BNP Paribas–one of the world’s leading international banking and financial services groups–is a dedicated and active supporter of regulatory compliance. Its diverse divisions across the globe vigorously enforce market integrity. The firm operates under stringent regulations in multiple jurisdictions, ensuring that its operations align with the highest standards of financial conduct.
BNP Paribas Securities (Japan) Limited domiciled in Tokyo. This financial instruments business is placed registered under Japan’s Financial Instruments and Exchange Law. As a member of the Japan Securities Dealers Association, it plays a vital role in maintaining market stability and integrity within Japan’s financial landscape. This registration allows BNP Paribas Securities (Japan) Limited to engage fully in the Japanese securities market while adhering to local regulations.
BNP Paribas has been active in Japan for almost a hundred years. It has a significant presence in the United Kingdom via its London Branch. Here, like the other types of businesses, it is regulated by the Financial Services Authority (FSA) for its specific non-bank investment business. The London Branch has Volkswagen pride as a member of the London Stock Exchange. This membership enhances its capacity to participate more robustly in capital markets worldwide. BNP Paribas Securities Corp. is a Registered Broker-Dealer with the U.S. Securities and Exchange Commission. As a FINRA member firm, Oppenheimer further strengthens its commitment to regulatory compliance.
BNP Paribas’s plan would already have stretched its reach into Asia too, where it has big operations in Singapore and Hong Kong. The Singapore Branch operates as a branch of a licensed bank. It does so dutifully, following local banking regulations as outlined by their Monetary Authority of Singapore. The Hong Kong Branch is subject to the regulation of a Licensed Bank by the Hong Kong Monetary Authority. Moreover, it has been granted the Registered Institution status with the Securities and Futures Commission, enabling it to conduct securities advisory. This complex multi-regional regulatory framework enables BNP Paribas to serve a global and varied client base, while maintaining high integrity compliance standards.
In the course of its business, BNP Paribas may seek or have financial interests in the issuers listed in these reports. The firm has the ability to purchase or dispose of securities from these issuers. They can serve as a principal or an agent in these grant recipient transactions. It could be paid or expect to be paid for investment banking services by an issuer during a three-month window. This practice is par for the course in the financial sector. It provides BNP Paribas the flexibility to adapt its investment strategy over time and be transparent about its exposures.