Global KYC Policy

IssuerCompliance
Activity Business LineKYC Domain
Functional domainCompliance
Involved ProcessesKnow Your Client
Risk domain(s)Financial Security
KeywordsFinancial Security, AML, CFT, Sanctions, KYC
Level2
Procedure typePolicy
ScopeBNP Paribas Group
CustomizationNo
Access rulesNon-restricted internal access
AuthorKYC Domain
Validated byCompliance Executive Committee
ReferenceCPL0252EN
Version1
StatusValidated
Date of the previous version
Validation date8 July 2016
Expiry date7 January 2018
Effective dateSee Transitional provisions § 1.4
Higher level procedures
Related procedures Compliance / Group Financial Security
  • 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 / Compliance Advisory
  • 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 / Market Integrity
  • CG0241 – Global policy on protecting market integrity.
Compliance / Protection of Interests of Clients
  • CG0075 – Global Policy on the Protection of Interests of Clients: « Good Sales Practices ».
Corporate Social Responsibility
  • RSE0020 – Corporate Social Responsibility – CSR monitoring and exclusion lists procedure.
  • RSE0014 – CSR – Goods and Activities exclusion list.
Cancelled procedures
  • 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 textsCode Monétaire et Financier (France)