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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.
Tampa-based Cummings Financial Organization launched its social-networking program in 2012 as part of a pilot engineered by its broker, Transamerica Financial Advisors. Its philosophy – ...
Reps should consider this three-stage plan to establish a written trail to demonstrate they’ve achieved suitability for the client: Reason for the meeting (Quarterly update? ...
This proposed rule from the SEC in 2015 would require a registered clearing agency to report to a registered swap data repository any security-based swap ...
Now that OCIE has released its 2015 exam priorities, we checked with some of your peers who have been through recent exams to ask them ...
A significant percentage of the nation’s advisory firms call New England home. One snowstorm after another has battered the region lately.   A total of ...
Daniel Yih, the COO of Starwood Capital Group ($24B in AUM) in Greenwich, Conn., sought to help his longtime friend, Bruce Rauner, who was running ...
Violations of the Investment Company Act cost Water Island Capital ($3.4B in AUM) in New York $50,000 last week after it settled custody and compliance ...
The SEC has turned “a blind eye” to repeated violations by Oppenheimer & Co. ($8.6B in AUM) and departed from its “long-established” criteria when it ...
Another former SEC staffer is heading to FINRA (IA Watch, May 7, 2013). The SRO is taking steps to improve how it analyzes and uses ...
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