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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.
One side points to a new report that claims “scant evidence” supports the CFTC’s proposed implementation of position limits for 28 commodities derivatives. The other ...
The Federal Deposit Insurance Corporation (‘FDIC) and the SEC in accordance with section 205(h) of the Dodd-Frank Wall Street Reform and Consumer Protection Act (‘Dodd-Frank ...
Theresa Manderski, first VP, Compliance & AML Officer at Davenport & Company in Richmond, Va., shares her firm's AML P&P.
This comes courtesy of Theresa Manderski, first VP, Compliance & AML Officer at Davenport & Company in Richmond, Va.
Compliance officers don’t necessarily have a reputation for being technologically proficient – and the SEC recognizes this.   “We don’t expect you to be cybersecurity ...
The emotional strain caused by taking on the SEC was seen at IA Watch’s IA compliance conference last week when Mark Robare, owner/CCO at The ...
General Counsel/CCO Bob Chung of Arete Wealth Advisors in Schaumburg, Ill., shares how he responded to a Wells Notice.
March 1 ushers in the new cybersecurity rule from the National Futures Association, as scary stories continue to mount about cyber hackers trolling the industry ...
We’ve written about the perils of getting sued for defamation over Form U5 statements, and how to minimize your exposure (IA Watch, June 9, 2015; ...
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