| 2023-09-13 | regulatory | THE AMF'S ALLEGATIONS AGAINST BNP PARIBAS RELATE TO: 1. INADEQUATE AND MISLEADING CLIENT DISCLOSURES ON FEES -FAILURE TO CLEARLY DISCLOSE COMMISSIONS DE MOUVEMENT. - ABSENCE OF MANDATORY PERFORMANCE-IMPACT ILLUSTRATIONS. -NON-AGGREGATED COST REPORTING, LEADING TO MISUNDERSTANDING OF ACTUAL TOTAL FEE… | Final | $6.0M |
| 2023-08-08 | regulatory | THE COMMODITY FUTURES TRADING COMMISSION ALLEGED THAT FROM AT LEAST 2014 TO THE PRESENT BNP PARIBAS S.A. AND BNPPARIBAS SECURITIES CORP. FAILED TO (1) MAINTAIN AND PRESERVE OFF-CHANNEL COMMUNICATIONS RELATED TO THE BUSINESSOF THE FUTURE COMMISSION MERCHANT, IN WILLFUL VIOLATION OF SECTIONS 4S(F)(L)(… | Final | $75.0M |
| 2022-07-05 | regulatory | THE COMMODITY FUTURES TRADING COMMISSION ("CFTC") ALLEGED THAT, FROM AT LEAST 2016 THROUGH 2021, BNP PARIBAS("BNPP") FAILED TO CORRECTLY REPORT NUMEROUS SWAP TRANSACTIONS AS REQUIRED BY THE COMMODITY EXCHANGE ACT("CEA") AND CEA REGULATIONS, AND THAT FROM 2016 THROUGH 2017, BNPP ADJUSTED DAILY MARK D… | Final | $6.0M |
| 2022-01-28 | regulatory | THE AMF'S ALLEGATIONS AGAINST BNP PARIBAS ASSET MANAGEMENT (BNPP AM AND FORMERERLY BNP PARIBAS ASSET MANAGEMENT FRANCE) RELATE TO: 1. INADEQUATE STRUCTURING OF THE FUNDS 2. MISLEADING OR INSUFFICIENT INVESTOR INFORMATION 3. DEFICIENCIES IN THE INTERNAL CONTROL SYSTEM | Final | $700K |
| 2018-12-11 | regulatory | THE AMF'S COMMISSION DES SANCTIONS IDENTIFIED FOUR MAIN CATEGORIES OF ALLEGED BREACHES BY BNP PARIBAS SECURITIES SERVICES (BP2S) IN CONNECTION WITH ITS ROLE AS TENEUR DE COMPTE-CONSERVATEUR (TCC) DURING THE 2018 PROXY VOTING SEASON. THESE ISSUES RELATE TO HOW BP2S PROCESSED VOTING INSTRUCTIONS FOR I… | Final | $1.2M |
| 2018-06-11 | regulatory | THE AMF'S ALLEGATIONS AGAINST BNP PARIBAS RELATE TO: 1. INSUFFICIENT COLLECTION OF CLIENT INFORMATION 2.INSUFFICIENT DOCUMENTATION OF THE INVESTMENT ADVICE PROVIDED 3. FAILURES IN THE INTERNAL CONTROL AND COMPLIANCESYSTEM | Final | $700K |
| 2015-12-09 | regulatory | THE AMF IDENTIFIED THREE MAIN DEFICIENCIES IN BNP PARIBAS' COMPLIANCE FRAMEWORK WITHIN ITS LONDON BRANCH,SPECIFICALLY CONCERNING ITS FIXED INCOME - DEBT CAPITAL MARKETS ACTIVITY (DEFICIENT CONTROL OF INFORMATIONBARRIERS, INADEQUATE PROCEDURES FOR INVESTOR SOLICITATION / MARKET SOUNDINGS AND INSUFFIC… | Final | $460K |
| 2015-07-27 | regulatory | THE AMF'S ALLEGATIONS AGAINST BNP PARIBAS RELATE TO: 1. FAILURE TO DECLARE SUSPICIOUS TRANSACTIONS 2. DEFICIENT SYSTEMS AND CONTROLS FOR DETECTING MARKET ABUSE | Final | $60K |
| 2015-07-27 | regulatory | THE AMF'S ALLEGATIONS AGAINST BNP PARIBAS RELATE TO: 1. FAILURE TO DECLARE SUSPICIOUS TRANSACTIONS 2. DEFICIENT SYSTEMS AND CONTROLS FOR DETECTING MARKET ABUSE | Final | $240K |