APAC Regulatory statements

Initially published on Friday 24 June 2016
Australia: This material, and any information in related marketing presentations (the Material), is being distributed in Australia by BNP Paribas ABN 23 000 000 117, a branch of BNP Paribas 662 042 449 R.C.S., a licensed bank whose head office is in Paris, France. BNP Paribas is licensed in Australia as a Foreign Approved Deposit-taking Institution by the Australian Prudential Regulation Authority (APRA) and delivers financial services to Wholesale clients under its Australian Financial Services Licence (AFSL) No. 238043 which is regulated by the Australian Securities & Investments Commission (ASIC).The Material is directed to Wholesale clients only and is not intended for Retail clients (as both terms are defined by the Corporations Act 2001, sections 761G and 761GA). The Material is subject to change without notice and BNP Paribas is under no obligation to update the information or correct any inaccuracy that may appear at a later date.

China: This document is being distributed in the People's Republic of China ("PRC", excluding the Hong Kong or Macau Special Administrative Regions or Taiwan) by BNP Paribas (China) Limited ("BNPP China"), a subsidiary of BNP Paribas. BNPP China is a commercial bank licensed by the China Banking Regulatory Commission to carry on banking business in the PRC.

France: BNP Paribas, incorporated in France with Limited Liability (Registered Office: 16 boulevard des Italiens, 75009 Paris, France, 662 042 449 RCS Paris, www.bnpparibas.com ) is authorized and supervised by European Central Bank (ECB) and by Autorité de Contrôle Prudentiel et de Résolution (ACPR) in respect of supervisions for which the competence remains at national level, in terms of Council Regulation n° 1024/2013 of 15 October 2013 conferring specific tasks on the ECB concerning policies relating to the prudential supervision of credit institutions. © BNP Paribas. All rights reserved.

Hong Kong:
Branch: This document is prepared and distributed by BNP Paribas Hong Kong Branch, a branch of BNP Paribas whose head office is in Paris, France. BNP Paribas Hong Kong Branch is registered as a Licensed Bank under the Banking Ordinance and regulated by the Hong Kong Monetary Authority. BNP Paribas Hong Kong Branch is also a Registered Institution regulated by the Securities and Futures Commission for the conduct of Regulated Activity Types 1, 4 and 6 under the Securities and Futures Ordinance. This document may not be circulated, distributed, reproduced or disclosed (in whole or in part and in any manner whatsoever) to any other person without the prior written consent of BNP Paribas Hong Kong Branch.
Securities: This document is intended only for the Professional Investors in Hong Kong. This document is prepared and distributed by BNP Paribas Securities (Asia) Limited. BNP Paribas Securities (Asia) Limited is a Licensed Corporation regulated by the Securities and Futures Commission for the conduct of Regulated Activity Types 1, 2, 4 and 6 under the Securities and Futures Ordinance. This document may not be circulated, distributed, reproduced or disclosed (in whole or in part and in any manner whatsoever) to any other person without the prior written consent of BNP Paribas Securities (Asia) Limited. Some products or transactions described in this document may not be authorized in Hong Kong and may not be available to Hong Kong investors.

India:
Branch: BNP Paribas India branch is licensed by Reserve Bank of India to carry on banking business in India and is regulated by the Banking Regulation Act 1949, Securities & Exchange Board of India Act 1992, and other related regulations issued by Government of India and regulatory bodies such as Reserve Bank of India, Securities and Exchange Board of India etc. from time to time. For the purpose of distribution in India this document is prepared for counterparties who have fair knowledge of risk associated with foreign exchange market, Institutional Investors & Counterparties, Expert Investors and for those clients and investors whose risk management policies are in place.
Securities: In India, this document is being distributed by BNP Paribas Securities India Pvt. Ltd. (a member of the BNP Paribas Group), having its registered office at 5th floor, BNP Paribas House, 1 North Avenue, Maker Maxity, Bandra Kurla Complex, Bandra (East), Mumbai 400 051. BNP Paribas Securities India Pvt. Ltd. is registered with the Securities and Exchange Board of India ("SEBI") as a stockbroker in the Equities and the Futures & Options segments of National Stock Exchange of India Ltd. (SEBI regn. nos. INB231474835/INF231474835) and Bombay Stock Exchange Ltd. (SEBI regn. nos. INB011474831/INF011474831)

Indonesia: This document is being distributed by PT Bank BNP Paribas Indonesia, whose registered office is Menara BCA - 35th Floor, Grand Indonesia, Jalan M.H Thamrin No.1,Jakarta 10310, Indonesia; Tel : +62 21 2358 6262; Fax: +62 21 2358 6098. PT Bank BNP Paribas Indonesia is regulated by Bank of Indonesia. Details about the extent of our authorisation by Bank of Indonesia are available on request. This document is not directed at individuals or retail clients.

