How we work
Alchemy Theorem is able to determine regulatory challenges by conducting a thorough review of the advisor's book of business and comparing potentially questionable behavior against securities regulations. If we discover any regulatory deficiencies, we review applicable regulations and formulate a best practice that will maintain efficiencies while remaining compliant.
At Alchemy Theorem our goal is to help financial service participants know they are protected.
We truly believe that the foundation to implementing the correct solution is derived from understanding the problem.
It is always better to be safe than sorry, your reputation is everything!
Follow the yellow brick road – In order to know where you are going, we must understand where you have come from.
Whether you are evaluating your book of business or ensuring that you are operating within regulatory expectations, we can help!