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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.
To their supporters, compensated non-attorney reps—aka NAR firms—are one of the few ways that a small investor can recoup losses in arbitration. To their detractors, ...
This document makes a technical correction to a form amendment that was published in the Federal Register on July 1, 1997 (62 FR 35338). The ...
One sign many are taking from the new SEC FAQs is that the agency will reject industry pressure and implement its liquidity risk management rule ...
Here are the main requirements of Investment Company Act rule 22e–4 (liquidity risk management programs)(see related story): Develop relevant compliance P&Ps. These should cover the ...
From a compliance perspective, anti-money laundering programs have always drawn special attention. AML was recently highlighted by FINRA in its first-ever consolidated exam findings report ...
A peer shares the firm's initial document request letter.
An advertising case that led to an adviser being barred is now headed to the U.S. Supreme Court.   On Jan. 12th, the High Court ...
With all current signs indicating larger mutual funds will have to have a liquidity risk management program in place by December, the SEC has released ...
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