Insights & Resources

Learn why ESOP audits matter, common pitfalls to avoid and how proactive communication and valuation reviews can strengthen plan integrity.

Learn how the SEC custody rule and surprise examinations apply to RIAs and key compliance basics in Weaver’s RIA Surprise Examinations series.

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

Weaver's downloadable chart identifies issues that potentially require fair value assessment during your financial audit. Download now.

The SEC’s 2024 examination priorities which will focus on key risks for private funds and exam priorities for the upcoming year.

Common scenarios VC managers face as they prepare their valuations for their financial statement audit and tips for approaching the valuation analysis.

The SEC has made the first material change in beneficial owner reporting in almost 50 years with updates to Regulation 13D-G.

The SEC announced proposed rules to broaden the application of the current investment adviser custody rule beyond client funds and securities.

The SEC recently announced that, in its fiscal year 2022, 760 enforcement actions were filed resulting in a record $6.4 billion in money ordered from SEC actions.

An employee stock ownership plan (ESOP) is a tax-advantaged way to sell a business to the employees of a company.

An ESOP is a qualified retirement plan sponsored by a company, but unlike a 401K, an ESOP must invest primarily in the stock of the company sponsor and an ESOP may borrow money to finance the purchase of company stock.