Asset Management Consulting Services
Weaver’s Asset Management Consulting (AMC) team’s investment focus provides the insight organizations need to identify and mitigate the risks of both public and private markets, allowing our clients to thrive in today’s competitive environment.
ASSET MANAGEMENT CONSULTING
Asset managers must continue to maintain effective controls and compliance and manage risk. Weaver’s Asset Management Consulting team can assist public and private asset managers to manage risks as well as build organizational strength and capacity to thrive in today’s competitive environment.
We provide internal audit, regulatory compliance and risk management consulting services for investment advisers and asset managers of any size. Our team of experienced professionals has detailed understanding across the investment lifecycle and can support internal audit, risk management and business process redesign across:
INVESTMENTS
⊲ Global Equity
⊲ Fixed Income
⊲ Private Equity
⊲ Real Estate
⊲ Private Credit
⊲ Derivatives and Counterpart Risk
⊲ Trading and Execution
⊲ Investment Due Diligence
⊲ Trade Surveillance
⊲ Governance
OUR SERVICES
⊲ Internal audits across investment lifecycle
⊲ Risk assessment and audit plan development
⊲ Compliance risk assessments
⊲ Investment risk assessments
⊲ Enterprise risk management
⊲ Investment committee governance
⊲ ESG governance assessments
OPERATIONS, DATA AND TECHNOLOGY COMPLIANCE AND RISK
⊲ Trade Operations
⊲ Settlement and Reconciliation
⊲ Security Lending
⊲ Proxy Voting
⊲ Data Governance and Analytics
⊲ Order Management Systems
⊲ Trading Platforms
⊲ Custodian Oversight and Integration
⊲ Private Market Operations
⊲ Investment Accounting
⊲ Transfer Agent
⊲ Participant Services
⊲ Capability maturity model assessments and program implementation
• Internal audit
• Compliance functions
• Enterprise risk management
• Third party risk management
⊲ Adviser due diligence
⊲ Vendor management program implementation
WHO WE SERVE
⊲ Investment Compliance
⊲ Conflicts of Interest
⊲ Personal Trading
⊲ Material Non-public Information
⊲ Remuneration
⊲ Anti-money Laundering
⊲ Fraud Prevention and Detection
⊲ Investment Risk
⊲ Performance Reporting
⊲ Transfer agent business process redesign
⊲ Workflow and process re-engineering
⊲ Policy development
⊲ Business transformation
⊲ Operational efficiency reviews
⊲ Analytics and automation
⊲ Continuous monitoring
⊲ Fraud detection and prevention
COMPLIANCE SERVICES FOR INVESTMENT ADVISERS
In today’s complex financial landscape, compliance with regulatory requirements and industry best practices is crucial for the success and reputation of investment managers and broker-dealers. Navigating regulations from bodies including the Securities and Exchange Commission and FINRA demands dedicated resources and a keen understanding of compliance intricacies.
Our team includes former chief compliance officers and senior compliance officers with extensive experience in public, registered, and private investment management firms. With a deep understanding of the evolving regulatory environment, we offer comprehensive solutions that enable organizations to focus on their core mission — serving investors and clients.
Partnering with Weaver means your compliance requirements are comprehensively addressed. We understand the challenges organizations face in balancing client needs and operational efficiency. Our tailored compliance services simplify regulatory adherence, helping investment advisers, broker-dealers, and investment funds receive the support they need. We assist clients in executing existing compliance programs and in creating or amending frameworks customized to their needs.
OUR SERVICES
OUTSOURCED COMPLIANCE
⊲ Compliance Framework
⊲ Annual Compliance Report
⊲ Ongoing comprehensive phone and email support
⊲ Policy and procedure creation and maintenance
⊲ Advertising and marketing, including social media review
⊲ Electronic surveillance
⊲ Compliance trainings
REGISTRATION AND FILINGS
⊲ SEC and State Registration
⊲ Form ADV, PF, 13F and 13H
⊲ IARD administration(Electronic filings systems)
CODE OF ETHICS
⊲ Personal securities transactions review
⊲ Outside business activities
⊲ Political contributions
⊲ Material Non-Public Information Monitoring
⊲ Gifts and entertainment
TESTING AND MONITORING
⊲ Mock exams
⊲ Quarterly and annual testing
⊲ Business continuity planning
⊲ Service provider review
REGULATORY EXAM SUPPORT
⊲ Documentation coordination
⊲ Strategy and communication
⊲ Post exam review
BROKER DEALERS
⊲ Form U4, U5 and Form BD matters
⊲ Business continuity planning
⊲ Written supervisory procedures
⊲ Branch office inspections
⊲ 3120/3130 supervisory controls assessments
CYBERSECURITY
⊲ Compliance assessments and cyber due diligence
⊲ Penetration tests and vulnerability assessment
⊲ Cyber risk assessments and audits
ANTI-MONEY LAUNDERING COMPLIANCE AUDITS
⊲ Audits
⊲ Risk assessments
OUR INDUSTRY KNOWLEDGE. YOUR COMPETITIVE EDGE.
Industry insight and know-how is brought to each client relationship. Our tailored solutions are rooted in a deep understanding of these sectors.
“what our clients say
ABOUT WEAVER
Weaver is a national accounting and advisory firm with offices from coast to coast. But we’re no ordinary accounting firm. We have an unwavering commitment to our clients’ success, acting with integrity and always striving to transcend expectations. We are nationally ranked by both INSIDE Public Accounting (IPA) and Accounting Today, including recognition as a Best of the Best firm by IPA in 2023.
I was very impressed with the Weaver team. Our Fund is very complex, and they understood how to handle the intricacies of it well. I appreciate how the team is in command of the accounting guidance and able to address the complex issues that may arise with such ease. Thank you, team Weaver! Looking forward to working with you again.
KEY CONTACTS:
BRUCE MILLS, CIA, CPA PARTNER, ASSET MANAGEMENT CONSULTING SERVICES
O: 832.320.3211
BRUCE.MILLS@WEAVER.COM
MICHAEL BARAKAT DIRECTOR, INVESTMENT ADVISER
COMPLIANCE O: 832.320.3429
MICHAEL.BARAKAT@WEAVER.COM