Wiegers Financial & Benefits promotes good compliance by training, educating and communicating with all employees and sales advisors in an ongoing manner.
Any investments administrated through Wiegers Financial & Benefits 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 & Benefits 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 become part of our regular business tasks and activities performed by all personnel.