Ameriprise India – Introduction May 8, 2014 Level one = paragraph text Hit increase level for first bullet level Hit increase indent for second bullet level Hit increase indent for third bullet level Note: The document articulates details on the US servicing entity; it does not provide insights on the retail financial planning business being piloted in India.

Ameriprise – Global view Ameriprise Financial, Inc., through its subsidiaries, provides financial planning, products, and services primarily in the United States. The company operates in Three principal segments: Advice & Wealth Management - The Advice & Wealth Management segment offers financial planning and advice, as well as full service brokerage services to retail clients through its affiliated financial advisors. Asset Management - The Asset Management segment provides investment advice and products to retail and institutional clients. Annuities & Protection - The Annuities & Protection segment offers variable and fixed annuity products to retail customers primarily through financial advisors and various protection products through financial advisors to address the protection and risk management needs of retail clients, including life, disability income, and property-casualty insurance. The company was formerly known as American Express Financial Corporation and changed its name to Ameriprise Financial, Inc. in September 2005. The company was founded in 1894 and is headquartered in Minneapolis, Minnesota. Ameriprise Financial Inc. operates independently of American Express Company, as of September 30, 2005.

Ameriprise India Ameriprise India Private Limited (AIPL), a wholly owned subsidiary of Ameriprise Financial Inc., was incorporated in August 2005 and started operations in October 2005, to provide information technology ("IT")-enabled back office services to Ameriprise US. Further, in FY 2012-13, AIPL started providing software support services to Ameriprise US. Currently AIPL has over 1000 employees providing IT enabled services. A brief synopsis is as below: Sandeep Sugavanam Vice President Aspect Finance Asset Management Operations GCO & CSU PlanSource & Analytics Enterprise Procurement Technology US HR Support Advice & Wealth Management Operations Business unit overview Provides transaction processing, accounting, reconciliation, reporting, MF accounting, sale/ use tax, AP/ TEV and other backend support to Finance Organization in the US. In addition provides reporting & analysis (routine and ad-hoc) and support to finance teams. Team of Legal and compliance professionals support functions such as E-discovery, Profit &Loss analysis, Procurement contracts, electronic communication review, advertising material review, and Anti-money laundering among others. Ameriprise India renders ‘PlanSource’ services which involve preparation of draft financial plans based on the information provided by the advisors at Ameriprise US to analysts at Ameriprise India. Ameriprise Information Management (AIM) provides data management support to multiple business areas. Supports Global Procurement in multiple areas including sourcing, procurement diagnostics, vendor management (to oversee business and technology vendors in India/ Philippines). Being set up to work closely with the US teams in development and Infrastructure support across LOBs. The areas include application support, infrastructure support, web development, information security & Clarity support. Provides support to US HR in reporting/ analytical, recruiting, payroll/ tax related issues, LSO and other incidental activities Provides support to the Service Delivery and clearing function in the US across functions like quality assurance, scheduling and forecasting. India leader Manjul Grover Hemanta B, Ravi Upadhyay Christy Simon Tarun Mittal Rajeev Sethi Anurag Chandra Manish Ganatra In addition, the corporate team at Ameriprise India supports the various business units in their day to day operations. Corporate support comprises HR, Facilities and Administration, Corporate Security, IT, Finance LFO team. Each of these teams work with their US counterparts.