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.
Compliance Program Design
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.
Compliance Industry Best Practices
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.
Registration and Filings
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.
Compliance Program Reviews
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.
Mock SEC Examinations
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.
Advertising & Marketing Compliance
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.
"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!”
“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