Japan:
Branch: This document is being distributed to Japanese based firms by BNP Paribas Tokyo Branch, only to Japanese-based Institutional Investors and Professional Investors as defined by the Financial Instruments and Exchange Law of Japan. BNP Paribas Tokyo Branch is a Registered Financial Institution, Kanto Finance Bureau-Kinsho-#98, and a member of the Japan Securities Dealers Association and the Financial Futures Association of Japan.
Securities: This document is being distributed to Japanese based firms by BNP Paribas Securities (Japan) Limited or by a subsidiary or affiliate of BNP Paribas not registered as a financial instruments firm in Japan, to certain financial institutions defined by article 17-3, item 1 of the Financial Instruments and Exchange Law Enforcement Order. BNP Paribas Securities (Japan) Limited is a financial instruments firm registered according to the Financial Instruments and Exchange Law of Japan and a member of the Japan Securities Dealers Association, Type II Financial Instruments Firms Association and the Financial Futures Association of Japan. BNP Paribas Securities (Japan) Limited accepts responsibility for the content of a report prepared by another non-Japan affiliate only when distributed to Japanese based firms by BNP Paribas Securities (Japan) Limited. Some foreign securities stated on this report are not disclosed according to the Financial Instruments and Exchange Act of Japan.

If there is any mention of credit ratings in the document, it is a Japanese regulatory requirement to include a prescribed "explanatory note on non-registered credit rating". The full text is contained in the separate document titled "Additional Disclaimer for Japan" (for both Branch and Securities).

Malaysia:
BNP Paribas Malaysia Berhad (Company No. 918091-T) is incorporated in Malaysia under the Companies Act of Malaysia, 1965. It is a licensed institution under the Financial Services Act 2013 and is regulated by Bank Negara Malaysia.[Note: Insert this option if marketing material or presentation is in relation to swaps and options, derivatives and debt securities. Please reach out to Malaysia Legal and/or Compliance for assistance on whether this entity has the requisite license to distribute the material.] BNP Paribas Capital (Malaysia) Sdn Bhd (Company No. 247454-M) is incorporated in Malaysia under the Companies Act of Malaysia, 1965. It is a licensed institution under the Capital Markets and Services Act 2007 and is regulated by Securities Commission Malaysia.[Note: Insert this option if marketing material or presentation is in relation to advisory work or contains research material that amounts to advising on securities or derivatives or contains any analyses or reports concerning securities or derivatives. If the material contains any analyses or reports concerning securities or derivatives, then the name of the licensed individual in this entity needs to be inserted. Please reach out to Malaysia Legal and/or Compliance for assistance on whether this entity has the requisite license to distribute the material.] [Note: Please reach out to Malaysia Legal and/or Compliance for assistance if the material is for distribution to the general public in Malaysia or if your activity or product does not fall within those listed in the notes above.]

Philippines: This report is being distributed in the Philippines by BNP Paribas Manila Branch, an Offshore Banking Unit (OBU) of BNP Paribas whose head office is in Paris, France. BNP Paribas Manila OBU is registered as an offshore banking unit under Presidential Decree No. 1034 (PD 1034), and regulated by the Bangko Sentral ng Pilipinas. This report is being distributed in the Philippines to qualified clients of OBUs as allowed under PD 1034, and is qualified in its entirety to the products and services allowed under PD 1034.

Singapore:
Branch: This document is distributed in Singapore by BNP Paribas, Singapore Branch, a licensed bank regulated by the Monetary Authority of Singapore. This document is directed at Institutional Investors and Accredited Investors only and is not intended for investors in Singapore who are not Institutional Investors or Accredited Investors within the meaning of the Securities and Futures Act, Chapter 289 of Singapore and should not be passed on to any such persons. Some products or transactions described in this document may not be authorised in Singapore and may not be available to Singapore investors. Information in this document is for general circulation to the intended recipients only and is not a recommendation or investment advice to recipients hereof since it does not take into account the specific investment objectives, financial situation and the particular needs of any particular recipient ("Specific Requirements"). A recipient of this document should seek advice from its/his own financial adviser regarding the suitability of the products or transactions (taking into account the recipient's Specific Requirements) as well as the risks involved in such products or transactions before a commitment to purchase or enter into any product or transaction is made. 
Securities: This document is distributed in Singapore by BNP Paribas Securities (Singapore) Pte. Ltd, which holds a Capital Markets Services license and regulated by the Monetary Authority of Singapore. This document is directed at Institutional Investors and Accredited Investors only and is not intended for investors in Singapore who are not Institutional Investors or Accredited Investors within the meaning of the Securities and Futures Act, Chapter 289 of Singapore and should not be passed on to any such persons. Some products or transactions described in this document may not be authorised in Singapore and may not be available to Singapore investors. Information in this document is for general circulation to the intended recipients only and is not a recommendation or investment advice to recipients hereof since it does not take into account the specific investment objectives, financial situation and the particular needs of any particular recipient ("Specific Requirements"). A recipient of this document should seek advice from its/his own financial adviser regarding the suitability of the products or transactions (taking into account the recipient's Specific Requirements) as well as the risks involved in such products or transactions before a commitment to purchase or enter into any product or transaction is made.

