Ethics and Compliance

Ethics affect virtually every decision we make encompassing activities of both judging and choosing. Ethics affect relationships with clients, coworkers, the public, and other professionals. ASA staff must make numerous decisions. Some decisions are straightforward and easy; others can be very difficult. Ethics are inextricably linked with these decisions and with the day-to-day activities of your position. When ethics are ignored, you risk making unethical or less ethical decisions. Unethical decisions can lead to unethical conduct. At a minimum, unethical conduct seriously compromises service to and ultimately undermines the ability to function as a professional.

Ethics are critical for a professional. An emphasis on ethics and ethical conduct clearly distinguishes your standing as a professional. Without a solid ethical foundation, you simply cannot be a true professional.

ASA’s Code of Business Ethics and Conduct guides each of our decisions every day. We owe this not only to our clients, but most importantly we owe it to ourselves.

ASA employees are expected to reflect the firm’s Core Values and adhere to the letter and spirit of all applicable laws and regulations and the firm’s policies and procedures. The firm provides employees with various resources and tools to effectively address ethical challenges.

Leading In Ethics. ASA’s Core Values are the foundation of our business, and we regard ethical leadership as the foundation of good leadership. Both concepts are critical to growing our business and ensuring that we develop the highest quality professionals.