Business Conduct Compliance Audit
In a prospering financial climate advisors can generate positive acclamation from their clients; however, in a declining market, where client investments are losing value, advisors are subjected to closer scrutiny and at are risks to allegations of improper conduct.
At Alchemy Theorem, our qualified consultants administer a Business Conduct Compliance Audit to review an advisors portfolio thereby ensuring the advisors business practice adheres to firm policies and procedures and satisfies regulatory expectations.
Once the Business Conduct Compliance Audit is completed, Alchemy Theorem will provide the client with a report detailing the findings of the audit. Contents contained in the report will remain private and confidential from any outside parties, and its disclosure remains at the discretion of the client.