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.
In the aftermath of the 2007-2008 financial crisis, compliance and regulation became one of the fastest growing faculties, as firms enhanced their compliance regime to detect, mitigate and safeguard against risks. Alchemy Theorem’s financial compliance and regulatory consulting services offers firms and advisors an ancillary service that improves their compliance program by conducting risk assessments, regulatory testings and advisor transitional support. By employing a tailored strategy, Alchemy Theorem ascertains solutions that ensures that your business operates optimally, within regulatory expectations.
Alchemy Theorem is a consulting firm that specializes in financial regulatory compliance and brand development. With 10 years of experience, our qualified professionals work with you to ensure your needs are satisfied.