A firm’s policy & procedure manual is integral to its success and a tool that mitigates exposure to operational errors and regulatory risks.
Our services are designed to detect deficiencies and provide solutions that enable advisors to meet regulatory expectations.
Advisor Continuity Planning
Our program reviews and tests client documentation, which helps advisors experience a seamless transfer of their book of business to an acquiring advisor.
Compliance can be intimidating. We know it does not have a warm connotation, but compliance is a necessary function. As compliance, regulatory and registration consultants, we look through the lens of our clients and offer solutions that consider day-to-day realities, while adhering to securities legislations. By taking a proactive approach to ensure compliance, firms and individuals prevent unnecessary regulatory sanctions, reputational harm and expensive fines. We enjoy helping firms improve their compliance program; so, let’s work together to develop a culture of integrity, fair and ethical practices before it’s too late. You know the saying; prevention is better than cure!
Alchemy Theorem Inc. is a compliance, regulatory and registrations consulting firm that helps firms comply with their regulatory obligations.
Our consultants are experienced in developing and updating policies and procedures customized to suit the unique profile of your firm, drafting processes to handle client complaints thoroughly and effectively, developing a risk-based business location audit program and schedule and helping you disseminate new regulatory notices and compliance bulletins to the relevant firm employees.
As your regulatory obligations and corresponding areas of risk increase, it is important that you choose a compliance partner that is experienced and delivers results while not duly impacting your bottom line. Our experienced and qualified professionals work with you to ensure your needs are satisfied. We truly believe that our bespoke solution will be the best for you and your firm.