Code of Ethics
Code of Ethics
Wiegers Financial & Benefits has created a Code of Ethics that governs the activity of all Staff at all levels from Senior Management, Sales Advisor, 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 signs this agreement representing agreement and 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 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 upon 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 clients concerns are addressed in a thorough and comprehensive manner.
- Wiegers Financial & Benefits reviews on an annual basis its standards of professional conduct, underlying code of ethics and compliance procedures with all designated responsible persons. This review process ensures an open dialogue and ongoing communication and training to address any changes to compliance procedures that may be rendered necessary based on the ever changing evolution of our financial markets.