What We Offer: Compliance

Helping you serve your clients and move your business forward in a changing regulatory landscape.

A focus on helping you achieve your goals

Our Compliance team offers you a flexible, responsive framework in which to understand what various regulations mean and how to work within them to achieve your goals—both for your clients and for your practice.

Functioning as your business partners and counselors, we deliver the support you need to remain successful in an evolving regulatory environment. When you partner with Commonwealth, you’ll enjoy:

  • Prompt, pleasant, and courteous assistance with your day-to-day inquiries
  • A common-sense approach to interpreting securities regulations and applying them in your practice
  • Guidance on the difference between regulatory rules that all advisors must follow and policies of a broker/dealer–registered investment adviser
  • A true partnership with professionals who understand your marketing objectives and want to help you achieve them
  • Effective, dependable audits of your branch office
  • Conscientious monitoring of your trading activities
  • Responsive, professional support during investigations or complaints

Just as your clients count on you to be there for them, you can depend on Commonwealth’s Compliance team for timely, knowledgeable support. As the regulatory landscape continues to change, we’ll provide you with the expert guidance you need, every step of the way.