Credential® :: Credit Union Sales Support :: Compliance support

Credential® :: Credit Union Sales Support :: Compliance support


	Compliance support

Credential^® assists credit unions in navigating the tricky waters of regulatory compliance to ensure the credit union system achieves the highest standards of business conduct.

We provide ongoing training so that investment professionals thoroughly understand compliance requirements. Some of the other core functions of the Compliance Department at Credential include:
	Conduct salesperson and related registrations.
	Establish defined and documented policies and procedures.
	Liaise with the securities regulatory authorities.
	Administer conflict of interest procedures.
	Review and approve sales communications.

What we offer representatives:

Sales and Training support

Client Relations support

Online support through knowledgeXchange^®

Marketing support

Compliance support

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	Access to the knowledgeXchange extranet site is available to partner credit unions. Click here to register.



	CLIENT RELATIONS HOURS OF OPERATION For Credential Asset Management or Ethical Funds^® services:Monday to Friday (except statutory holidays), 6:00 a.m. to 5:00 p.m. PT For Credential Securities Inc. Broker Support:Monday to Friday (except statutory holidays), 6:30 a.m. to 5:00 p.m. PT