Core investment platform

• The Investment Review is our primary investment report for plan sponsors. It is prepared quarterly and includes an in-depth review of the funds in your line-up. 

• Semi-annually we have all our fund managers attest to their compliance with regulations, their investment policies, and their code of ethics. We provide Clients with a certificate documenting this compliance. Where there are compliance violations, we provide plan sponsors with investment communications describing the nature of the violation, how long it persisted, any remedies (if applicable), and what policies or procedures the manager has put in place to prevent their recurrence. 

We provide you or your consultant with detailed and timely information on significant events at investment management firms or with specific funds. This can include:

• Organizational changes
• Loss of key investment personnel
• Changes in investment style
• Pending ongoing legal or regulatory issues
• Persistent failure to comply with relevant legislation and/or investment guidelines
• Significant loss of assets or clients

This will provide you with meaningful insight and help to assist you with your governance responsibilities.

• In addition to supporting our Clients with individual investment decisions, we can perform a comprehensive review of a client’s fund line-up. Armed with current best practices, industry trends, and expert knowledge of our investment platform, we can help our client’s arrive at a fund line-up that instills confidence and meets their specific needs.

• A key communication tool for plan sponsors and advisors is our “Watch List,” which is updated and communicated quarterly after completion of our fund reviews. The Watch List makes it easier for plan sponsors to keep up-to-date on potential issues with investment managers or specific funds and supports conversations with clients around key qualitative considerations. 

• We want you to have the peace of mind that the investment options you offer to your plan members fully satisfy the Capital Accumulation Plan (CAP) Guidelines. Our CAPsure Warranty provides that assurance and comes at no additional cost to you.
• CapSure means that were a third party successful in a legal claim that your plan contained insufficient diversification based on CAP Guidelines, or insufficient monitoring of the plan funds, Sun Life would cover any un-reimbursed losses. 
  

• We partner with Morningstar to provide plan sponsors and plan members with the investment information they need.