The current GVA Compliance Manual and & BCP Template can be found on GVA’s shared drive under the Required Forms folder. To access and download these documents please use the links below.

Great Valley Advisor Group Inc. (“GVA” or “Adviser”) has developed the GVA Compliance Manual (“Manual”) to ensure its compliance with applicable securities laws and regulations when it engages in the business of providing investment management services to clients.
Download GVA Compliance Manual
Additionally, you are required to have a Business Continuity Plan (“BCP”) and your Branch Exam will require verification that you have a plan and test it every year. The BCP template in our Required Forms folder outlines the requirements and best practices for testing your plan, and steps you can take to enhance your plan based on testing results. A copy of the SEC parameters can be found at  https://www.sec.gov/rules/proposed/2016/ia-4439.pdf
Download RIA BCP Template
*The LPL Advisor Compliance Manual and BCP can be found by searching these documents in the Resource Center on ClientWorks.

Questions? Please contact the GVA Compliance Team.