Legal Framework

Our Permits

Monitor Capital Markets i Sverige AB (559157-3570) is an affiliated agent of Mangold Fondkommission AB (556585-1267). 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).

Mangold Fondkommission AB is under the supervision of Sweden’s financial supervisory authority (Finansinspektionen) and possesses the following licenses:

  • 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)
  • Trading in financial instruments for one’s own account (VML 2: 1 p. 3)
  • Discretionary investment management concerning financial instruments (VML 2:1 p.4)
  • Investment advice to customers regarding financial instruments (VML 2: 1 p.5)
  • The underwriting of financial instruments and the placing of financial instruments on a firm commitment basis (VML 2: 1 p.6)
  • The placing of financial instruments without a firm commitment basis (VML 2:1 p.7)
  • Keeping financial instruments on behalf of clients and receiving funds with accountability. (VML 2: 2 p.1)
  • Giving clients credit, such that the client may carry out transactions in one or more financial instruments through the securities company (VML 2: 2 p.2)
  • Advice to companies on capital structure, corporate strategy and related matters and providing advice and performing services for mergers and acquisitions (VML 2: 2 p.3)
  • Providing services in connection with the underwriting of financial instruments (VML 2: 2 p.6)
  • Receiving client funds to facilitate securities operations (VML 2: 2 p.8)
  • Ancillary business activities as the Certified Adviser for the companies whose shares are admitted to trading on First North (VML 2: 3, first paragraph)
  • Insurance mediation as in accordance with the law on insurance mediation
  • Mangold Fondkommission AB has received authorisation from Sweden’s financial supervisory authority FSA (Finansinspektionen ) to conduct cross-border operations in accordance with MiFID (Markets in Financial Instruments Directive) in Norway, Finland, Denmark and Poland.
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 Please send your complaint to the following address:

Mangold Fondkommission AB

Att: Klagomålsansvarig

Box 55691

102 15 Stockholm

Should you wish to make 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.