Carl Ayers is the publisher of Regulatory Compliance Watch. He specializes in areas such as alternative investments, asset management, and economic policy, bringing a wealth of knowledge from his diverse background in newspapers, television news, and healthcare journalism. Carl has been recognized for his excellence in investigative reporting and has been featured in Regulatory Compliance Watch.
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Carl Ayers' coverage indicates a strong focus on legal and compliance issues within the finance industry, particularly regarding government announcements and regulatory changes. He seems to prioritize news related to financial regulations, SEC activities, and compliance requirements for financial entities.
Given his extensive coverage of legal policy regulation and government announcements in the finance sector, Carl would likely be interested in insights from experts who can provide in-depth analysis or commentary on new regulations, compliance challenges, or recent government announcements impacting the finance industry. Additionally, he may welcome contributions from professionals with practical experience navigating regulatory changes or implementing compliance strategies within financial organizations.
As there is no specific geographic focus mentioned for Carl's articles, it is advisable to tailor pitches with a global perspective on finance-related legal and regulatory topics.
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By: Carl Ayers
"The two-year delay will provide additional time for FinCEN to review the IA AML Rule and, as applicable, ensure the IA AML Rule is effectively tailored to the diverse business models and risk profiles of types of firms within the investment adviser sector"
By: Carl Ayers
Rule 30–5(g)(8) will enable the IM director to authorize the issuance of orders under the Advisers Act to grant, deny, and revoke confidential treatment of information in Form ADV
By: Carl Ayers
This proposal would greatly expand the AUM threshold for an investment adviser to qualify as a small entity for purposes of SEC rulemaking
The year may only be days old but already the SEC has defied predictions by proposing a new rule. The proposal would drastically revise AUM thresholds for declaring investment advisers to be small entities
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Regulators are worried that private fund managers aren't properly disclosing expenses paid to investment bankers or deal lawyers, that drive up the cost of a deal as well as an adviser's management fees in the post-commitment period
By: Carl Ayers
"Investment advisers that determine proxy voting is not required by, or may even be inconsistent with, their investment program should not be afraid to take that position"
These are the new rules that are due to take effect this year Create an account to continue reading
It's an annual tradition at RCW, asking compliance pros what they plan to accomplish in the new year. Here are some of their resolutions
RCW asked some industry pros for their best guesses of what you're likely to run into this year
