All RiverSource Distributors articles

  • Mastercard

    Five compliance triumphs from 2022


    Positive contributions in the areas of ESG, AI responsibility, and setting standards regarding CCO liability highlight the latest installment of CW’s annual list of laudable ethics and compliance moments.

  • Article

    Compliance halts misconduct in SEC $5M RiverSource action


    Minnesota-based broker-dealer RiverSource Distributors agreed to pay $5 million as part of a settlement with the Securities and Exchange Commission for improper switching of variable annuities carried out by certain of its employees.