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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 that is an example of a document request letter the National Futures Association (NFA) sends to commodity pool operators (CPOs) ...
This is a proposed rule from the CFTC in 2014 that would eliminate the need for commodity trading advisors (CTAs) to record swaps conversations (IA ...
OCIE examiners have worn their traveling shoes of late, visiting a variety of firms and conducting a mix of quick-hit inquiries and lengthy visits. Reports ...
It’s not likely that sensitive data you share with the SEC could get out to the public, but a best practice would be to follow ...
The recent incident at a small advisory firm served as a wakeup call for the need to guard against cyber bad guys. A relatively new ...
IA Watch has obtained several recent SEC document request letters (see related story). They vary. Most are for never-been-examined firms and included on-site visits. One ...
This is an SEC document request letter sent to an advisory firm in 2014 from the SEC's Atlanta Regional Office.
This SEC document request letter from 2014 includes language for the adviser to share a robust trade blotter.
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