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.
A peer shares a 2017 exam letter that OCIE sent to an investment advisory firm.
We are adopting amendments to the expiration dates in our interim final rules that provide exemptions under the Securities Act of 1933, the Securities Exchange ...
You’re not alone if you’re confused about whether to proceed to comply with the Labor Department’s April 10th applicability date for its fiduciary duty rule ...
If you believe your CPO should be exempt from CFTC registration, the process begins by filing notice with the Commission (CPO/CTA Watch, May 28, 2012). ...
Your compliance role can be so much easier when management supports you – and ever more painful when a firm’s owner overrules you.   A ...
Raiding is one way to build your business—but it also has its downside. A FINRA arbitration panel in January ordered Robert W. Baird & Co. ...
The five most frequent compliance topics identified in deficiency letters sent to SEC-registered investment advisers
Consider that you’ve been served notice. OCIE’s latest risk alert pinpoints the five most troublesome areas found during exams. They’re topics that advisers should have ...
If you’re a large enough private fund adviser that markets into the EU, then you already quarterly file certain data reports with overseas regulators to ...
rcw
rcw

Copyright PEI Media

Not for publication, email or dissemination