Resources

Frequently Asked Questions

Click here for answers to some of the most commonly asked questions. Or you can download our FAQ sheet.

OLIVIAPROPRIETARY SOFTWARE THAT ORGANIZES COMPLIANCE FUNCTIONS

OLIVIA organizes your business workflow with the various tasks and documents that underlie our compliance program.

OLIVIA combines a workflow function with a template form-builder function to create a largely automated interface for independent registered reps.

This provides you with 24/7 portal to your records with us and facilitates a continual dialogue between you and our compliance team

Compliance BulletinsDevelopments in the regulatory world that affect your business.

Our monthly compliance bulletins keep our clients abreast of new rules and guidance from the regulatory authorities.  The bulletins are designed with the active practitioner in mind, providing a clear idea of immediate actions to be taken and providing original source material for further research. See below for some recent issues.

Customer Identification & Verification 2017
Electronic Communications 2017
Perils of Pre-Marketing 2017
how can we help you?

Contact us at the Growth Capital Services office nearest to you or submit a business inquiry online.