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Financial Services

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Since the financial industry’s nascence in the late 1930s, Tait Weller has developed the specialized skill sets necessary to evolve alongside it – through the industry’s growth spurt in the 1960s, its rapid expansion during the 1980s with the introduction of international, tax-free and high-yield funds, and the more recent global turbulence. Today our roster of national financial services clients attests to our reputation for excellence, knowledge and personalized service.

  • Our audit and assurance department serves regulated investment companies (RICs) and a host of related and associated companies, such as alternative investment funds, underwriters, investment managers, transfer agents, related financial institutions, and independent broker/dealers in this highly regulated industry.
  • Our audit department performs examinations in accordance with Global Investment Performance Standards (GIPS).
  • Our tax department provides complete tax services for regulated investment companies and affiliated companies.
  • Our consulting practice offers management as well as technology advising, from assessment and optimization of your accounting and reporting systems, to full implementation of technology solutions.
  • Our SEC practice also offers public companies, whose securities are publicly traded and are subject to SEC jurisdiction, assistance in navigating the complex rules and regulations.

Each of our offices has engagement partners who are mutual fund experts and have many years of experience and intimate working knowledge of:

  • Investment Advisers Act
  • Investment Company Act of 1940 ("the '40 Act") with respect to accounting and auditing matters
  • Securities Exchange Acts of 1933 and 1934
  • SEC and FINRA regulations affecting broker/dealers
  • Internal Revenue Code (“IRC”) sections affecting investment companies
  • Sarbanes-Oxley/404, ASC 820 and SSAE 16.

In addition to the annual audit function, Tait Weller’s deep experience and unqualified service profile provides for ongoing operational consultation throughout the year. What’s more, Tait Weller enjoys excellent rapport with the many law firms and service organizations (custody, accounting and transfer agents) serving the investment industry, allowing us to solicit anonymous and objective input to expedite solutions to unique situations.

View or print our Financial Services brochure


© 2016 Tait Weller, All Rights Reserved    Philadelphia, PA   215.979.8800    New York, NY   212.907.6496    Iselin, NJ   732.634.7940

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