Committed to Strong
Corporate Governance

AB Nashville, Tennessee, USA

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:

  • Chairman of the Board is independent
  • Duties of the Chairman and CEO are separated
  • 10-Member Board is majority independent
  • Diverse Board of Directors brings unique skills, perspectives and backgrounds to company leadership
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

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Executive

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Audit and Risk

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Compensation and Workplace Practices

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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.

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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 ethics, compliance and other workplace concerns:

  • Through formal reporting channels (a supervisor or manager) or by contacting the AB Compliance Department, General Counsel’s Office or Head of Audit.
  • The AB Ombudsman Office, which provides a confidential channel to obtain assistance on ethics-related issues or questionable practices.
  • EthicsPoint, an independent third-party service, gives AB employees, customers, suppliers and other stakeholders a secure online way to report potential business ethics and compliance issues quickly, easily and anonymously (if desired).
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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.
  • AB’s comprehensive business continuity strategy and disaster recovery plan allows us to maintain critical functions during a failure while minimizing impacts to our clients.
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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.

Investment Advisor—Related Documents

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

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.