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About Us
About Us

About Us

Regulatory disclosures <br> & publications
Regulatory disclosures
& publications

Publications

Welcome to this section dedicated to compliance and legal publications.

Global

Pursuant to the USA PATRIOT Act and final rules issued by the U.S. Department of the Treasury, a U.S. bank or a U.S. broker-dealer in securities (a "Covered Financial Institution") is required to obtain certain information from any "Foreign Bank" that maintains a correspondent account with it.

As permitted by the final rules, BNP Paribas Group has prepared a Global Certification for parent company (BNP Paribas S.A.) and its branches plus several BNP Paribas subsidiaries certifications for use by any Financial Institution that believes it requires a Patriot Act Certification from a BNP Paribas Group entity.

Please follow this link to access the BNP Paribas group website.

Please follow this link to directly access the Patriot Act Certification for BNP Paribas Securities Services SCA.(Valid for 3 years)

  • Standard list of delegates and sub-delegates of BNP Paribas Securities Services appointed depositary of Ucits funds - Download the document

Conflict of interest global policy

Our permissions

For details of BNP Paribas Securities Services' permissions from Home regulator ACPR (Autorité de Contrôle Prudentiel et de Résolution), please refer to their public register "REGAFI".

Click here to access.

Deposit Guarantee

The Fonds de Garantie des Dépôts et de Résolution (FGDR), created by law in 1999, protects clients when a banking institution fails. The Deposit Guarantee compensates depositors for an amount up to €100,000 per person, per institution. The Investors Guarantee compensates up to €70 000 per person, per institution, for securities (stocks, bonds, etc. ).

The FGDR can also intervene on a Resolution basis, before the institution fails.

Download the document

Clearing Member Disclosure Document

The information contained within this document (‘information’) is believed to be reliable but BNP Paribas Securities Services does not warrant its completeness or accuracy. Opinions and estimates contained herein constitute BNP Paribas Securities Services’ judgment and are subject to change without notice. BNP Paribas Securities Services and its subsidiaries shall not be liable for any errors, omissions or opinions contained within this document. This material is not intended as an offer or solicitation for the purchase or sale of any financial instrument. For the avoidance of doubt, any information contained within this document will not form an agreement between parties. Additional information is available on request. BNP Paribas Securities Services is incorporated in France as a Partnership Limited by Shares and is authorised and supervised by the European Central Bank (ECB), the ACPR (Autorité de Contrôle Prudentiel et de Résolution) and the AMF (Autorité des Marchés Financiers).

Download the document

Documents

Anti-Money Laundering Questionnaire

Document size: 1 MB

BNP Paribas Securities Services EMIR Fee Disclosure Cash Equities & Fixed Income

Document size: 59 KB

BNP Paribas Securities Services EMIR pricing disclosure listed derivatives clearing

Document size: 328 KB

Clearing Member Disclosure Document – Direct and indirect clearing

Document size: 172 KB

EMIR Disclosure - Cash Equities & Fixed Income Clearing

Document size: 280 KB

EMIR Disclosure - Listed Derivatives Clearing

Document size: 813 KB

Legal entity identifier (LEI)

Document size: 136 KB

Legal entity identifier (LEI) German

Document size: 129 KB

Liste standard des délégataires et sous-délégataires de BNP Paribas Securities Services (document in French)

Document size: 269 KB

MiFID II - Disclosure Pack

Document size: 5 MB

Standard list of delegates and sub-delegates of BNP Paribas Securities Services appointed depositary of Ucits funds

Document size: 259 KB

Discover our regulatory memos

Click here to access our Regulatory Memos

Our reg memos

Documents

Anti-Money Laundering Questionnaire

Document size: 1 MB

Legal entity identifier (LEI)

Document size: 136 KB

Legal entity identifier (LEI) German

Document size: 129 KB

Standard list of delegates and sub-delegates of BNP Paribas Securities Services appointed depositary of Ucits funds

Document size: 259 KB

Liste standard des délégataires et sous-délégataires de BNP Paribas Securities Services (document in French)

Document size: 269 KB

Clearing Member Disclosure Document – Direct and indirect clearing

Document size: 172 KB

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