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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By: Carl Ayers
Wahed failed to include any disclosure in the advertisement on its website stating that the athlete was not a current client, that compensation was provided for the endorsement, and that there was a material conflict of interest on the part of the professional soccer player resulting from his ownership stake in Wahed
The amendments are intended to clarify, simplify and enhance the utility of those regulations for registered entities, market participants and the Commission
"We consider a firm's efforts to comply with its recordkeeping obligations and to prevent off-channel communications, focusing, for example, on timely adoption of meaningful technological or other solutions"
By: Carl Ayers
The SEC adopts amendments to correct certain errors in various rules and forms, including those under the Advisers Act.
A substantial portion of the investment strategies that Invesco counted as ESG integrated could not consider ESG factors in making investment decisions because they were passive strategies that did not follow an ESG index
It can be tempting to use endorsements given that the SEC's new IA advertising rule now permits them. But be sure to navigate carefully the new rule's requirements or you could end up writing a check to the Commission
“One of the ways that we're prepping is anyone we think who is an individual that we think might have to report” as a beneficial owner or as a “controlling individual,” “we're asking that individual to get a FinCEN ID,” says the CCO
By: Carl Ayers
This final rule from Treasury requires U.S. persons to provide notification to Treasury regarding certain transactions involving persons of a country of concern that are engaged in activities involving certain national security technologies and products that may contribute to the threat to national security
This technical amendment reverses some Advisers Act changes due to a federal court disallowing the Commission's private fund rule. This means the annual review is no longer required to be in writing, among other reversals
By: Carl Ayers
"I've been proud to serve with my colleagues at the SEC who, day in and day out, work to protect American families on the highways of finance"
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