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 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 and playing by the rules, without compromising either. Let's Connect 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. Commonwealth's policies are not designed to stifle what you're doing but to make it less likely that you're going to fail. The support we get from Compliance is broad and deep. Ryan Fleming, Armstrong, Fleming & Moore, Inc. with Commonwealth since 2009 What We Offer Practice Management Marketing Technology Community Compliance Investment Solutions Flexible Affiliations Research Planning Hi, I'm Paul, Commonwealth's chief compliance officer. See how we've built our department based on partnership, collaboration, and trust. Contact Us About Us Our Insights Careers Member Login For Clients Press and News Contact Us Accessibility Policy Waltham 29 Sawyer Road, Waltham, MA 02453-3483 Toll-Free 800.237.0081 Phone 781.736.0700 Fax 781.736.0793 San Diego 110 West A Street, Suite 1800, San Diego, CA 92101-3706 Toll-Free 877.347.1982 Phone 619.471.9700 Fax 619.471.9701 Information about securities-registered professionals may be found at FINRA BROKERCHECK. Form CRS | Disclosure | Privacy Policy ©2020 Commonwealth Financial Network®, Member FINRA/SIPC, a Registered Investment Adviser. All rights reserved.