Changes in regulations and market infrastructures, coupled with increasing capital requirements, have made it critical to align your operating model with a strategic partner in order to achieve economies of scale so that you can concentrate on your core activities.

BNP Paribas Securities Services has engineered a flexible platform for institutional broker dealers that offers expertise in creating customized clearing and custody solutions aimed at optimizing your business model.

A niche offering

Our core service is US correspondent clearing, a niche offering for institutional-only broker dealers that have discriminating standards and highly specialized functions. With flexibility in our clearing models – fully disclosed, omnibus and other hybrid models – you benefit from reduced costs and increased efficiencies.

We also offer broker to bank custody solutions with access to over 100 markets through our global custody network. In fact, unlike many of our competitors in the US broker dealer space, we own a proprietary network that offers direct access to 26 markets, including the US.

Open architecture technology

Our proprietary platform is state of the art, highly scalable and can be integrated with your systems. Our technology serves as an extension of your front office:

¡ Dedicated client-facing web portal for real-time data, accessible through a single entry point

¡ SWIFT, FIX and API messaging protocols for seamless delivery of trade instructions

¡ Flexibility with file formats to link to any OMS/EMS system

Clients and assets served

Our clients include a variety of institutional broker dealer organizations:

¡ US and international

¡ Investment banks

¡ Agency, market maker, and research trading firms

¡ Introduced prime brokers

We support multiple asset classes, including equities, fixed income, derivatives, options, ADR conversions and FX, in multiple currencies and multiple markets on a daily basis.

Enhanced capabilities

Our global presence affords you greater market access and additional processing efficiencies. Our cross border solutions include:

¡ Multi-currency cross border settlement services and reporting

¡ Model A and Model B solutions (i.e. 15a-6 processing) through affiliates in Europe and Asia

In addition to US correspondent clearing and bank custody, BNP Paribas provides a diversified mix of products and services. Related US services include fund administration, agency lending, alternatives, and leveraging.

Broker dealer services

www.securities.bnpparibas.com

The information contained within this document (‘information’) is believed to be reliable but BNP Paribas Securities Services does not warrant its completeness or accuracy. Opinions and estimates contained herein constitute BNP Paribas Securities Services’ judgment and are subject to change without notice. BNP Paribas Securities Services and its subsidiaries shall not be liable for any errors, omissions or opinions contained within this document. This material is not intended as an offer or solicitation for the purchase or sale of any financial instrument. For the avoidance of doubt, any information contained within this document will not form an agreement between parties. Additional information is available on request.

BNP Paribas Securities Services is incorporated in France as a Partnership Limited by Shares and is authorised and supervised by the ACPR (Autorité de Contrôle Prudentiel et de Résolution) and the AMF (Autorité des Marchés Financiers).

BNP Paribas Securities Services, London branch is authorised by the ACPR, the AMF and the Prudential Regulation Authority and is 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 Securities Services, London branch is a member of the London Stock Exchange. BNP Paribas Trust Corporation UK Limited (a wholly owned subsidiary of BNP Paribas Securities Services), incorporated in the UK is authorised and regulated by the Financial Conduct Authority.

In the U.S., BNP Paribas Securities Services is a business line of BNP Paribas which is incorporated in France with limited liability. Services provided under this business line, including the services described in this document, if offered in the U.S., are offered through BNP Paribas, New York Branch (which is duly authorized and licensed by the State of New York Department of Financial Services); if a securities product, through BNP Paribas Securities Corp. or BNP Paribas Prime Brokerage, Inc., each of which is a broker-dealer registered with the Securities and Exchange Commission and a member of SIPC and the Financial Industry Regulatory Authority; or if a futures product through BNP Paribas Securities Corp., a Futures Commission Merchant registered with the Commodities Futures Trading Commission and a member of the National Futures Association.

Printed on recycled paper – Designed by the graphics department, corporate communications,BNP Paribas Securities Services – November 2014

Contact details:

Frank ColellaHead of sales andrelationship management,Broker Dealer ServicesBNP Paribas Prime Brokerage, Inc. +1 212 471 8114 frank.colella@us.bnpparibas.com

Brian KapeSales manager, Broker Dealer ServicesBNP Paribas Prime Brokerage Inc.+1 212 471 7074 brian.kape@us.bnpparibas.com

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Our commitment

We build our excellence upon enduring client relationships and an unwavering commitment to exceeding your expectations. With a proven track record of deep integration and the strength of balance sheet, we remain dedicated to delivering best of breed solutions to US market participants.

A proven track record

Our US correspondent clearing and bank custody team delivers award-winning services. Our industry recognition and awards illustrate our commitment to service excellence:

Wall Street Letter Institutional Trading Awards 2013-2014¡ Best broker dealer, client service

Global Custodian Agent Banks in Major Markets Survey 2014¡ 35 global, local, and category Outperformer awards across 14 markets

A unique service model

Our unique service model provides direct access to the team who supports your business. We have dedicated professionals wholly aligned to servicing institutional broker dealers. You can draw upon our depth of expertise to make informed decisions about your business.