Home Authors Posts by Carl Ayers

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.
Businessman hands holding pen for working in Stacks of paper files searching information business report papers and piles of unfinished documents achieves on laptop computer desk in modern office
Strategies to avoid troubles with off-channel communications, new topics of interest to SEC examiners, should you self-report, and much more
Omni channel technology of online retail business. Multichannel marketing on social media network platform offer service of internet payment channel, online retail shopping and omni digital app.
The enforcement settlements have been so eye-popping, making it impossible for firms to ignore that staff may be using non-approved communications devices for work. So ...
Cemetery of St John's church Windlesham Surrey England. February with green grass and grey skies.
Should you discover a client’s death by reading the local newspaper's obituaries, be sure to confirm that a client has actually died
A detective with a magnifying glass in his hand
Another component will look at whether the Division of Investment Management takes 'actions to ensure staff with sufficient and appropriate skills, experience, and expertise are ...
Gurbir Grewal's SEC headshot
"If new rules impact your operations or if recent enforcement actions highlight risk areas relevant to your business, it means evaluating whether you need to ...
Feeling depressed concept. Exhausted young man in suit covering face with hand while standing against grey background. He is tired of endless work and lack of money
The adviser failed to both adopt and implement P&Ps regarding investor communications that could have prevented the violations
Side view of man in suit pointing at himself looking at shadow with long nose of a liar.
An internal review found that some investors received material holdings and exposures information about the fund without compliance’s review and approval
This is the new Form N-PX that, under a new SEC final rule, mutual fund and ETFs advisers and certain institutional managers. Do not use ...
Woman going over her finances
The Dow may have jumped more than 10% in 2023, but aggregate private equity and hedge fund AUM failed to keep pace
Close-up Of A Businessperson's Hand Calculating Invoice At Workplace
The numbers of private fund advisers grew 39% between 2012 and 2023, spurred by the tremendous increase (103%) in private equity funds
rcw
rcw

Copyright PEI Media

Not for publication, email or dissemination