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REGulatory information

 

You will find on the right column a number of important information that we recommend you to read carefully.

 

 

PRINCIPLES OF GOOD CONDUCT

 

One of the essential missions of Compliance is to create and maintain a culture focused on the respect of the interests of customers. In this perspective, it has established rules of good conduct.

 

The Exane Group applies fundamental principles that govern the conduct of all its employees.

 

  1. Clients' interests protection

 

  1. Understand clients' needs
  2. Ensure fair treatment of clients
  3. Protect clients' interests
  4. Preserve clients' confidentiality
  5. Communicate in a transparent manner
  6. Handle clients complaints with fairness. Click here to learn more.

 

  1. Financial security

 

  1. Anti-money laundering and anti-terrorism financing
  2. Anti-bribery and corruption
  3. Apply financial sanctions

 

  1. Markets integrity

 

  1. Prevent and manage conflicts of interests
  2. Respect rules relating to market abuses

 

  1.  Professional ethics

 

  1. Refrain from communicating or using inside information
  2. Refrain from any action likely to compromise markets integrity
  3. Respect professional secrecy
  4. Refrain from acting in a way that might pose a conflict of interest

Regulatory information

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EXANE INC
ELLIPSIS AM
EXANE AM
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6, rue Ménars 75002 Paris – France
Tel:+33 (0)1 44 95 40 00

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