A strong regulatory framework acts as a first line of defense for a firm. The firm’s framework should be designed to reflect existing regulatory realities, while also proactively anticipating pending regulatory changes.
By improving policies and procedures and issuing timely notices and bulletins, a firm is doing its part to protect itself and promote respect, integrity, ethics for the industry and confidence in its consumers.
At Alchemy Theorem, we work with you to develop your existing framework. A firm must ensure that it has the right tools, personnel and framework in place to meet regulatory expectations.