Written Supervisory Procedures for your Registered Investment Advisory firm are required by both state regulators as well as the SEC. These procedures should be thorough enough to ensure that your firm has adequate internal controls and surveillance systems to supervise operations of the firm. Thornton & Associates, LLC can review your existing supervisory procedures or develop customized supervisory procedures to meet your specific needs. Our customized Supervisory Procedures will include:

• Cover all required areas of general compliance
• Cover all products and services offered by the firm.
• For each supervisory procedure, list who is responsible, what will be reviewed, when and how often it will be reviewed, and how the review will be documented.
• Assist with the implementation of customized procedures.
• Review and/or update your current procedures.