South Korea:
Branch: BNP Paribas Seoul Branch is regulated by the Financial Services Commission and Financial Supervisory Service for the conduct of its financial investment business in the Republic of Korea. This document does not constitute an offer to sell to or the solicitation of an offer to buy from any person any financial products where it is unlawful to make the offer or solicitation in South Korea.
Securities: BNP Paribas Securities Korea is registered as a Licensed Financial Investment Business Entity under the FINANCIAL INVESTMENT BUSINESS AND CAPITAL MARKETS ACT and regulated by the Financial Supervisory Service and Financial Services Commission. This document is distributed by BNP Paribas Securities Korea Co., Ltd. in Korea to Professional Investors only and is not intended for investors in Korea who are not Professional Investor within the meaning of the Article 9 (5) (professional investor) of the FINANCIAL INVESTMENT BUSINESS AND CAPITAL MARKETS ACT and should not be passed on to any such persons. Some products or transactions described in this document may not be authorised in Korea and may not be available to Korea investors. Information in this document is for general circulation to the intended recipients only and is not a recommendation or investment advice to recipients hereof since it does not take into account the specific investment objectives, financial situation and the particular needs of any particular recipient ("Specific Requirements"). A recipient of this document should seek advice from its/his own financial adviser regarding the suitability of the products or transactions (taking into account the recipient's Specific Requirements) as well as the risks involved in such products or transactions before a commitment to purchase or enter into any product or transaction is made.

Taiwan: BNP Paribas Taipei Branch is registered as a licensed bank under the Banking Act and regulated by the Financial Supervisory Commission, R.O.C. This document is directed only at Taiwanese counterparties who are licensed or who have the capacities to purchase or transact in such products. This document does not constitute an offer to sell to or the solicitation of an offer to buy from any person any financial products where it is unlawful to make the offer or solicitation in Taiwan.(Applicable for the products targeted to Professional Institutional Investors' own accounts)

Taiwan: This document is being distributed in Taiwan to professional investors only, as defined under Article 3 of the Rules Governing Offshore Structured Products, by BNP Paribas Taipei Branch and Offshore Banking Unit, branches of BNP Paribas and are regulated by the Financial Supervisory Commission under the Banking Act and Offshore Banking Act. Some products or transactions described in this documents may not be authorised in Taiwan and may not be available to Taiwan investors. Information in this document is for general circulation to the intended recipients only and is not a recommendation or investment advice to recipients hereof since it does not take into account the specific investment objectives, financial situation and the particular needs of any particular recipient ("Specific Requirements"). A recipient of this document should seek advice from its/his own financial adviser regarding the suitability of the products or transactions (taking into account the recipient's Specific Requirements) as well as the risks involved in such products or transactions before a commitment to purchase or enter into any product or transaction is made. The material is subject to change without notice and BNP Paribas is under no obligation to update the information or correct any inaccuracy that may appear at a later date (Applicable for the products distributed to non-Professional Institutional Investors)

Thailand: BNP Paribas Bangkok branch is regulated in Thailand by the Bank of Thailand and the Securities and Exchange Commission. This document does not constitute an offer to sell to or solicitation of an offer to buy from any person any financial products where it is unlawful to make the offer or solicitation in Thailand.

UK: BNP Paribas London Branch 10 Harewood Avenue, London NW1 6AA; tel: +44 20 7595 2000; www.bnpparibas.com. Incorporated in France with Limited Liability. Registered Office: 16 boulevard des Italiens, 75009 Paris, France. 662 042 449 RCS Paris. BNP Paribas London Branch is lead supervised by the European Central Bank (ECB) and the Autorité de Contrôle Prudentiel et de Résolution (ACPR). BNP Paribas London Branch is authorised by the ECB, the ACPR and the Prudential Regulation Authority and subject to limited regulation by the Financial Conduct Authority and Prudential Regulation Authority. Details about the extent of our authorisation and regulation by the Prudential Regulation Authority, and regulation by the Financial Conduct Authority are available from us on request. BNP Paribas London Branch is registered in England and Wales under no. FC13447.

Vietnam: This document is distributed in Viet Nam by BNP Paribas Ho Chi Minh City Branch, registered in Viet Nam under No. 05/NH-GP. This publication is prepared for investors who have legal standing and is not intended for Private Customers in the territory of Viet Nam and should not be passed on to any such persons. It is directed only at Vietnamese counterparties who have the capacity and licence authorised by SBV to purchase from or transact with offshore counterparties. By accepting this document you agree to be bound by the foregoing limitations.
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