Thornton & Associates, LLC can customize a Comprehensive Compliance Package to assist your Compliance Department in meeting your regulatory obligations.  Below is a list of services that can be included in your Compliance Package. 
Please contact us at (877) 542-6759 for more information about our Comprehensive Compliance Packages.

Annual Reviews and Internal Audits

• Conduct a comprehensive FINRA Rule 3010 Internal Audit
• Complete the annual SEC Rule 17(a)(4) Electronic Storage Audit
• Conduct the annual Regulation SP Privacy Policy Audit
• Complete the annual Business Continuity Plan review.
• Update the firm’s OSJ and branch office audit program.
• Assist in the completion of the FINRA Rule 3012/3013 Supervisory Systems Audit
• Moderate the annual CEO/CCO 3012/3013 meeting
• Prepare the annual CEO Rule 3012/3013 Compliance Program Certification

Anti Money Laundering

• Conduct an Independent Anti Money Laundering Audit
• Conduct the firm’s Anti Money Laundering Training
• Revise and update the firm’s Anti Money Laundering Procedures
• Review and update the firm’s Customer Identification Program
• Prepare and review the annual CEO Anti Money Laundering Program Certification
• Assist in filing SAR’s if needed

Continuing Education

• Prepare the annual Needs Analysis
• Prepare the annual Training Plan
• Coordinate and monitor the firm’s online continuing education completion progress
• Update the firm’s Regulatory Element Plan
• Monitor all of the firm’s Regulatory Element Continuing Education obligations for all of the firm’s registered personnel

Correspondence, Sales Literature and Advertising

• Review and submit advertising to the FINRA Advertising Department
• Review sales literature as needed
• Complete a monthly email review

CRD Maintenance

• Prepare and submit all Form U4 filings
• Amend the Form BD as necessary
• Conduct a monthly review to ensure that all CRD deficiencies are corrected
• File all state registration applications as needed

Miscellaneous

• Moderate the firm’s Annual Compliance Meeting
• Conduct the annual FINRA Contact Questionnaire update
• Review the firm’s annual Privacy Policy, AML, Order Routing, Business Continuity Plan, SIPC, disclosure
• Review the firm’s SEC Rule 605 and 606 reports
• Conduct a monthly best execution review (if applicable)
• Review the firm Fidelity Bond renewal
• Update the firm MSRB G-40 contact information report
• Provide training to the firm’s Compliance Department, branch and OSJ managers a nd executive management
• Q&A as needed