Regulations
Welcome to this section dedicated to compliance and legal publications.
Global
Anti-Money Laundering Questionnaire
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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 directly access the Patriot Act Certification for BNP Paribas Securities Services SCA.(Valid for 3 years)
Certification regarding correspondent accounts for foreign banks
Please follow this link to access the BNP Paribas group website.
Standard list of delegates and sub-delegates of
BNP Paribas Securities Services appointed depositary of Ucits funds
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Conflict of interest global policy
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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 ».
Deposit Guarantee
(European clients only)
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.
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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).
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Throughout this document references to “we”, “our” and “us” are references to the clearing broker, being a credit institution or investment firm duly licensed in France for the provision of clearing related services. References to “you” and “your” are references to the client.