The Power of Good Compliance

Let GVA take on all the compliance responsibilities of your office through our centralized tracking system.

Our centralized tracking system

Our dedicated team of licensed staff ensures your office gets the attention it deserves, allowing you to free up time, meet with clients and prospect new ones.

GVA’s ongoing compliance service allows you to consider us an extension of your company, focused on one thing, compliance. Our goal is to help you feel confident that you have a dedicated team of professionals focused on ensuring continuous and proactive monitoring of your business. 

Some items our compliance team handles includes:

  1. Trade blotter review and detailed tracking
  2. Maintenance of your IAR and DBA registrations (i.e. U4, ADV 2B)
  3. Access to our Online portal for compliance tracking
  4. Implementation and maintenance of GVA’s Compliance Manual, policies and procedures / Code of Ethics
  5. Pre-Approved Agreements (i.e. Client Engagement Agreement, Solicitation, Consulting Services)
  6. Advertising materials review
  7. Business Continuity Plan note:  we do not review these; only check for them and keep them in ND
  8. Annual State Requirements and ADV Mailing
  9. Risk assessment reviews
  10. Financial Plan review
  11. Quarterly & Annual Compliance Calls and COE Attestations
  12. Email and correspondence reviews
  13. Third Party Manager Suitability Review
  14. New Account Documentation Review
  15. Branch Inspections

For more information on our compliance program, email