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Carl Ayers

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.

IAA: Higher expenses, growth since 2010 revealed in most recent IRS filing

Investment Advisers
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Karen Barr took over the Investment Adviser Association as president/CEO in November 2014 (IA Watch, Sept. 25, 2014). According to the association’s latest IRS-990 filing, ...

OCIE’s 2016 Exam Priorities

Investment Advisers
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This document identifies selected 2016 examination priorities of the Office of Compliance Inspections and Examinations of the Securities and Exchange Commission. In general, the priorities ...

Result of SEC exam sweep places more responsibilities on advisers, fund CCOs

Investment Advisers
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All of that attention in recent years from OCIE on the issue of distribution-in-guise payments by mutual funds has resulted in new guidance from the ...

FINRA highlights three big focus areas in 2016, including plans to ‘assess’ culture

Broker-Dealers
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There’s a lot that’s new in FINRA’s 2016 exam priorities letter. Data quality, internal audit and client on-boarding are “in” compared with the 2015 letter ...

Adviser seeks High Court review of his SEC fraud case

Investment Advisers
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Five years after being charged with marking the close of some trades, former adviser Donald Koch is asking the U.S. Supreme Court to vacate the ...

Proposal would give firms an alternative to fingerprints for foreign principals

CPO/CTAs
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CFTC rules require principals involved in futures or swaps deals with registered entities to submit fingerprints so the FBI can look for any criminal past. ...

Forget to make your New Year’s resolutions? Your peers have some ideas

Broker-Dealers
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Jeff Suhanic, CCO of PNC Investments, has some big goals in mind for 2016. They include nurturing a customer-oriented system of resolving complaints, and improving ...

Establishing the Form and Manner With Which Security-Based Swap Data Repositories Must Make Security-Based...

Broker-Dealers
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The Securities and Exchange Commission published a Proposed Rule in the Federal Register on Wednesday, December 23, 2015 (FR Doc 2015–31703; 80 FR 79757) concerning, ...
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