Committed to Strong
Corporate Governance

AB Nashville, Tennessee, USA
  • Overview
  • Environmental Stewardship
  • Social Responsibility
  • Corporate Governance
  • Responsible Investing
  • Data Disclosures

    • Focused on Governance at All Levels

    At AB, we’re dedicated to being strong corporate stewards. That means being responsible fiduciaries, maintaining transparency, managing risk and striving for clear, open communication. Senior management sets a consistent tone from the top.

    Diverse, Independent Corporate Leadership

    AB’s Executive Officers, Board of Directors, and board committees oversee the firm’s strategic direction. The following board characteristics reflect our belief in strong governance guided by diversity of thought:

    • Majority‐independent 11‐person Board of Directors
    • Independent Chairman of the Board
    • Separation of duties between Chairman and CEO
    • Unique skills, perspectives and backgrounds
    • Four standing board committees, including Compensation and Workplace Practices
    • Continue to add diverse voices to our leadership—in 2020, the Head of Diversity & Inclusion, CEO of Asia-Pacific and Head of Human Capital joined the operating committee
    • Begun an extensive search to continue to increase the diversity of our board members with the goal of appointing a new diverse member in 2021
    As fiduciaries, we take our obligations seriously and expect our people to treat all clients fairly and equitably. Clients’ interests come first. Our business model rests on a strong risk-aware culture, prudent risk-taking, and a robust governance framework.

    Four Standing Board Committees

    Executive icon

    Executive

    Audit and Risk icon

    Audit and Risk

    Compensation and Workplace Practices icon

    Compensation and Workplace Practices

    Corporate Governance icon

    Corporate Governance

    We recently expanded the remit of our Compensation Committee to formally include workplace practices, overseeing matters such as diversity & inclusion and employee complaints.

    Meet Our Committee Members
    Robust Compliance Framework icon

    Robust Compliance Framework

    Firms are defined by the quality and rigor of the systems, training and oversight they put in place. Our framework is designed to ensure that business operations remain compliant and that employees are empowered to raise and resolve potential issues.

    Robust Compliance
    Framework

    Code of Business Conduct and Ethics

    Details rules and policies governing employees, including conflicts of interest, employee personal trading, gifts and entertainment, and political contributions and activities.

    Compliance Manual Site Map

    Includes policies on mitigating potential conflicts of interest, investment guidelines for services and clients, research activities, security transactions with AB affiliates, and beneficial ownership reporting.

    Compliance Manual Site Map

    Includes policies on mitigating potential conflicts of interest, investment guidelines for services and clients, research activities, security transactions with AB affiliates, and beneficial ownership reporting.

    Risk-Appetite Framework

    A set of guiding principles and industry best practices that brings consistency to how we identify, measure, monitor and manage risk firmwide.

    Whistleblower Policies

    Empowering an Ethical Mindset

    Employees have several options for securely reporting and escalating ethical, compliance or other concerns, including through:

    • Formal reporting channels (a supervisor or manager) or the AB Compliance Department, General Counsel’s Office or Head of Audit
    • The AB Ombuds Office—a confidential channel to obtain assistance on ethics‐related issues or questionable practices
    • EthicsPoint, a third‐party service, which gives employees, customers, suppliers and other stakeholders a secure online way to report potential ethics and compliance issues quickly, easily and anonymously (if desired)
    Strong Security and Business Continuity Infrastructure icon

    Strong Security and Business Continuity Infrastructure

    At AB, we take information security—in particular the protection of clients’ and employees’ information—extremely seriously. Our Information Security Standards and Guidelines and Corporate Information Security Policy outline the efforts we undertake to secure information.

    • Our Chief Security Officer and his team monitor and control the processes related to our robust cybersecurity infrastructure.
    • All websites and cybersecurity infrastructure are also third-party tested with state-of-the-art software to safeguard sensitive information.
    • A comprehensive business continuity strategy and disaster recovery plan allow us to maintain critical functions while minimizing client impact.
    Corporate Governance Documentation icon

    Corporate Governance Documentation

    Public Company-Related Documents

    These corporate governance documents help promote the effective functioning of the Board, its committees and our company as a whole.

    Corporate Governance Guidelines PDF Code of Business Conduct and Ethics PDF Code of Ethics for the Chief Executive Officer and Senior Finance Officers PDF Charter of the Audit and Risk Committee PDF Charter of the Compensation and Workplace Practices Committee PDF Charter of the Corporate Governance Committee PDF Charter of the Executive Committee PDF Vendor Code of Conduct PDF By-laws of AllianceBernstein Corporation PDF Amendment No. 1 to AllianceBernstein L.P. Partnership Agreement PDF Amended and Restated Agreement of Limited Partnership of AllianceBernstein L.P. PDF Amendment No. 1 to AllianceBernstein Holding L.P. Partnership Agreement PDF Amended and Restated Agreement of Limited Partnership of AllianceBernstein Holding L.P. PDF

    Investment Advisor—Related Documents

    These governance documents relate to our company’s activities as a federally registered investment advisor.

    AllianceBernstein Limited Pillar 3 Disclosures PDF AllianceBernstein Form ADV, Part 1 PDF AllianceBernstein Form ADV, Part 2A PDF

    Form CRS - Client Relationship Summary Documents

    Client Relationship Summary Page

    NOTE: Section 303A.00 of the NYSE Listed Company Manual exempts limited partnerships from compliance with Section 303A.01, 303A.04 and 303A.05 of the NYSE Manual. AllianceBernstein Holding L.P. (NYSE: AB) is a limited partnership.

    The Board of Directors of AllianceBernstein Corporation (“Board”), general partner of AllianceBernstein Holding, voluntarily has adopted a Corporate Governance Committee Charter that complies with Section 303A.04 and a Compensation Committee Charter that complies with Section 303A.05. These documents, as well as the membership of each Committee, may be found on this website, and we provided the location of these postings in our Form 10-K for the year ended December 31, 2018, as filed February 13, 2019. Please note that our Corporate Governance Committee has four members, two of whom are independent, and our Compensation Committee has five members, four of whom are independent.

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