Asset Management: Integrity, What You need to do

Asset Management Firm: Here is your Integrity List

Asset management firm leaders who are interested in operating in integrity should note that there are several key strategies that can be implemented to accomplish this objective. By using the actionable list that appears below, you will likely find that your company rises to a new level of excellence and integrity:Commitment

Commitment is a key word in the world of integrity, and there are several things that your business can do to ensure that this value is an integral component of all that you do:

• Openly discuss and correct unethical behavior.
• Devise a business model that is conflict-free.
• Operate in integrity in every aspect of your life, not just when you are working.
• Utilize principles of equality and fairness when making important decisions.
• Develop a team mentality and be accountable for group decisions.
• Get in the habit of mentoring future professionals.
• Dissociate yourself from people who take advantage of other employees and clients.


In the world of asset management, your employees will use your behavior as a cue for how they should behave. With that thought in mind, you should be sure that you’re inspiring them to act with integrity by implementing the following strategies:

• Always examine and reprimand unethical behavior, even when it’s inconveniencing.
• Vocalize your firm’s commitment to operating in integrity so everyone understands the principles your company operates according to.
• Inform your employees that they have the right to disagree with you in a professional manner.
• Become a thought leader regarding ethics by writing papers and speaking publicly on the topic.
• Promote the value of earning money rather than simply “making” it.
• Create a work environment that is conducive to constructive criticism.
• Make ethics an integral component of discussions regarding business strategies.
• Remind your staff about the great value of a good reputation.
• Launch a social media marketing campaign in which you discuss your firm’s value system.


Engagement has become a big buzzword in the world of business, and for good reason. Interaction is the key to successful business practices. Integrity is too, so be sure that you’re engaging in an ethical way by implementing the following strategies:

• Put the client’s needs and interests first.
• Empower your clients to place equal primacy on risk and performance.
• Charge reasonable fees.
• Offer analyses that are rooted in facts and the clients’ expressed interests.
• Be honest with your clients.
• Do not launch or participate in a misleading promotion.
• Only recommend the services and products of companies with solid reputations and a history of operating in integrity.
• Practice consistent, continual communication with your clients.
• Be attentive to client fears and concerns.



Communication is the key to success in any professional sector, including the world of asset management. Moreover, communicating with integrity will play an integral role in helping you take your business to a new dimension of excellence. To be sure that you can accomplish this venerable goal, utilize the following tips:

• Only recommend products with transparent risks and pricing.
• Be honest with clients when you or a company representative makes a mistake.
• Disclose any and all compensation decisions with your clients.
• Provide clients with a clear outline of how their funds are being managed.
• Be sure that the information you offer is accurate, timely, and transparent.
• Be sure that everyone can understand the information you disseminate, including novice investors.

“The only person you should try to be better than, is the person you were yesterday”.


Leave a Reply

Fill in your details below or click an icon to log in: Logo

You are commenting using your account. Log Out /  Change )

Google+ photo

You are commenting using your Google+ account. Log Out /  Change )

Twitter picture

You are commenting using your Twitter account. Log Out /  Change )

Facebook photo

You are commenting using your Facebook account. Log Out /  Change )

Connecting to %s