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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.
Click here to open a Word file from a peer that can serve as an attestation form for staff. Employees would attest to understanding the ...
Here’s the scenario: Your firm hires a new portfolio manager whose history makes him look like the Wall Street version of a titan. The marketers ...
Pressure from Congress and the industry and suggestions from the GAO led the Financial Stability Oversight Council last week to hear recommendations for shining more ...
The CCO’s review of firm e-mails detected that the CEO had taken out a loan from another investment adviser and judged it a conflict of ...
For the second year in a row, SEC enforcement actions against investment advisers and investment companies have dropped, according to new data from the Commission. ...
Depending on the size of the private fund marketed into the European Union, this could be the week for your firm to have to file ...
The timing couldn’t be better for the Investment Company Institute’s new 24-page Report on Funds’ Use of Proxy Advisory Firms, given that OCIE just listed ...
Fees and expenses for private equity fund advisers. Visits to never-been-examined investment companies. Cybersecurity. These are among the new items contained within OCIE’s just-released 2015 ...
Five years after Congress approved an expanded whistleblower program for the SEC (IA Watch, Nov. 15, 2015), a fundamental question remains unresolved with increasing signs ...
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