Our Commitment

AB is an organization with strong values of responsibility and integrity. Our Code of Business Conduct and Ethics contains general guidelines for conducting business with the highest standards of ethics.

Raising and Escalating Concerns

AB is committed to an environment where open, honest communications are the expectation, not the exception. AB wants you to feel comfortable in reporting and escalating instances where you believe violations of policies or standards have occurred and offers several ways for you to do this.

  1. Formal Reporting Channels - You can and should escalate items through your department’s formal reporting channels by approaching your supervisor or management or contacting the Compliance Department, General Counsel’s Office, Head of Audit or a designee.
  2. Ombudsman - AB’s Company Ombudsman provides a neutral, confidential, informal and independent communications channel where any AB employee can obtain assistance in surfacing and resolving work-related issues. Is more information on the Ombudsman.
  3. EthicsPoint - AB has partnered with us, EthicsPoint, to provide its employees, customers, suppliers and other stakeholders with a way to quickly and easily report potential business ethics and compliance issues. We are a third-party service provider that is not affiliated with AB. AB has afforded you this service for situations where you prefer a non—AB reporting alternative should you want to make a report relating to potential violations of AB’s Code, violations of other AB policies or possible violations of other laws or regulations. To make a report through EthicsPoint, use the box to the left.

See the EthicsPoint FAQs for more information.

Acting in Good Faith & Whistleblower Protection

Reporting any irregularity that is detected or suspected must be done in good faith and with reasonable grounds for believing the information provided. Allegations made maliciously or knowingly to be false is a serious matter. People making such false allegations may be subject to disciplinary action from AB and/or personal legal actions by the individuals falsely accused of misconduct.

A whistleblower is defined as an employee who informs Management about an activity which that person believes to be illegal, fraudulent or dishonest. Employees of AB may not retaliate against a whistleblower for reporting an activity which that person believes to be illegal, fraudulent or dishonest. More information about Whistleblower Protection can be found in the Code.

Within Australia, a number of Commonwealth laws detail Australian specific rules and protections for eligible whistleblowers. There are specific criteria you need to meet and processes which must be observed for you to make a whistleblower report which is protected by Australian laws. Australian laws may also allow you to report in a wider range of circumstances than set out above (for example you do not need to ensure that your report is made in good faith). . You should refer to the AB Australia Whistleblower and Escalation Policy available under the Policy tab for full details on Australia Specific Arrangements and Rights and the criteria you need to meet to qualify and be protected as a protected whistleblower.

To Make a Report

After you complete your report you will be assigned a unique code called a "report key". Write down your report key and password and keep them in a safe place. After 5-6 business days, use your report key and password to check your report for feedback or questions.