Business practices

Anti-money laundering

Equitable’ s Anti-Money Laundering Policy assists our people in avoiding any involvement in money laundering activity or activity subject to economic sanctions, and to ensure that everyone has the requisite understanding to detect and report suspicious activity. Equitable Advisors financial professionals and Equitable employees in client-facing and service roles complete anti-money laundering training annually, and all other employees complete the training every three years.

Anti-bribery

Equitable maintains robust anti-bribery programs and practices to ensure that appropriate controls are in place to prevent and detect violations of applicable bribery laws and regulations, particularly the Foreign Corrupt Practices Act. Elements of our program include periodic risk assessments, third-party vendor evaluation processes and required anti-bribery contractual provisions, investigations and applicable reporting and periodic independent testing conducted by Equitable’s internal audit function.

Ethics

Code of Business Conduct and Ethics Equitable’s Code of Business Conduct and Ethics Policy guides our practices in engaging with clients, vendors, competitors, the public and each other. The Policy applies to everyone at Equitable, universally, and is reinforced through annual training for all employees and financial professionals.

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