Carl Ayers, Author at Regulatory Compliance Watch

http://www.regcompliancewatch.com

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.

January 9, 2017 IA Watch Weekly Briefing

Investment Advisers

Carl Ayers -

January 5 2017

Sullivan & Cromwell partner to be nominated as SEC chair

Featured

Carl Ayers -

January 4 2017

President-elect Donald Trump has announced that he plans to nominate Sullivan & Cromwell partner Jay Clayton to chair the SEC. The announcement states that ...

Multi-Branch Adviser Initiative

IA Compliance Toolbox

Carl Ayers -

January 3 2017

Staff intends to focus on registered investment advisers that provide advisory services from multiple locations. The examinations will focus on evaluating the design and effectiveness ...

Mutual Fund Fee Structures

Investment Advisers

Carl Ayers -

January 3 2017

This Guidance Update is focused on disclosure issues and certain procedural requirements with offering variations in Fund sales loads and new Fund share classes.3 We ...

Predictions on the forecast for the industry in 2017

Investment Advisers

Carl Ayers -

January 2 2017

A hatchet chopping at the Labor Department’s fiduciary duty rule. Third-party exams coming for investment advisers. The SEC’s “broken windows” policy drifting into history. A ...

Snag ideas for your 2017 compliance resolutions from what your peers plan

Featured

Carl Ayers -

January 2 2017

Few things energize the idea factory like a New Year. Here are goals your compliance peers have set for 2017. Consider cybersecurity insurance. “I ...

2017 Regulatory Calendar

Investment Advisers

Carl Ayers -

January 2 2017

We’ve shared predictions for the regulatory year ahead (see related story). Now eye the regulatory calendar for 2017. These items could change given that a ...

Crowdfunding casualty: funding portal expelled

Broker-Dealers

Carl Ayers -

January 2 2017

The crowdfunding world has its first major casualty: an online funding portal that allegedly ignored myriad warning signs of issuers looking to raise money from ...