{"id":3430,"date":"2021-11-08T19:29:05","date_gmt":"2021-11-08T19:29:05","guid":{"rendered":"https:\/\/wiegers.ca\/?page_id=3430"},"modified":"2024-01-31T10:13:06","modified_gmt":"2024-01-31T16:13:06","slug":"compliance-and-code-of-ethics","status":"publish","type":"page","link":"https:\/\/wiegers.ca\/compliance-and-code-of-ethics\/","title":{"rendered":"Compliance and code of ethics"},"content":{"rendered":"

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Compliance & Code of ethics<\/h1>\n

[\/et_pb_text][\/et_pb_column][\/et_pb_row][\/et_pb_section][et_pb_section fb_built=”1″ admin_label=”About” _builder_version=”4.16″ background_image=”https:\/\/wiegers.ca\/wp-content\/uploads\/2021\/07\/financial-advisor-18.png” background_size=”initial” background_position=”top_center” global_colors_info=”{}”][et_pb_row _builder_version=”4.16″ global_colors_info=”{}”][et_pb_column type=”4_4″ _builder_version=”4.16″ global_colors_info=”{}”][et_pb_text _builder_version=”4.16″ custom_margin=”||20px||false|false” custom_padding=”||10px||false|false” border_width_bottom=”2px” global_colors_info=”{}”]<\/p>\n

Compliance Statement<\/h3>\n

[\/et_pb_text][\/et_pb_column][\/et_pb_row][et_pb_row custom_padding_last_edited=”on|desktop” _builder_version=”4.16″ custom_padding=”0px|14px|||false|false” custom_padding_tablet=”|0px|||false|false” custom_padding_phone=”” global_colors_info=”{}”][et_pb_column type=”4_4″ _builder_version=”4.16″ global_colors_info=”{}”][et_pb_text _builder_version=”4.20.4″ header_3_font=”|900|on||||||” global_colors_info=”{}”]<\/p>\n

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.<\/p>\n

Any investments administrated through Wiegers Financial and Insurance Planning Services Ltd. are held in our clients\u2019 names.\u00a0All transactions \u2013 financial and non-financial \u2013 are verified for compliance, authenticity, and investment objectives.\u00a0All client correspondence is maintained in a secure environment and only designated staff has access to client confidential information.<\/p>\n

Wiegers Financial and Insurance Planning Services Ltd.\u00a0believes that compliance is everyone\u2019s duty, and that thorough compliance is best done when the process is part of an integrated control structure.<\/p>\n

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.<\/p>\n

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Code of Ethics<\/h3>\n

[\/et_pb_text][et_pb_text _builder_version=”4.16″ locked=”off” global_colors_info=”{}”]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.\u00a0Every member of our staff is bound to the guidelines of this code, and have signed this agreement representing compliance with the Code.<\/p>\n