Monex Europe Markets (Spain)

1. Articles of Association

Link to articles of association documentation available for review.

2. Corporate Governance Regulations and Standards

The Company maintains an internal organisational procedure identifying all administrative and management bodies, their composition, and responsibilities. The structure addresses "the nature, scale, and complexity of the Company's activities" through defined organisational frameworks with clear responsibility lines and functional objectives for each department. The Board of Directors supervises organisational effectiveness and implements corrective measures for identified deficiencies. A Corporate Governance and Remuneration Policy Manual is available for download.

3. Organisational Structure

An organisational chart is provided showing the company's hierarchical structure.

4. Risk Management Procedures

The company employs a three-level risk control system:

First Level: Front-line employees must exercise precautions, comply with procedures, and immediately report detected risks or incidents.
Second Level: Internal control units reporting to the Board of Directors — Regulatory Compliance Department, Risk Management Department, Internal Audit Unit.
Third Level: Board of Directors, responsible for establishing and maintaining adequate organisational structures.

5. Internal Control Mechanisms

Regulatory Compliance: operates with complete autonomy and independence; identifies and monitors regulatory risks across all areas; submits annual work plans to the Board with quarterly and annual reports.

Risk Management: identifies operational risks; prepares annual plans with a Risk and Control Self-Assessment matrix for monitoring and evaluation.

Internal Audit: provides reasonable assurance that internal control systems, procedures, and policies function properly; annual audit plan approved by the Board; results documented in an annual audit report. This function is delegated to Aiblu Servicios Profesionales, S.L.

6–11. Board of Directors and Remuneration Policy

Details on Board of Directors composition, Board member suitability procedures, the Risk Committee, Conflict of Interest Prevention, Solvency and Remuneration Information, and the full Remuneration Policy are contained in the Corporate Governance and Remuneration Policy Manual.

2. Corporate Governance Regulations and Standards

4. Risk Management Procedures

The company employs a three-level risk control system:

First Level: Front-line employees must exercise precautions, comply with procedures, and immediately report detected risks or incidents.
Second Level: Internal control units reporting to the Board of Directors — Regulatory Compliance Department, Risk Management Department, Internal Audit Unit.
Third Level: Board of Directors, responsible for establishing and maintaining adequate organisational structures.

5. Internal Control Mechanisms

Risk Management: identifies operational risks; prepares annual plans with a Risk and Control Self-Assessment matrix for monitoring and evaluation.