Whistleblowing Channels

The Whistleblowing Channels made available to Employees and certain External Third Parties.

Types of issues that can be reported

The issues that can be reported via Whistleblowing Channels include, but are not limited to:

Acts of corruption and influence peddling or any other infringement pertaining to probity
Acts of fraud
Inappropriate professional behavior or lack of respect for persons, diversity, and equal opportunity
Infringement of the rules of professional ethics
Infringement of the rules of financial security
Anti-competitive practices
Breach of market integrity
Infringement of the rules for the protection of interests of clients
Unauthorized communication of confidential information, theft or leakage of data
Violation of human rights and fundamental freedoms, damage to the health and safety of persons or to the environment noticed within activities performed by a Group’s Entity or within activities carried out by a subcontractor or a supplier within the framework of an established commercial relation with the Group or one of its Entities
A serious violation of BNP Paribas policies regarding suppliers
A serious violation of BNP Paribas policies regarding the use of social media

Methods for raising an Alert

Employees and External Third Parties (i.e client/ supplier) can send a report to:

1. Web Reporting Tool:

You can access the BNP Paribas Whistleblowing Platform by clicking the link: bnpparibaswhistleblowingplatform.ethicspoint.com or copying it into your web browser.

Once you access the website, you will be taken to the “Welcome” page. At the “Welcome” page, click on “Report on-line” and you will be taken to the “Report your Concern on-line” page. At the “Report your Concern on-line” page, click on “I want to report on other matters” and you will be taken to the Compliance whistleblowing page. From the dropdown entitled, “To Make a Report Online”, select the country where you are located, the country where the violation took place and the Business Line/Function in which the violation took place. This will allow to select if authorized by local regulation your preferred reporting channels (local/ territory channel, Business Line channel, Group/Operational Perimeter channel) and route the case to this channel. Follow the reporting instructions until you are able to submit your report for review.

When you submit the report, you will be issued a Report Key. Please write it down and keep it in a safe place. We ask you to use this Report Key along with the password of your choosing to return to “BNP Paribas Whistleblowing Platform” through the website or telephone hotline in 5-6 business days. By returning in 5-6 business days, you will have the opportunity to review any Follow-up Questions or submit more information about this report.

2. Direct Access Phone Number to Navex:

The direct access phone number to Navex is accessible on BNP Paribas Whistleblowing Platform (use the link mentioned above). Once you get to the “Welcome” page, click “Report by Phone” and you will be taken to the “Report your Concern by Phone” page. From the dropdown entitled, select the country where you are located for international dialing information. The direct access phone number will be displayed with dialing instructions. After dialing the number, you will be connected to a Navex representative who will receive the report over the phone. Please note that in order to protect the identity of the reporting person, phone calls with Navex are not recorded or kept on file.

Important note:

According to Article 13 of the Law on Credit Institutions 2024, disclosing of client information to other organizations and individuals is not permitted unless it is requested by a competent state agency under law or consented by the clients. When using the WB channels as managed by NAVEX (an external service provider), if in doubt of client consent on information disclosure to third party as agreed with the bank, it is the responsibility of every Vietnam staff to not provide client information, but description of transaction only. If there are client information that must be disclosed the staff should consider using the other whistleblowing channels that are managed by internal staff at DL.CMPL.WB.Vietnam@asia.bnpparibas.com.

Protection:

The BNP Paribas Whistleblowing Framework ensures the confidentiality during the collection and processing of the reports, of the identity of the Whistleblowers and any persons mentioned, including the Targeted Person(s), and of the information collected in the report. Information relating to the Whistleblower, the Targeted Person or any person mentioned in a report can be disclosed only if necessary, based on a “need to know” principle, as regards performing the admissibility analysis and/or the investigations and within a commitment on confidentiality.