Compliance

We understand evolving regulations—and how to work within them—so we can help you achieve your goals. That's what partners in growth do.

By your side, not in your way

With a fundamental mind-set rooted in exercising reasonable judgment and common sense, our Compliance team works for and with you. By getting to know you and your business needs, we offer thoughtful guidance on how to interpret securities regulations to keep your practice moving forward with confidence. We want to help you get from A to C, even if it's not always through B. 

Carrie Coghill of Coghill Investment Strategies, named Best-in-State Wealth Advisors by Forbes Magazine, with Paul Tolley, managing principal of compliance at Commonwealth.

Carrie Coghill of Coghill Investment Strategies with Paul Tolley, managing principal of compliance at Commonwealth.

Our team is an extension of yours

From day-to-day inquiries to helping you understand and apply large-scale industry regulations, you can depend on our Compliance team to be knowledgeable and flexible. We back this up with: 

  • A goal-oriented, consultative approach to compliance best practices
  • A thorough understanding of the difference between rules and firm policies
  • Friendly, accessible, and responsive compliance support that helps you run your business
  • Continuous, active engagement with regulators and industry trade groups
  • Specialized consulting services and support for your RIA business
Powering your journey

Powering your journey and playing by the rules, without compromising either.

Q

How does Commonwealth navigate the differences between regulatory rules and firm policies?

We start by knowing the difference, being collaborative, and coming from a place of "yes." By approaching each compliance question from a solutions-oriented perspective, we guide you through the regulatory landscape in a way that helps you achieve your goals while protecting your practice. And, because we know how our advisors run their business, we can offer creative solutions that are rooted in trust and sound judgment.  

Q

How does Commonwealth stay on top of industry regulations?

In our industry, we know that the only constant is change. Our Compliance team regularly monitors and actively advocates for common-sense rule proposals and changes. We work across Commonwealth departments to keep advisors in the know in a timely, informative, and practice-friendly manner. We also help you understand and communicate changes with your clients. More than simply keeping you informed, we proactively guide you through what those changes mean for your business and take the guesswork out of staying compliant.  

Ryan Fleming, Armstrong, Fleming & Moore, Inc. with Commonwealth since 2009

PaulTolley

Hi, I'm Paul, Commonwealth's chief compliance officer.

See how we've built our department based on partnership, collaboration, and trust.