Compliance Services: Investment Advisers and Broker Dealers

Registered investment advisers (RIAs) and broker dealers must navigate the constant complexities throughout the ever-evolving regulatory landscape of asset management, while exempt reporting investment advisers must continuously manage client expectations to address compliance conflicts of interest.

Weaver provides services and guidance addressing compliance needs and allows organizations to focus on what matters most – their investors and clients.

With a wealth of subject matter experience, Weaver offers compliance solutions tailored to RIAs and exempt reporting investment advisers. Our team includes former chief compliance officers and senior compliance officers offering extensive experience working with public and private investment management firms. Developing a custom-tailored approach for each client, Weaver eases the compliance burden, meeting regulatory challenges head-on, and helping to ensure operations are in line with industry best practices.

Comprehensive Range of Compliance Solutions

Our customized compliance solutions support private fund advisers and broker dealers allowing them to meet their SEC and FINRA regulatory requirements and standards. These solutions include partial and fully outsourced compliance coverage that extends to every facet of your program – from reviewing and updating policies and procedures to conducting risk assessments and trainings for employees. With robust oversight and engagement, our compliance offerings aid your long-term success.