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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 SEC "will be hosting a roundtable this fall to share additional thoughts following completion of its review of the initial filings and will continue ...
The GLBA shield offers advisers that fall under the CCPA no protection regarding data breaches, though. Penalties can sting
In one case, a CTA has operated for 20 years without allegedly joining the NFA
Larger firms should find this checklist beneficial as well
OCIE to quiz on Form CRS, reaction to new accredited investor definition, IAA pans DOL's ESG proposal and much more
"we believe that an investment adviser that uses automated voting should consider disclosing" these two things
"We have declined to adopt such a prescriptive approach at this time, but rather have focused on an incremental principles-based approach in order to see ...
Stewart tipped his father, Robert Stewart, for his own personal benefit, in violation of his duties to his employers, generating $1.1 million in illicit proceeds
Examiners wanted to see some review of an IA account after 12 months of inactivity
The outbreak of COVID-19 has had far-reaching effects, with small businesses being particularly affected by the closures and safety measures designed to slow the spread ...
Due to the intermittent inaccessibility of physical certificates at DTC as a result of ongoing concerns related to the effects of COVID–19, sell orders for ...
The final rule defines the term covered broker or dealer as ‘‘a covered financial company that is a qualified broker or dealer’’
At the time he was fired, Tropiano was married to the daughter of Respondent. Tropiano went to see Respondent, his father-in-law, for advice on finding ...
Hester Peirce
"It is a laudable thing for a businessman to work ceaselessly to make his company or bank successful"
A peer shares the firm's policies and procedures for maintaining records
A divided Commission adjusts who is an accredited investor, the SEC's using web video in exams and enforcement, tips for selecting a compliance consultant and ...
Any CCO should sit in on employee video calls with the SEC, just as a compliance officer—or other firm examination liaison—should be in the room ...
A relationship with a compliance consultant paves a two-way street. Be sure to give any consultant you hire full information
RCW doesn’t endorse any of these firms and they didn’t pay to be on our list
A “party cannot circumvent the SEC judicial review statute” by challenging its constitutionality before an enforcement action plays out

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