Compliance & Code of ethics

Compliance Statement

Wiegers Financial and Insurance Planning Services Ltd. promotes good compliance by training, educating and communicating with all employees and sales advisors in an ongoing manner.

Any investments administrated through Wiegers Financial and Insurance Planning Services Ltd. are held in our clients’ names. All transactions – financial and non-financial – are verified for compliance, authenticity, and investment objectives. All client correspondence is maintained in a secure environment and only designated staff has access to client confidential information.

Wiegers Financial and Insurance Planning Services Ltd. believes that compliance is everyone’s duty, and that thorough compliance is best done when the process is part of an integrated control structure.

Many different support functions and individuals working together with all lines of business personnel are necessary for thorough and effective compliance. Compliance monitoring activities are integrated into existing organizational processes and have become part of the regular business tasks and activities performed by all personnel.

Code of Ethics

Wiegers Financial & Benefits has created a Code of Ethics that governs the activity of staff at all levels, from senior management and sales advisors to administration and clerical staff. Within our Code of Ethics are policies that specifically govern privacy, confidentiality of information and compliance. Every member of our staff is bound to the guidelines of this code, and have signed this agreement representing compliance with the Code.

  • All responsible persons of Wiegers Financial & Benefits will act honestly and in good faith in every interaction with the client. All responsible persons and sales advisors of Wiegers Financial & Benefits will act with integrity, competence, and dignity and in an ethical manner when dealing with the public, clients, prospects, employers, employees and fellow professionals.
  • Senior management, employees, and sales advisors must comply with the fiduciary duty to all clients. They have the obligation to know and understand, and comply with securities legislation applicable to their duties and responsibilities in each Province in which business is conducted.
  • Wiegers Financial & Benefits sales advisors must act for the benefit of their clients at all times, and must always place the best interests of their clients before their own.
  • All sales advisors of Wiegers Financial & Benefits will deal fairly and objectively with all clients and prospects when disseminating investment recommendations and prior to taking any investment action.
  • Wiegers Financial & Benefits will preserve the confidentiality of information communicated by the client concerning matters within the scope of the confidential relationship unless Wiegers Financial & Benefits is instructed by law or by court order to make available for the purposes of any judicial or legal actions information regarding the client and their personal information.
  • Wiegers Financial & Benefits is committed to maintaining the highest standards of service to our clients. All client concerns are addressed in a thorough and comprehensive manner.
  • Wiegers Financial & Benefits reviews its standards of professional conduct, underlying code of ethics and compliance procedures with all designated responsible persons on an annual basis. This review process ensures an open dialogue as well as ongoing communication and training to address any changes to compliance procedures that may be rendered necessary based on the ever-changing evolution of financial markets.

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