Internal Audit and Consulting Services

Weaver’s internal audit and consulting services for asset managers and investment advisers are tailored to the specific needs of this unique business – from ad hoc projects to fully outsourced solutions.

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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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SEC Announces 2024 Examination Priorities

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

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SEC Updates Beneficial Owner Rules

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

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SEC Adopts New Requirements for Private Fund Advisers

The SEC adopted a final rule under the Investment Advisers Act of 1940 that will greatly increase the accounting and audit requirements for private fund advisors.

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SEC Proposes Broadening Custody Rule for Investment Advisers

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

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While aiming for organizational strength and comprehensive risk management, we have experience conducting risk assessments, building audit plans, executing control and advisory reviews and developing audit analytics/continuous monitoring for portfolio management, trading, operations, ESG, compliance and distribution. Our internal audit and consulting services offer a proactive approach to address potential vulnerabilities that align your business with responsible investment strategies.

Internal Audit Capabilities

Our team of experienced professionals excel in identifying and mitigating risks across mutual funds, ETFs, pension funds, private funds and other investment vehicles. We design strategic audit plans to ensure comprehensive coverage and effective risk management, and our meticulous approach includes thorough control and advisory reviews. With cutting-edge technologies, our audit analytics and continuous monitoring solutions for portfolio management, trading, operations, ESG, compliance and distribution offer capabilities across the asset management lifecycle.

Consulting Services for Asset Management

Weaver’s consulting services work toward the safeguarding of your business by supporting asset managers and investment advisers with risk management solutions. Through comprehensive third-party risk management services that assist in the selection of reliable partners and ESG assessments for investment portfolios, our approach helps your business meet evolving market demands. Advanced strategies for fraud detection and prevention are at your disposal to effectively protect your assets, while business transformation solutions allow your organization to embrace change and drive growth. Weaver is uniquely positioned to walk beside your team and create pathways for efficiency with our specialized approach to consulting.

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