Asset Management Consulting

Managing complex investment strategies in volatile markets and controlling costs in an uncertain economy are just two of the challenges facing asset managers.

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Internal Audits of Investments: Fixed Income and Credit Analysis

The credit analysis function is a key element of fixed income investment management, assessing the creditworthiness of issuers and ensuring sound investment decisions.

Article

SEC Announces 2025 Examination Priorities

Weaver’s overview of the SEC’s 2025 examination priorities describe practices by investment advisers and others that may come under SEC review.

Article

ESG in Financial Services: From Enthusiasm to Scrutiny and the Path Forward

The initial enthusiasm for ESG in financial services was met with increased scrutiny, but the underlying ESG principles continue to hold sway.

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The SEC Takes a Strong Stance on “AI Washing”

AI is revolutionizing industries, but misleading claims are rampant. Learn how the SEC combats AI washing and the importance of transparency for investment advisers.

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FinCEN Proposes Rules to Make Investment Advisers Subject to Anti-Money Laundering Requirements

If FinCEN’s proposed rule is adopted, SEC Registered Investment Advisers and Exempt Reporting Advisers would be subject to FinCEN’s AML and CFT requirements.

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SEC’s Review of Accredited Investor Definition: Implications for Private Funds

The SEC staff report may lead to a revised definition which could create challenges for private funds’ investor qualification procedures and compliance program.

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Asset managers must continue to maintain effective controls and compliance and manage risk.

In this fast-paced and rapidly evolving arena, investment companies, advisers and asset managers need to be nimble to respond to the challenges of new and existing regulations, complex investment strategies, digital assets, industry consolidation and pressure to reduce costs and headcount. Weaver’s Asset Management Consulting team can assist public and private asset managers to manage risks and build organizational strength and capacity to thrive in today’s competitive environment.

Who We Serve

Mutual Fund Sponsors
ETF Providers
Registered Investment Advisers
Private Equity Funds
Venture Capital Funds
Hedge Funds
Real Estate Funds
Broker Dealers
Public Pension Funds
Institutional Investors
Service Providers & Transfer Agents

We provide internal audit, regulatory compliance and risk management consulting services for investment advisers and asset managers of any size.

Services

Internal Audit and Consulting Services
Compliance Services

Internal Audit and Consulting Services

Weaver’s internal audit and consulting capabilities span the asset management lifecycle covering investment processes within mutual funds, ETFs, pension funds, private funds and other investment vehicles.

In addition, our team can help address the firm’s needs regarding enterprise risk management, adviser due diligence, third-party risk, ESG assessments, fraud detection and prevention, workflow and policy development, business transformation and process efficiency.

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Compliance Services

Weaver can assist investment advisers and broker dealers in the complex regulatory landscape through outsourced compliance services to meet SEC and FINRA reporting requirements and standards. These solutions include all aspects of compliance support from registrations and filings, compliance program development and oversight, compliance training and more.

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Meaningful or Misguided: Is There a Role for Impact Investing in Your Portfolio?Read Article

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Meaningful or Misguided: Is There a Role for Impact Investing in Your Portfolio?

Featured

SEC Announces 2024 Examination Priorities Read Article

Article

SEC Announces 2024 Examination Priorities

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