All RiverSource Distributors articles

  • Mastercard
    Article

    Five compliance triumphs from 2022

    2022-12-07T13:00:00Z

    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.

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    Article

    Compliance halts misconduct in SEC $5M RiverSource action

    2022-05-26T13:36:00Z

    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.