A Compliance Team to Depend On

Our compliance team is your go-to expert resource for help navigating the increasingly complex regulatory environment as it relates to your investment services business. With experienced and industry-proven compliance officers and analysts, CFS holds a stellar compliance record and will help your program do the same.

CFS stays at the forefront of technology and business innovations, and our compliance team's goal is to enable, rather than restrict, your program. We serve as your partner, providing guidance, assistance and solutions in a timely manner. While regulatory requirements are serious and important, they are also constantly changing and sometimes confusing. It's our job to stay abreast of the changes to help keep your advisors and program educated, protected and compliant.

As always, CFS is flexible, and can work with your program whether we serve as the Office of Supervisory Jurisdiction (OSJ) delegate or your credit union has that position in house.

Our compliance services include:

  • Surveillance of Communications
  • Registration and Licensing
  • Continuing Education and Training
  • Account Review and Approval
  • Trade Review and Supervision
  • Branch Audits
  • Complaint Resolution
  • Advertising and Marketing Review
  • Choice of OSJ Solutions