MFDA to consider proposed settlement with Sun Life dealer [Investment Executive - News]
Sun Life Financial Inc. (SLF)
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Source: Investment Executive - News
From the Regulators The settlement aims to resolve a series of alleged supervisory shortcomings. By James Langton | December 19, 2017 11:00 Companies cited in this article Mutual Fund Dealers Association More The Mutual Fund Dealers Association of Canada (MFDA) will hold a hearing on Dec. 20 to consider a proposed settlement with Sun Life Financial Investment Services (Canada) Inc., stemming from a series of alleged supervisory failures. According to the MFDA's notice of hearing, MFDA staff allege the mutual fund dealer failed to: adequately supervise leveraged accounts and concentration risk between 2013 and 2015; adequately supervise the suitability of the sale of DSC mutual funds from 2014 to 2016; and report client complaints, bankruptcies and rep terminations within five days, as required by MFDA rules, between 2010 and 2015. MFDA staff also allege that, starti
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- Reasons Why You Should Add Sun Life (SLF) to Your Kitty Now [Yahoo! Finance]Yahoo! Finance
- What we do, and how we do it, matters: Sun Life releases 2023 Sustainability Report [Yahoo! Finance]Yahoo! Finance
- What we do, and how we do it, matters: Sun Life releases 2023 Sustainability ReportPR Newswire
SLF
Earnings
- 2/7/24 - Beat
SLF
Sec Filings
- 3/27/24 - Form 6-K
- 3/26/24 - Form 6-K
- 3/25/24 - Form 6-K
- SLF's page on the SEC website