl Ayers

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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.
Elad Roisman
Many young people, who access our markets through newer technology—are currently interested in investing in our markets, and I believe this is a wonderful development ...
What's tops on compliance officers' minds, what you need to do if you contemplate transitioning a fund to an ETF, casting a shadow over questionable ...
This is an example of how one RIA advertises its performance. It includes a benchmark by which to compare the firm's results, along with necessary ...
How are investors protected in light of the potential conflicts of interest that may exist when DEPs optimize for platform revenues, data collection, or investor ...
As you discuss digital platforms and other topics in the future, help us to remember that a regulator who always says no or takes too ...
The Compliance Officer recommended to Horter that the rep be fired for effectively failing Horter Investment’s due diligence process. Horter rejected the Compliance Officer’s advice
Paradigm routinely selected higher cost Class A shares instead of lower cost mutual fund share classes for which clients were eligible, and thereby avoided incurring ...
Exchange-traded funds definitely seem to be an industry darling these days, and some advisers to private, mutual funds and even separately managed accounts are courting ...
Other actions firms plan to take include to develop a detailed guidebook for staff containing compliance do’s and don’ts and to write new P&Ps governing ...
A peer shares a template for auditing a branch office
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