|Activity Business Line||KYC Domain|
|Involved Processes||Know Your Client|
|Risk domain(s)||Financial Security|
|Keywords||Financial Security, AML, CFT, Sanctions, KYC|
|Scope||BNP Paribas Group|
|Access rules||Non-restricted internal access|
|Validated by||Compliance Executive Committee|
|Date of the previous version||–|
|Validation date||8 July 2016|
|Expiry date||7 January 2018|
|Effective date||See Transitional provisions § 1.4 |
|Higher level procedures||–|
Compliance / Group Financial Security
Compliance / Compliance Advisory
- CG0028 – General policy on anti-money laundering and the fight against terrorism financing.
- CG0173 – Group’s financial security policy on fight against corruption.
- CG0033 – Procedure concerning the monitoring of BNPP Group structures in countries and territories « under watch ».
- CG0128 – Financial sanctions and embargos – Customer databases scanning with SUN tool.
- CG0219 – Instructions on the implementation of the escalation process on Financial Security topics.
- CG0223 – Management and monitoring of the specific cases of the Loro and Nostro USD accounts.
- CG0097 – Group procedure on Countries’ sensitivity assessment.
- CG0030 – Policy applicable to relationships with Politically Exposed Persons (PEP).
- CG0233 – MSCQ Procedure.
- CG0231 – OFAC Voluntary Self-Disclosures Procedure.
- CG0214 – Relationships involving individual nationals and residents of major sanctioned countries – Including Iran, Sudan, Syria and North Korea.
- CG0229 – Group Procedure on Reporting of Potential Attempts to Circumvent or Evade U.S. Sanctions
- CG0245 – Global Sanctions Policy.
- CPL0248 – Procedure applicable to activities in relation with countries where BNP Paribas has no physical presence.
Compliance / Market Integrity
- CG0240 – Compliance Decision Process following a request from the Business.
- CG0198 – FATCA general procedure.
- CG0239 – General Procedure re the OECD Standard For Automatic Exchange Of Financial Info.
- CG0247 – Qualified Intermediary (QI) General Procedure.
Compliance / Protection of Interests of Clients
- CG0241 – Global policy on protecting market integrity.
Corporate Social Responsibility
- CG0075 – Global Policy on the Protection of Interests of Clients: « Good Sales Practices ».
- RSE0020 – Corporate Social Responsibility – CSR monitoring and exclusion lists procedure.
- RSE0014 – CSR – Goods and Activities exclusion list.
- CG0055 – General Policy concerning the duty of vigilance with regard to KYC.
- CG0080 – Responsibilities and information sharing on KYC topics for the multi-sites or multi-business customers.
- CG0211 – Instructions on Business Relationships KYC review.
|Regulatory texts||Code Monétaire et Financier (France)|