Menu
Menu
Investment advisers are held to high fiduciary standards and need to navigate a complex web of regulations and interpretations to ensure they are in compliance with regulatory requirements and recognized industry best practices. Amy Yuter was a Securities Compliance Examiner with the U.S. Securities and Exchange Commission and is an expert in regulations applicable to SEC registered investment advisers.
Investment advisers are expected to continually enhance their compliance programs to meet regulatory requirements, interpretations and best practices. Operating within this ever-evolving regulatory landscape can be challenging. Engaging with a compliance professional that is dedicated to your firm’s specific needs is essential. Amy has extensive experience creating and enhancing compliance programs, developing testing programs, successfully managing regulatory examinations and creatively resolving compliance matters.
Investment advisers are expected to go beyond regulatory requirements to assess the appropriateness of adopting recognized industry best and common practices. Amy Yuter founded The Investment Management Compliance Testing Survey in 2005 and partners with the Investment Adviser Association and ACA Group in analyzing and reporting on regulatory requirements and industry best practice trends.
Investment advisers must continually evaluate the risks facing the business and are expected to design a risk-based compliance program. YCC creates customized risk registers aligned with the firm’s compliance program and testing practices. Amy’s extensive regulatory and business background positions her to provide her clients with efficient, effective and practical guidance.
Investment advisers need expert assistance in obtaining and maintaining their regulatory registrations and in ensuring that regulatory filings are timely, compliant, and accurate. The SEC is a disclosure-based agency and developing effective disclosures is crucial in meeting regulatory expectations with the SEC’s focus on conflicts of interest, fiduciary duty, informed client consent and plain English presentation of an investment adviser’s disclosure.
Investment advisers are subject to regulatory examinations to assess their compliance with regulatory requirements. As a former Securities Compliance Examiner with the U.S. Securities and Exchange Commission, Amy is the expert you need by your side to effectively manage an SEC regulatory examination.
An annual review of an investment adviser’s compliance program is required. An independent review of your compliance program by a compliance expert is highly regarded by SEC examination staff. SEC staff has noted that the use of external experts is essential to support an investment adviser’s compliance resources especially in circumstances where the requisite expertise is not present in the firm.
A mock SEC examination by a former SEC Compliance Examiner is very effective at preparing an investment adviser for a regulatory examination. Amy brings her extensive regulatory and industry experience to prepare investment adviser executives and expertly reviews and tests compliance programs in light of SEC focus areas and examination testing protocols.
The SEC is focused on investment advisers’ advertising and marketing materials. Amy is an expert at effectively reviewing marketing materials, advertisements, websites and social media content providing practical solutions that offer compliance solutions while achieving business objectives.
A complimentary compliance news digest service
