FAQs

FAQs

• What is the Equitable Ethics and Misconduct Reporting Program?
• The Equitable Ethics and Misconduct Reporting Program consists of two confidential channels, a hotline and a web-based form, through which you may report concerns involving, or alleged violations of, Equitable’s Code of Business Conduct and Ethics Policy, Reporting Misconduct Policy, including those related to accounting, auditing, or financial controls matters.
• What types of situations should I report through the Equitable Ethics and Misconduct Reporting Program?
• The Equitable Ethics and Reporting Program is designed for individuals to report any concern involving, or alleged violation of, Equitable’s Code of Business Conduct and Ethics Policy, Reporting Misconduct Policy, including, but not limited to, those related to:
• Ethical Standards
• Accounting, Auditing and Internal Financial Controls
• To make a report concerning an alleged fraud, you may do so anonymously by calling the Fraud Hotline at (212) 314-6600 or by completing and submitting the online form available at https://equitable.com/customer-service/consumer-safety-awareness/report-fraud. You may also report your concern by e-mailing ReportFraud@equitable.com.
• What is EthicsPoint?
• EthicsPoint is the name for the confidential reporting tool which can be accessed by a toll-free telephone number or through the internet to report concerns involving, or alleged violations of, Equitable’s Code of Business Conduct and Ethics Policy, Reporting Misconduct Policy, including those related to accounting, auditing, or financial controls matters. EthicsPoint is operated by NAVEX, Inc., an independent third party that Equitable has engaged for the purpose of providing this service.
• Why has Equitable contracted with NAVEX, Inc. to provide EthicsPoint?
• Individuals may feel more comfortable reporting ethics concerns and alleged violations to an independent third party. EthicsPoint provides individuals two confidential channels to do so – through an online report or by telephone.
• May I make a report through either the hotline or web-based form?
• Yes. You may file a confidential, anonymous report by telephone by calling the Equitable Ethics and Misconduct Hotline at (844) 977-0471 or via the internet by completing and submitting the web-based form available at equitable.ethicspoint.com. Both the hotline and the web-based form are available 24 hours a day, 365 days a year.
• Should I report my concern to my manager or Human Resources instead?
• When you have a concern or become aware of any violation of Equitable’s Code of Business Conduct and Ethics Policy, Reporting Misconduct Policy, you are expected to report it. While you are encouraged to raise such concerns to your direct manager, another member of the management team, the Human Resources Department, or the Law Department, we recognize that there may be circumstances in which you do not feel comfortable doing so, or when you feel that a previously reported concern has not been properly addressed. In these circumstances, Equitable’s Ethics and Misconduct Reporting Program provides an independent and confidential channel through which you can anonymously report your concern.
• Can I report my concern anonymously?
• Yes, both the hotline and web-based form permit you to report your concern anonymously. However, if you wish to identify yourself, you may do so. The choice to make your report anonymous is yours.
• How does EthicsPoint maintain anonymity?
• Hotline: EthicsPoint does not trace phone calls or use Caller Identification.
• Web-based Form: EthicsPoint does not generate or maintain any internal connection logs with Internet Protocol (IP) addresses, so no information linking your computer to EthicsPoint is available.
• What if I remember additional information after I make a report? What if Equitable has questions for me concerning my report?
• When you file a report at the EthicsPoint website or through the EthicsPoint call center, you receive a unique user name and are asked to choose a password. You can return to the EthicsPoint system again either by internet or telephone to add additional detail or clarification, and to answer any follow up questions posed by a company representative.
• If I make a report, could I be subjected to retaliation?
• Equitable prohibits discrimination, harassment, or retaliation against any individual who reports ethics concerns or other misconduct in good faith.