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.
Even Little Red Riding Hood didn’t cry wolf this much. FinCEN’s at it again – moving closer to proposing an AML rule for investment advisers. ...
This is a copy of a 2015 OCIE sweep exam document request letter that focused on whistleblower programs and confidentiality agreements.
This is a copy of OCIE's 2015 letter announcing its ReTIRE Initiative that will exam some IAs and B-Ds.
National exam staff intends to focus on certain registered investment advisers and broker-dealers that provide services or sell investment products to retail investors. Examination focus ...
An initial sign of potential trouble for a firm under SEC examination is the relationship between business/operations and legal/compliance, said Jina Choi, regional director of ...
Many CCOs have heard the protestations from marketers. “That ad didn’t need to be run through compliance first because the materials would go to only ...
If you’re an adviser to a mutual fund, a big takeaway from the SEC’s June 17 settlement with Commonwealth Capital Management ($18M in AUM) of ...
The June 12th Federal Register contained those two new SEC proposals affecting Form ADV and mutual fund reporting changes. The publication starts the clock for ...
In an attempt to temper the tempest stirred by last February’s SEC Division of Investment Management guidance on registered fund gifts and entertainment (IA Watch, ...
The story features a veteran from Illinois and his wife who saved their money for more than four decades, investing it at Vanguard ($3T in ...
rcw
rcw

Copyright PEI Media

Not for publication, email or dissemination