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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 metallic padlock laying unlocked on a dark blueprint surface with a red glowing phrase "Security Breach" next to it. This image represents an abstract design in the domain of IT, security, nanotechnology, artificial intelligence or similar advanced technology. The image is a made up 3D concept render.
Amended Reg S-P would require the customer notice of a breach that would have to be “in writing,” either on paper or electronically
Businessman works on laptop Showing 2024 business trends dashboard with charts, metrics, AI, E-commerce, KPI. analytical businessperson planning business growth 2024. New Year Future business tech.
Nearly 80% don’t showcase specific investment advice. Advisers have not embraced sharing testimonials (92% don’t), endorsements (85% don’t) or third-party ratings (83% don’t)
The three-year pilot program allows eligible firms the option of conducting inspections of some or all branch offices remotely
Worried woman reading letter
The enforcement action yet again offers the lesson learned to continually check the veracity of your automated processes and to scrutinize the work of your ...
Chatbot Chat with AI, A.I.
Artificial intelligence was flagged as an “emerging risk” in the 2024 FINRA Annual Regulatory Oversight Report and the SRO cautioned that the use of AI ...
"Under these amendments, covered firms will be required to notify customers of breaches that might put their personal data at risk"
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The Commission is adopting rule amendments that are designed to modernize and enhance the protections that Regulation S-P provides by addressing the expanded use of ...
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The Fund filed a lawsuit against Production Company A, the Joint Venture, and Film Studio A seeking repayment of the amounts outstanding on these loans, ...
Businessman or politician cross finger, hiding behind his back during he get handshake to another person, businessman. Businessman pretend to be good person, he is liar. White collar worker is fraud
He failed to disclose his financial interest in a group of private affiliated companies that had committed to investing $30 million in a company that ...
"It is difficult to envision a money laundering concern that should be addressed with these activities, and it is unreasonable to require advisers to implement ...

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