Alchemy Theorem provides firms with high quality, cost effective registration support, as needed to meet the regulatory requirements for licensing and continuing education of firms regulated by the Canadian securities regulators, MFDA and IIROC.

For Individuals

  • Confidential advice and consultation
  • Guidance with transfers to new firms or platforms
  • Drafting of Exemption requests from standard proficiency/experience requirements

For Firms

  • Registration support
  • NRD / Registration training / Set up of Registration procedures
  • Set up and continuous management of the Continuing Education program for investment dealers

For Start up companies

  • IIROC Membership applications
  • Registration of non-SRO start up firms: Exempt Market Dealers (EMDs), Portfolio Managers (PMs) and Mutual Fund Dealers (MFDs)