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Publications

Welcome to this section dedicated to compliance and legal publications.

Global

- Anti-Money Laundering Questionnaire - Download the document

- Patriot Act:

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

- Conflict of interest global policy - Download the document

MiFID II - Execution and Selection policy

The purpose of this policy is to provide our clients with information on the arrangements implemented by Securities Services to manage the transmission and the execution of client orders as required by the revised European Markets in Financial Instruments Directive 2014/65/EU and its implementing measures as transposed into national laws and regulations (“MiFID II”), to the extent applicable.

This section contains the global Execution and Selection policy together with specific exhibits providing further details on each product and on our selection policy.

- Global Execution and Selection policy - Download the document

- Agency Securities Lending execution policy Download the document

- Principal Securities Lending and borrowing execution policy Download the document

- Foreign Exchange execution policy Download the document

- Best Selection policies (translated versions)

- GB - Best Selection policy (for Pure Registered Shareholders and Custody activity) Download the document

- FR - Politique de Meilleure Sélection (pour Actionnaires au Nominatif Pur et Activité de Conservation) - Télécharger le document

- ES - Politica de mejor seleccion Descargar los documentos

- IT - Politica di best selection Scarica il documento

- Best Execution

- FOREX on demand

- Top 5 Venues Report (Download the document)

- 2018 RTS 28 FOREX Report (Download the document)

- Principal Lending Activity

- Top 5 Venues Report (Download the document)

- 2018 RTS 28 Principal Lending report (Download the document)

- Agency Lending

- Top 5 Venues Report (Download the document)

- Agency Lending - RTS 28 for Agency Lending (Download the document)

MiFID II - Safeguarding of Assets

- Safeguarding of assets: list of affiliated and non-affiliated subcustodians Download the document

EMIR – Disclosures

Listed derivatives clearing

- BNP Paribas Securities Services EMIR disclosure listed derivatives clearing - Download the document

- BNP Paribas Securities Services EMIR pricing disclosure listed derivatives clearing - Download the document

Cash equities and fixed income

- BNP Paribas Securities Services EMIR Disclosure document Cash Equities & Fixed Income - Download the document

- BNP Paribas Securities Services EMIR Fee Disclosure Cash Equities & Fixed Income - Download the document

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

Central Securities Depositories Regulation (CSDR), Art 38(5) and Art 38(6) Disclosure Document

Pursuant to Article 38(5) of the Central Securities Depositories Regulation (CSDR) and Article 73 of the Swiss Financial Market Infrastructure Act (FMIA), we offer our clients  the possibility to choose between omnibus client segregation in an Omnibus Client Segregated Account (OSA) and individual client segregation in an Individual Client Segregated Account (ISA) at each Central Securities Depository (CSD) in the European Economic Area (EEA) and Switzerland, in which we are direct participant.

An OSA is used to hold the securities of a number of BNP Paribas Securities Services´ clients on a collective basis.

An ISA is used to hold the securities of one single client of BNP Paribas Securities Services and therefore the securities of that single client are held separately from the securities of BNP Paribas Securities Services´ other clients.

Although each ISA may be named in a way that identifies the client for whom it is maintained, the client does not have any right or ability to give instructions directly to the CSD with respect to that ISA and therefore holding securities through an ISA does not give a client any operational rights with respect to that ISA.

Pursuant to Article 38(6) information on account structures and asset protections applicable in each local market are available in the links below:

Portugal

Aggregated costs are determined by several factors including whether the account is an OSA or an ISA, the number of accounts requested, securities in your portfolio and the related maintenance costs.

Costs are likely to be higher when you choose an ISA structure, this is due to the increased operational and maintenance costs associated with this structure that offers a higher degree of protection.

Any further question should be raised to your usual BNP Paribas representative.

Disclaimer

This document may be subject to updates from time to time, with the most recent version available on our website. Please make sure that you consider the most recent version of the document in our website since this will supersede and override any previous version.

This document is provided for information purposes only. It is not a legally binding document and cannot be considered as part of any agreement between BNP Paribas Securities Services and its clients.

*this cost disclosure does not contain all the information you would need to decide which type of account should you open for your activity with BNP Paribas Securities Services. It is your responsibility to review all the applicable legal documentation, regulations and rules provided.

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

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: 219 KB

Documents

Anti-Money Laundering Questionnaire

Document size: 1 MB

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

Document size: 219 KB

EMIR Disclosure - Listed Derivatives Clearing

Document size: 813 KB

BNP Paribas Securities Services EMIR pricing disclosure listed derivatives clearing

Document size: 328 KB

EMIR Disclosure - Cash Equities & Fixed Income Clearing

Document size: 280 KB

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

Document size: 59 KB

MiFID II - Disclosure Pack

Document size: 5 MB

Legal entity identifier (LEI)

Document size: 136 KB

Legal entity identifier (LEI) German

Document size: 129 KB

Clearing Member Disclosure Document – Direct and indirect clearing

Document size: 172 KB

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