Every broker dealer is required to establish, maintain and enforce Written Supervisory Procedures that are designed to ensure compliance with all applicable regulatory rules and regulations. Thornton & Associates, LLC prides itself on its customized Written Supervisory Procedures. Our procedures are continuously reviewed by the SEC, FINRA and state regulatory agencies and are updated to reflect changes in rules and regulations.

Many firms sell boilerplate procedures or only provide them in an uneditable format. All of our procedures are customized and identify who is responsible for each procedure, how often each review is conducted, specifically how each review is performed and how each procedure is evidenced. Each of our clients is provided their complete Written Supervisory Procedures in Microsoft Word so that they can be edited at any time.

For more information about our Written Supervisory Procedures services, please contact us at (877) 542-6759.