careers regulatory operations français EXANE OUR BUSINESSES OUR OFFICES OPERATIONS Home > Operations The Operations Department has responsibility for covering all post-market functions for operations performed by Exane's various Front Offices. This Department is organised around two divisions: Equities Derivatives The KYC Client Department, the Client Service & Static Data Department and the Billing Middle Office have cross-disciplinary functions and complement this arrangement. Guillaume Lamand, Group Head of Operations, Exane EQUITIES AND OTHER SECURITIES Client Middle Office The main mission of the Client Middle Office is to provide the necessary operational support to Exane's Equities Sales desks as well as to institutional clients, corporate clients and brokers. For any query concerning the monitoring of settlement-delivery and confirmations, please send an email to: mo.trades@exane.com. Commission Management The Commission Management Middle Office is responsible for operational management (Cash management, reporting, reconciliation and payments) of Brokerage Commission Sharing Agreements: Commission Sharing Agreements (CSA), Research Charge Collection Agreement (RCCA), Routing and Transmission of Orders (RTO), Rebate / Recapture, Third Party Settlement (TPS), Introducing Broker Agreement, Fees Agreements. It is also responsible for management of the Research Team's billing to clients of the Equities business and also of the Derivatives business. For any query relating to the above agreements, please write to: csa@exane.com. Trade Support The role of the Trade Support team is to assist the Front Office in its booking operations for Cash Equity but also operations with equities brokers, whilst respecting regulatory restrictions. Responsible for low touch trading (electronic trading) and high touch trading (Trader/Sales), the team monitors orders received and integrates them into the various market systems and platforms. A specific analysis is also carried out in terms of the monitoring of positions on technical accounts, in order to prevent any operational risk. For any query about this activity, please contact tradesupport@exane.com. Corporate Action Middle Office The Corporate Action Middle Office is responsible for monitoring operations on securities: - inflow of reports, - monitoring and reminder of suspended transactions associated with a securities operation, - report on accountability, - filing of records and monitoring of receipt of securities operations products. You are a depositary; you can contact us at back-office-ost@exane.com. Issuer Back Office The Issuer Back Office is responsible for monitoring administrative creation, coupon detachment and reimbursements of Exane structured products. You are a depositary; you can contact us at back-office-ost@exane.com. DOCUMENTS MiFID: execution policy MiFID: list of the execution venues Description of Financial Instruments and Associated Risks Information on Exane's conflict of interests policy Standard Settlement Instructions Cash Settlement Instructions Spanish SSIs EXANE SA: ON-BOARDING DOCUMENTS Exane in bref Financial Statements Exane SA - VAT account number Exane SA - ACPR registration Exane SA - Certificate of good standing Exane SA - Kbis Exane SA - Articles of Association Exane SA - LEI Exane SA - W-8BEN-E Exane SA - Wolfsberg Questionnaire Group AML Attestation Contact: kyc@exane.com EXANE SA BRANCHES : ON-BOARDING DOCUMENTS Exane in brief Financial Statements Exane SA - VAT account number Exane SA - Certificate of good standing Exane SA - Articles of Association Exane SA - LEI (also applicable to the London Branch) Exane SA, London Branch - Certificate of registration Exane SA, London Branch - FCA registration Exane SA, London Branch - Wolfsberg Questionnaire Exane SA, London Branch - W-8BEN-E Exane SA, Frankfurt Branch - KBIS Exane SA, Frankfurt Branch - BAFIN Registration Exane SA, Geneva Branch - W-8BEN-E Exane SA, Madrid Branch - W-8BEN-E Exane SA, Milan Branch - W-8BEN-E Exane SA, Stockholm Branch - W-8BEN-E Group AML Attestation Contact: kyc@exane.com DERIVATIVES OTC Middle Office The OTC Middle Office handles the administrative handling of transactions realised by the Derivatives Front Office as well as management of the Exane Derivatives positions on OTC products as a whole. If you require any information relating to the handling of Collateral, please send your requests to collateral_OTC@exane.com. You are looking for signature, obtaining or sending of final confirmations; please