Get In Touch

Are you an Investment Adviser seeking to enhance your compliance program?

ACHIEVE
COMPLIANCE
PEACE OF MIND.

Customized compliance support from a recognized industry expert.

Get in Touch

The compliance expert
you've been looking for

At Yuter Compliance Consulting, we recognize the distinct nature of every business. We design personalized compliance programs tailored to your unique needs. With a keen understanding of the ever-evolving laws and regulations, we specialize in serving private equity, real estate, hedge, venture capital, and investment advisory firms.

By delving deep into your operations, we gain comprehensive insights to provide you with strategic compliance solutions. Through close collaboration with your team, we ensure your compliance needs are met effectively and efficiently. Trust Yuter Compliance Consulting to navigate the complexities of regulatory compliance while you focus on your core business.

Amy Yuter

Managing Principal

Customized support for anything related to

Compliance

  • Regulatory Compliance
  • Risk Management
  • Policies & Procedures
  • Regulatory Examinations
  • Licensing & Registration
  • Compliance Program Development
  • Investment Performance Reporting
  • Disclosure Requirements
  • & more!
Learn More About Our Areas Of Expertise

Achieve compliance peace of mind with

Our Services

On-Call
Support

Your direct line access to a Compliance Expert

Independent Reviews

Prepare for SEC Exam with a former SEC Examiner

Exam
Support

Management of Examination from Initiation to Closure

Learn more about our services

Direct Support

Years of Experience
0 +

Former SEC Regulator

Compliance assistance for investment advisers subject to SEC regulation

We work with various clients across the investment advisory industry, helping them comply with laws, regulations, and recognized industry best practices. We provide strategic advice, independent compliance reviews and risk assessments, compliance program development, and conduct training, mock audits, and investigations. The goal is to foster a strong compliance culture, mitigate risks, and ensure legal and ethical business practices. Clients include startups and multinational businesses.

Get in Touch

Testimonials

Review From Our Clients

We are a true impact investing platform, and Amy has been a blessing for us. She grasped the nature of our business quickly and was able to address an array of issues and provide thorough quality advice. Her knowledge and willingness to think creatively allowed us to better understand applicable requirements and, in turn, streamline our compliance program. We enthusiastically recommend Amy – she avoids a “check the box” approach and delivers thoughtful tailored solutions.
Bob CooneySenior Vice President and General Counsel, Local Initiatives Support Corporation
"I won't mince words. If you're looking for a rocket-smart, hard-working, scrupulous compliance expert, your search is over. Our firm engaged Amy over a months-long, intricate, time- sensitive project. It would be difficult to overstate the exemplary quality, crisp pacing, and comprehensive purview of Amy's guidance and work product. And she was a joy as both a professional and an individual. We'd re-engage Amy in a heart-beat."
John BelcasterGeneral Counsel and Chief Compliance Officer, NextCapital Group, Inc.
"Amy absolutely immersed herself in our business, and in a relatively short few weeks, came to fully understand our compliance program though we had never worked together previously. She is extremely detail oriented and, having worked for the SEC as an examiner, Amy is very knowledgeable about the SEC and the ways in which they approach exams. She also works tirelessly to consider compliance requirements alongside business-needs to develop balanced and appropriate solutions. She has proved herself invaluable to us!”
Nelly Greene Perkins,Managing Director Finance & Chief Compliance Officer, Ecosystem Investment Partners
“You really did instill in me a MUCH greater appreciation for the importance of a compliance- centric sales culture. They can coexist!!... I have you to thank for that so thank you for making me better!”
Brian J. CarrollHead of Global Distribution, BrightSphere Investment Group
“We are extremely happy with Yuter Compliance Consulting. Amy Yuter provided thoughtful advice that was tailored to our business needs, included the regulatory background to support her response and suggested compliance testing and enhancements to our compliance program. A true win for us. I highly recommend Yuter Compliance Consulting.”
Deborah A. ParksChief Compliance and Administrative Officer, Investment Counselors of Maryland
Previous
Next

Recent Publications

Subscribe to YCC's Mailing List

A complimentary compliance news digest service

© ALL RIGHTS RESERVED
Made with ❤ by NOCHE STUDIO