Legal Framework

Our Permits

Monitor Capital Markets i Sverige AB (559157-3570) is an affiliated agent of Mangold Fondkommission AB (556585-1267), a securities company operating under the supervision of the Swedish Financial Supervisory Authority. Monitor Capital Markets i Sverige AB has the right to conduct the following investment services that are subject to a license required by law, based on the Securities Market Act (2007: 528).

  • Receipt and transmission of orders relating to one or more financial instruments (the Securities Market Act (“VML”) 2: 1 p.1)
  • Execution of orders in financial instruments on behalf of clients (VML 2: 1 p.2)
SWEDSEC

Mangold Fondkommission AB (556585-1267) is affiliated to Swesec Licensiering AB (Swedsec).

SwedSec Licensiering AB (SwedSec) is a wholly owned subsidiary of the Swedish Securities Dealers Association. SwedSec provides a licensing program for employees within the Swedish financial market

All brokers at Monitor Capital Markets I Sverige AB are Swedsec-licensed.

Complaints

At Monitor Capital Markets, we pride ourselves on the high quality of service we provide, always with the customer in focus and therefore your opinion is important to us. However, should you have cause to complain, we advise you to contact  the person with whom you have been in contact. If you are not satisfied with the answer you receive, you can contact Mangold’s complaint officer. Mangold is responsible for pure economic damages caused intentionally or through negligence within the Affiliated Agent’s licensed investment services. Please send your complaint to the following address:

Mangold Fondkommission AB
Att: Klagomålsansvarig
Box 55691
102 15 Stockholm

Should you wish to discuss a complaint outside of Mangold, you can of course contact the Swedish Consumer Banking and Finance Bureau or Consumer Advice Centre in your municipality for free consultation. You are also entitled to have your complaint reviewed by an external party by referring it to the National Board for Consumer Complaints.

INTEGRITY POLICY

In order for you as a customer to be able to take part in our services and offers, Monitor Capital
Markets needs to collect and process certain information about you. Below is how Monitor Capital
Markets processes, protects and is responsible for the information we receive. Within this policy, we
will explain Monitor Capital Markets principles for personal data processing – why we need to process
personal data and on what legal basis the collection rests. Monitor Capital Markets does this to
comply with current regulations in the area, but mainly so that you as a potential customer can feel
safe with us.

What is personal information

Personal information is all information that may be directly or indirectly linked to a living person. It
can be anything from social security number, name and address to information such as IP address,
acount number or recorded calls. The important thing is that it is information that can be linked to
you as a person.

Processing of personal data

Processing of personal data involves an action or a combination of actions concerning personal data.
The processing could include the collection, storage, use, reading or deletion of personal data.

Monitor Capital Markets processing of your personal data follows the applicable principles that apply
to the processing of personal data; in a legal, correct, transparent and appropriate manner as safely
as possible.

From whom do we collect information

Monitor Capital Markets collects information about you as a potential customer and as a
shareholder in an unlisted company. Monitor Capital Markets also collects information about who, in
their capacity as guarantor, proxy holder and holder, representative, payer or mortgagor, enter into
an agreement with Monitor Capital Markets or otherwise come into contact with us.

How do we collect the information

The information stored and processed at Monitor Capital Markets is generally obtained from public
documents as well as information provided by a potential customer. Such information can be name,
social security number, contact information and financial circumstances. Monitor Capital Markets
can also collect identity documentation; for example, passport copies, driving licenses or other
documentation in order to prove your identity.

Communication via e-mail or incoming phone calls can also be saved or recorded.

In addition to information we receive from you, we may collect information from external actors in
order to complete our assignments. Such information can be obtained from the state personal
address register, credit information companies and through international sanction lists to prevent us
as a financial institution from being used for money laundering and other criminal activities.

The legal basis

We process your personal data only when necessary and with legal support. The most common
reasons why we handle your information are when we have to prepare, administer and document
agreements, verify identity, protect legal interests or other legal obligations such as money
laundering legislation and accounting legislation. Consent from you can also be the basis for the
processing of personal data.

Storage time

Monitor Capital Markets does not store personal data longer than necessary with regard to the
purpose of the processing. Personal data is stored for as long as the contractual relationship lasts and
thereafter for a maximum of 10 years. In some cases, however, the data may be stored for longer or
shorter periods due to regulatory requirements (accounting seven years or money laundering five
years)

Security measures

Monitor Capital Markets safeguards your personal privacy and has clear internal guidelines for how
personal data should be processed and protected. Monitor Capital Markets takes the necessary
security measures, both technical and organizational, to ensure that your personal data is protected
against destruction, unauthorized disclosure, unauthorized access, loss or alteration.

Who has access to the information

As a general rule, no one outside the Monitor Capital Markets Group will have access to the
information provided. In the event that information is provided to an external party (for example
Mobile BankID), it is mainly for the purpose of fulfilling agreements entered into.

Transfer to third countries

A third country is countries outside the EU and the EEA.

As a rule, Monitor Capital Markets will not transfer any personal data to third countries. In cases
where this is necessary, Monitor Capital Markets will inform about this and obtain consent before
this can happen.

Personal data manager

Monitor Capital Markets is responsible for personal data. Within Monitor Capital Markets, we also
have a Data Protection Officer who in his role will work for compliance with the rules. If you would
like information about what personal data is processed about you by Monitor Capital Markets, you
can request this in writing by sending a letter to the address below. It is also to the address to use if
you have any questions or want to request correction of incorrect or misleading information:

Monitor Capital Markets

Att: GDPR

Box 5216

102 45 Stockholm

Contact us

If you are interested or want to know more about our services, you are welcome to contact us

contact