We are pleased to announce the addition of Wendyanne D’Silva to Alchemy Theorem. Wendyanne has over 20 years’ experience in Canadian securities regulation having worked for the Toronto Stock Exchange and the Investment Industry Regulatory Organization of Canada, with 10 years as the Director of IIROC’s Registration department. She is a subject matter expert in regulatory rules relating to Registrations, NRD and Continuing Education and has participated in numerous industry committees and speaking engagements over the years, including IIROC’s CLS Retail Subcommittee, the IIAC’s Working Group for review of PLR rules and FINRA’s Securities Conferences.
Her past projects included
- Guiding firm’s registration applications for firm registration, individual registration and proficiency exemption requests.
- Establishing accreditation processes and tracking systems for Continuing Education
- Updating Policy and Procedure Manuals
- Acting as a Regulatory expert on cross-functional teams relating to new systems and technologies, ranging from CRM2 to NRD.
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. We truly believe that our bespoke solution will be the best for you and your firm.
Contact us now and we’ll work with you to help improve your compliance program.