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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.
Two weeks and counting. While the Labor Department won’t delay further next month’s implementation by the industry of “impartial conduct standards” under its fiduciary duty ...
At a time when Republicans hold the trump card in Washington, regulators are on the defensive. But they are not giving up, either. Witness the ...
Years of wrangling over the constitutionality of the SEC’s ALJ setting appears to be coming to a head. Ten appeals court judges heard arguments May ...
Thanks to an insider who knew ahead of time that Medicare would jack up reimbursement rates, an IA reaped nearly $4 million in “illegal profits” ...
In the end, the cost to George Palathinkal for lying to the SEC during a fraud investigation turned out to be modest (PF Watch, April ...
Nine months after proposing a new rule – and seven months after the GAO criticized its whistleblower rules (CPO/CTA Watch, Nov. 3, 2016) – the ...
The January proposal from the CFTC to modernize its recordkeeping rule attracted only 16 comments, but some urged the Commission to mirror its rules on ...
With visions of boosting its analytics, monitoring of derivatives and exams, the CFTC has submitted a budget request to Congress that seeks an increase of ...
The following FAQs provide additional information on the transition period from June 9, 2017 to January 1, 2018.1 This guidance, like the Fiduciary Rule and ...
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