Regulatory Structure

Registered Investment Advisers (RIA)

Yorkville Capital Management is a Registered Investment Adviser with the U.S. Security and Exchange Commission (SEC). In general, under the U.S. Investment Companies Act of 1940, investment advisers owe their clients an ongoing fiduciary duty to provide full and complete disclosure of all fees and conflicts of interest, and to exercise discretion in selecting investments in their clients' best interests in mind.

To access Yorkville's SEC Form ADV - Part I, please click on the following link and type in our name when prompted: Yorkville Capital Management LLC.

www.adviserinfo.sec.gov

Global Investment Performance Standards (GIPS) Compliant

Yorkville Capital is GIPS compliant. The Global Investment Performance Standards (GIPS) are voluntary and are based on the fundamental principles of full disclosure and fair representation of investment performance results. Global standardization of investment performance reporting gives investors around the world the additional transparency they need to compare and evaluate investment managers.

www.gipsstandards.org

Policies and Procedures

Yorkville Capital Management is cultivating a compliant culture. The firm's comprehensive Policy and Procedure Manual establishes standards and practices for professional conduct across all aspects of our business. We have adopted the policies and procedures set forth in our Compliance Manual for the purpose of meeting our fiduciary and statutory obligations to our clients. We monitor the policies and procedures set forth in our manual, in accordance with all applicable law, in order to:

  • prevent and detect violations of securities laws; and
  • promptly detect andcorrect any violations that have occurred and adopt measures to prevent their recurrence.

Fostering a compliant culture is another way we put our client first in everything we do.