contact us at: confirmations_OTC@exane.com. For any query relating to the monitoring of settlement of financial trades or any other matter, please write to us at the following address: mo_otc@exane.com. Lending/Borrowing Middle Office The Lending/Borrowing Middle Office handles the administrative processing of the transactions completed by the Front Office along with management of positions for the lending/borrowing activities and for repurchase agreements. You are looking for information about: - Implementation of over-the-counter transactions, - Implementation of transactions on the centralised lending/borrowing market (repos) - Financial flows (Dividends), - Collateral hedging and Margin Calls, - Collateral interest. Please, contact us at the following address: mo_slb@exane.com. Structured Products Middle Office The Structured Products Middle Office handles all post-trade functions across the Structured Product area. For any query relating to the monitoring of settlement-delivery of market operations, please write to us at mo_derives_structures@exane.com. You would like information about events linked to products (coupon calculations, early reimbursement procedures and amounts and maturities, securities operations and so on); you can contact us by email: mo_derives_structures@exane.com. You are a holder and would like to exercise your reimbursement option; please send your request to the following address: mo_notifications@exane.com. You are a client and need the Terms Sheet for one of our Structured Products; you can send your request to mo_derives_structures@exane.com. Funds Middle Office The Funds Middle Office is responsible for administrative management of orders on Funds forwarded by the Front Office. For any query relating to the placing and/or implementation of orders on the market, please write to us at: mo_fonds@exane.com. As an administrator, you would like to receive an invoice and/or a statement of positions on the retrocession payable to us; you can contact us by email: mo_fonds@exane.com. Listed Derivatives Middle Office The Listed Derivatives Middle Office is responsible for monitoring operations for Third Party Accounts, Trading and Market Making across the Listed Derivatives Products area for Exane SA and Exane Derivatives. For any query relating to monitoring the implementation of operations (allocations, suspensions and so on), please contact us on +33 (0)1 42 99 51 65 or at the following address: mo_derives_listes@exane.com. P&L Middle Office The P&L Middle Office is responsible for monitoring positions, Front-Back alignment and publication of Trading portfolio results and their explanations for Exane SA and Exane Derivatives. EXANE DERIVATIVES: ON-BOARDING DOCUMENTS Exane in brief Financial Statements Exane Derivatives - VAT account number Exane Derivatives - ACPR registration Exane Derivatives - Kbis Exane Derivatives Gérance - Kbis Exane Derivatives - Articles of Association Exane Derivatives - LEI Exane Derivatives - W-8BEN-E Exane Derivatives, London Branch - W-8BEN-E Exane Derivatives, Geneva Branch - W-8BEN-E Exane Derivatives, Milan Branch - W-8BEN-E Exane Derivatives - Wolfsberg Questionnaire Exane SA - Certificate of good standing Group AML Attestation Exane Finance - Articles of Association Exane Solutions (Luxembourg) - Articles of Association Contact: kyc@exane.com KYC CLIENT DEPARTMENT The KYC Client Department is responsible for relationship entries with new clients and monitoring these for Exane SA and Exane Derivatives. For any query, please write to the following address: kyc@exane.com. CLIENT SERVICE & STATIC DATA DEPARTMENT The Client Service & Static Data Department is responsible for opening accounts, fixing settlement-delivery instructions and confirmation for Exane SA and Exane Derivatives. For any query, please write to the following address: clientservice@exane.com. BILLING MIDDLE OFFICE The Billing Middle Office is responsible for monitoring the billing of the market activities of Exane Derivatives, billing to be issued or to be received: - billing and recovery, - implementation of give-up agreements and letters of brokerage, - monitoring and settlement of broker invoices, - monitoring and settlement of commissions of business providers and distributors on structured products. For any query, please contact us on brokerage.department@exane.com. 6, rue Ménars 75002 Paris – France Tel:+33 (0)1 44 95 40 00 REGULATORY CAREERS NEWS OPERATIONS complaints © Exane 2021 Legal terms | GDPR Policy | Cookies