Whistleblowing Policy

We hereby inform that BNP Paribas, Tokyo Branch and BNP Paribas Securities (Japan) Limited operate a whistleblowing system, in accordance with local regulatory requirements and BNP Paribas Group rules.

The whistleblowing process enables all of the Bank’s employees and third parties such as contractors, consultants and interns to report confidentially any concern or suspicion of any illegal, unethical or questionable practice they may become aware of in relation to BNP Paribas.

This framework is not intended to deal with commercial complaints. For Complaints, please contact the dedicated separate page.

This whistleblowing policy covers, but is not limited to, the following:

  1. Fraud and corruption;
  2. Violation of regulations such as those on money laundering, terrorism financing, financial embargoes and protection of client interests;
  3. Unethical behaviour or dishonest acts; or
  4. Unacceptable or fraudulent market practice.

Employees or third-parties acting in good faith who report via the whistleblowing process shall not be punished, dismissed or be subject to any kind of discriminatory measures, whether direct or indirect, merely for having taken an initiative that falls within the whistleblowing policy as outlined above.

Contact for whistleblowing:

E-mail:  tokyo_compliance_whistle_blowing@japan.bnpparibas.com

Postal address:
BNP Paribas, Tokyo Branch / BNP Paribas Securities (Japan) Limited

GranTokyo North Tower
1-9-1 Marunouchi, Chiyoda-Ku
Tokyo 100-6741, Japan
Attn: Compliance Department in charge of whistleblowing

In case of whistleblowing, the initiator has to give his/her name and address. If the initiator is a legal entity, the name, the official site and the name of the legal representative of the entity need to be provided. The Bank may disregard anonymous notifications or cases when the initiator cannot be identified. The initiator has to declare that his/her notification is done under the whistleblowing procedure, and that he/she submits such notification in good faith about facts he/she is aware of or he/she reasonably presumes to be true. The identity of the initiator will be treated as confidential in all phases of the investigation; this information may only be shared with those involved in the investigation of the case.

Our Bank investigates all whistleblowing notifications, subject to the correct formal requirements. The persons involved in the investigation treat all information relating to the whistleblowing notification as strictly confidential. The Bank may inform the whistleblower about the result of the investigation and measures, to the extent legally permissible, having regard to the rules on banking secrecy and privacy of personal data or other legal constraints.