MFDA fines Sun Life dealer $1.7 million for compliance failings [Investment Executive - News]
Sun Life Financial Inc. (SLF)
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Source: Investment Executive - News
From the Regulators The firm admitted that it failed to adequately supervise leveraged accounts and concentration risk By Megan Harman | December 21, 2017 15:30 Companies cited in this article Mutual Fund Dealers Association More The Mutual Fund Dealers Association of Canada (MFDA) has issued a fine of $1.7 million against Waterloo, Ont.-based Sun Life Financial Investment Services (Canada) Inc., for supervision failings involving leveraged accounts, suitability and other compliance deficiencies. In a settlement hearing held in Toronto on Wednesday, an MFDA hearing panel approved the settlement agreement with the mutual fund dealer arm of Toronto-based Sun Life Financial Inc. The hearing was the result of problems identified during compliance examinations that took place in 2013 and 2015, as well as subsequent violations identified since then. Specifically, Sun Life admi
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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