Signed Account Forms. 9. At all material times, Sun Life’s policies and procedures prohibited its Approved Persons, including the Respondent, from holding, obtaining, or using pre-signed account forms.
Appears in 4 contracts
Samples: Settlement Agreement, Settlement Agreement, Settlement Agreement
Signed Account Forms. 9. At all material times, Sun Life’s policies and procedures prohibited its Approved Persons, including the Respondent, from holding, obtaining, or using pre-signed account forms.
Appears in 1 contract
Samples: Settlement Agreement
Signed Account Forms. 911. At all material times, Sun Life’s policies and procedures prohibited its Approved Persons, including the Respondent, from holding, obtaining, or obtaining and using pre-signed account forms.
Appears in 1 contract
Samples: Settlement Agreement
Signed Account Forms. 911. At all material times, Sun Life’s policies and procedures prohibited its Approved Persons, including the Respondent, from holding, obtaining, or using pre-signed account forms.
Appears in 1 contract
Samples: Settlement Agreement
Signed Account Forms. 915. At all material times, Sun Life’s policies and procedures prohibited its Approved Persons, including the Respondent, from holding, obtaining, or using pre-signed account forms.
Appears in 1 contract
Samples: Settlement Agreement
Signed Account Forms. 910. At all material times, Sun Life’s policies and procedures prohibited its Approved Persons, including the Respondent, from holding, obtaining, or using pre-signed account forms.
Appears in 1 contract
Samples: Settlement Agreement