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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.
File this under the boys scouts’ rule to be prepared. If you’re a real estate adviser, know that some OCIE examiners may question your right ...
Advisers should review their practices, policies, and procedures to ensure compliance with their advisory agreements and representations to clients in light of the fee and ...
Mark your calendar for next Wednesday. That’s when SEC commissioners plan to consider proposals finally revealing the agency’s stance on “a standard of conduct for ...
The first risk alert from OCIE in 2018 lists fee and expense issues that commonly cause exam deficiencies.   “Advisers should review their practices, policies, ...
One aftermath of the surge in OCIE exams is that the percentage of reviews referred to the SEC’s Enforcement Division has fallen to a low ...
It’s not a good sign when an adviser’s employee discovers he’s the firm’s CCO by reading its Form ADV.   But that’s how Richard Tomney ...
As last week’s story ran on how Fidelity handles custody following the SEC’s 2017 guidance, the custodian was moving to announce a major change (IA ...
With another election nearing, this may be a good time to remind staff of your pay-to-play policies – especially after two more advisers have applied ...
The headline suggested a textbook case of elder financial abuse: Broker makes fraudulent misrepresentations to collect $70,000 in fees from a couple of 90-something clients. ...
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