Carl Ayers is a journalist for Regulatory Compliance Watch, focusing on regulatory compliance issues in the financial industry. His articles cover a range of topics including SEC regulations, compliance updates, enforcement actions, and industry news. Carl aims to provide informative and timely content to help professionals navigate the complex world of regulatory compliance.
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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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One strategy to defeat similar fraudsters is to send this correspondence to all clients
Sometimes jumping on the bandwagon too quickly risks falling off Create an account to continue reading
By: Carl Ayers
Take these steps and produce 'the most effective annual review that you could do' Create an account to continue reading
By: Carl Ayers
"After all, compliance has costs. There are the actual resources needed to implement effective compliance functions"
It remains a best practice for advisers to produce a written annual review Create an account to continue reading
The rash of SEC enforcement actions against advisers for marketing mishaps means when Commission staff talk about what not to do, it's time to listen
Remember that you have a compliance obligation to obtain an initial and an annual notice from these clients confirming that their SLOA instruction remains valid
This SAR narrative failed to include all of the information required by FinCEN, including the time-frame of the suspicious trades; details about the trading, such as the identity of the securities involved and the dates, times, amounts, and prices of the purchases or sales; why the trading was suspicious; and why there was a high probability of insider trading
The didn't contain the information as required by FinCEN, such as the “five essential elements”—namely the “who, what, when, where, and why” of the suspicious activity being reported—from the SAR narratives
Paulson filed a SAR in which the narrative stated that in reviewing a request to approve margin trading for a client's account. However, failed to include all of the information required by FinCEN
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