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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.
A Colorful Looping Roller Coaster On A Beautiful Sunny Day
You might be getting dizzy by now, after a federal judge Feb. 18th granted a motion to reignite the reporting obligations under the Corporate Transparency Act
Closeup front view of a mid 50's female manager giving instructions to her team of 20's and 30's interns at a modern factory headquarters.
Affiliate title Regulatory Compliance Watch has obtained its first copy of an SEC examination document request letter sent to an adviser after the new Trump administration took office and it confirms that adviser advertisements continue to attract examiner scrutiny.
Financial misconduct note and accounting records. Fraud and auditing concept.
Wording of the expenses also left much to be desired.
Among other things, this proposal would mandate that advisers must verify a customer’s or an entity’s identity 'within a reasonable time before or after the customer’s account is opened.'
Brother & sister enjoy playing with the stingrays at the sandbar off Grand Cayman
You don’t have to go to the islands, but private funds based in the Cayman Islands must hold at least one governance meeting annually under new local regulations.
SEC widens the risk calculus for private fund managers.
Congress spending and wasting your money.
In the last five years, 'the population of advisers has grown by over 2,300 and the assets managed by these entities has increased by approximately $30trn,' the report states.
Magnifying glass on charts graphs paper. Financial development, Banking Account, Statistics, Investment Analytic research data economy.
An adviser CCO tells of a recent SEC exam that deeply probed the adviser’s due diligence into its pricing services used for establishing valuations.
A proposed regulation governing outsourced services gives examples of what would be in the rule and what services would be outside the rule.
An RCW analysis of more than 120 advisers that have already answered these questions found every one of them indicated they will use testimonials
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