DISTRIBUTOR FIRM SURVEY

SUN LIFE FINANCIAL INTERNATIONAL DISTRIBUTOR FIRM SURVEY

Dear Distributor:
As part of Sun Life's ongoing compliance with its regulatory obligations, we periodically reach out to all of our distributor firms to better understand their regulatory requirements and related internal policies and procedures. Enclosed is a short survey which addresses these matters. Please kindly have your Legal and/or Compliance Department complete the survey by July 31.
Thank you very much for your time and support. Please start with the survey now by clicking on the Continue button below.

* 1. Does your firm have procedures for monitoring unusual or suspicious patterns of transactions (surrenders, exchanges, frequent disbursements, etc.) and reporting such activity to senior management and regulators, if necessary?

YES

* 2. Does your firm have an Anti-Money Laundering program in place including written procedures and the appointment of a Money Laundering Reporting Officer?

YES

* 3. Does your firm have anti-fraud, anti-corruption, and anti-bribery controls in place?

YES

* 4. Does your firm have an education/training program to inform your employees of their responsibilities to combat money laundering, fraud, bribery, and corruption, to report suspicious transactions, and to understand the “Know-Your-Customer” requirements?

YES

* 5. Which regulatory authority/authorities govern your firm?

* 6. Is your firm currently being investigated, or has your firm been under investigation, by any regulatory authority in the last 24 months? YES or NO

* If YES, please explain.

* 7. During the last 24 months, has your firm received any written client complaints, which have not been previously reported to Sun Life, concerning our products or services? YES or NO

* If YES, please explain.

Please E-sign and date below

* First Name :

* Last Name :

* Address 1 :

Address 2 :

* City :

* State :

* Zip :

* Firm Name :

* Date :

Thank you for completing this survey.