Carl Ayers

Richmond

Publisher at Regulatory Compliance Watch

None at PEI Media

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Articles

Data suggest more outsourced CCOs utilized

3 weeks ago | regcompliancewatch.com | Carl Ayers

Dual-hatted CCOs—often holding additional titles like president, CEO or principal—number about 20% of the population
Fewer exams, enforcement in SEC budget

3 weeks ago | regcompliancewatch.com | Carl Ayers

The SEC asks Congress for less money, and its plan predicts there will be fewer exams of SEC RIAs
Judge eviscerates CFTC enforcement

3 weeks ago | regcompliancewatch.com | Carl Ayers

It’s not often a regulator’s enforcement staff gets taken to the proverbial woodshed by a federal judge but that’s what’s happened in an embarrassing case of 'willful and bad faith conduct,' not only by CFTC enforcement attorneys but also by past top management
SEC Concept Release on Foreign Private Issuer Eligibility

3 weeks ago | regcompliancewatch.com | Carl Ayers

A 'foreign issuer' is any issuer which is a foreign government, a national of any foreign country, or a corporation or other organization incorporated or organized under the laws of any foreign country
SEC Chairman Atkins invites views on foreign private issuer release

3 weeks ago | regcompliancewatch.com | Carl Ayers

"It has been several decades since the Commission last examined the characteristics of the foreign private issuer community. The global markets have changed significantly in those decades"
SEC Commissioner Peirce on foreign private issuer eligibility

3 weeks ago | regcompliancewatch.com | Carl Ayers

"Today, the Commission is asking a broader fundamental question: have the changes in the characteristics of the foreign issuers that choose to access our capital markets contravened the policy rationales and objectives that have made our foreign private issuer regime into what it is today? The Concept Release puts forward potential solutions"
SEC Commissioner Crenshaw expresses concerns about foreign concept release

3 weeks ago | regcompliancewatch.com | Carl Ayers

"We should not unwittingly allow our markets to be part of an international regulatory loophole, at the expense of U.S. investors and U.S. businesses"
SEC Commissioner Uyeda speaks on foreign private issue request

3 weeks ago | regcompliancewatch.com | Carl Ayers

"Any regulatory answer to the questions in today’s concept release should be based on ensuring that the SEC’s treatment of foreign issuers reflects today’s global capital markets and does not place U.S. companies at a competitive disadvantage or deprive U.S. investors from receiving appropriate disclosure"
SEC Commissioner Peirce urges encouragement of fund raising

3 weeks ago | regcompliancewatch.com | Carl Ayers

"But the degree to which the market favors Rule 506(b) over the other exemptive options the securities laws provide makes me wonder what more we could do to encourage uptake of the more purpose-built fundraising paths we have"
SEC Commissioner Crenshaw criticizes SEC's crypto direction

3 weeks ago | regcompliancewatch.com | Carl Ayers

"These developments lay bare that we are not actually chasing crypto regulatory clarity -- these assets cannot be both securities and not securities at the exact same time"