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Sound Governance

Protecting clients and meeting evolving regulatory expectations

Ameriprise’s compliance and risk management programs are core to the decision-making process and serve to ensure compliance with applicable laws and regulations and to identify, measure, manage and monitor risk.

We have a strong tone at the top and a culture of compliance, with risk management processes embedded in our day-to-day operations.

We closely review and monitor legislative and regulatory changes for future impact to our clients, business, shareholders and governance.

Committed to maintaining the highest standards of ethical business conduct. We promote a work environment that fosters mutual respect, openness and integrity.

The Ameriprise Global Code of Conduct requires all advisors and employees to strictly adhere to our values and ethical principles, applicable laws and regulations, and our policies and procedures.

We provide confidential Ethics Hotline resources for leaders, employees, advisors, independent contractors and vendors to report any suspected ethics violations. The hotlines are run by independent third parties and allow callers to remain anonymous.

Ameriprise maintains anti-bribery and anticorruption policies. These policies guide employees regarding appropriate behavior and record keeping, and help to identify red flags that employees should be aware of.

The General Counsel’s Organization conducts risk assessments and reviews the policies, making revisions when needed based on changes in regulation and external or internal business changes.

Operating with effective Board oversight

The Board operates within a corporate governance framework of independent oversight and integrity

As part of its governance responsibilities, the Board actively monitors the performance of our leaders, the management of risk, effectiveness of policies and controls, and execution of our business strategies.

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7 of 8 directors are independent


Tenure of directors

Maintaining our clients’ privacy and data security

We devote significant management time and resources to protect our clients' privacy and data security. Our privacy protection activities are unified under a single, globally applicable policy and program, governed by our centralized Privacy group.

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Audit and review

We regularly audit and enhance our corporate security capabilities across the firm and assess our ability to identify, protect against, detect, respond to and recover from cyber threats.

Data protection

Ameriprise maintains policies, processes and procedures in response to applicable legal requirements concerning the use and protection of personal information by various regulators throughout the global regions in which we operate.

Awareness and response

Our cybersecurity response playbook is refreshed regularly to ensure that leaders charged with public company reporting and protecting against inappropriate trading by insiders are promptly made aware in the event we have a credible belief that a cybersecurity event is occurring or has occurred.

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