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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.
Only a few months after the SEC charged an investment adviser with falsely claiming compliance with the Global Investment Performance Standards (IA Watch, June 2, ...
It’s not often the SEC takes a requirement off the board. This week’s announcement that the agency’s virtually eliminating the Investment Company Act exemption related ...
Click here to open a PDF from the NSCP with directions for how to Bates stamp PDF documents. This is shared with permission of the ...
A best practice guaranteed to reduce a compliance officer’s risks of facing possible enforcement liability from the SEC is to act on red flags. But ...
This is a final rule promulgated in 2014 by six federal agencies, including the SEC. It targets the securitization of mortgages, and was mandated by ...
Last week, a divided SEC Commission voted 3-2 to approve a final rule requiring entities that securitize mortgages and other debts as collateralized loan obligations ...
Many advisers continue to generate deficiencies on SEC exams because they incorrectly determined that they don’t have custody, said Renee Esfandiary, assistant director of the ...
Two exceptions to FINRA rules against brokers sharing compensation with non-registered persons have been proposed by the SRO. The first would allow members to pay ...
David Kotz understands a thing or two about fraudsters. As the SEC’s inspector general, he investigated the agency’s behavior in the years leading up to ...
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