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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.

 

Exane 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


Information on MIFID

  1. MiFID: execution policy
  2. MiFID: list of the execution venues
  3. Regulatory Technical Standards 27 Exane Derivatives
  4. Regulatory Technical Standards 27 Exane BNP Paribas
  5. Regulatory Technical Standards 28 Exane Derivatives - 2017
  6. Regulatory Technical Standards 28 Exane Derivatives - 2018
  7. Regulatory Technical Standards 28 Exane Derivatives - 2019
  8. Regulatory Technical Standards 28 Exane Derivatives - 2020
  9. Regulatory Technical Standards 28 Exane Derivatives - 2021
  10. Regulatory Technical Standards 28 Exane BNP Paribas - 2017
  11. Regulatory Technical Standards 28 Exane BNP Paribas - 2018
  12. Regulatory Technical Standards 28 Exane BNP Paribas - 2019
  13. Regulatory Technical Standards 28 Exane BNP Paribas - 2020
  14. Regulatory Technical Standards 28 BNP Paribas Exane - 2021
  15. Regulatory Technical Standards 28 BNP Paribas Exane - 2022
  16. Article 65(6) of Commision Delegated Regulation Exane BNP Paribas - 2017
  17. Article 65(6) of Commission Delegated Regulation Exane BNP Paribas - 2018
  18. Article 65(6) of Commission Delegated Regulation Exane BNP Paribas - 2019
  19. Article 65(6) of Commission Delegated Regulation Exane BNP Paribas - 2020
  20. Article 65(6) of Commission Delegated Regulation BNP Paribas Exane - 2021
  21. Article 65(6) of Commission Delegated Regulation BNP Paribas Exane - 2022
  22. MiFID: Exane BNP Paribas SI commercial policy
  23. MiFiD: Exane Derivatives SI commercial policy

Information on the Benchmark Regulation (BMR)
  1. BMR information

Information on financial crime
  1. Slavery and Human Trafficking Statement
  2. Group AML attestation

Information on conflicts of interest
  1. Information on Exane's conflict of interests policy
  2. Description of Financial Instruments and Associated Risks

Other information
  1. Standard Settlement Instructions

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Tel:+33 (0)1 44 95 40 00

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