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REG SP

Dear Investor:

For your safety and peace of mind, we want to assure you of our commitment to confidentiality, given that Monex Securities does not share nor distributes your personal information to anyone, except to the Institutions permitted by law or by your personal written request.

We also require the same confidentiality standards from the institutions we work hand in hand with. Access to your personal and financial information is limited to authorized personnel only and strictly prohibited to everyone else. We will continue this promise of confidentiality even after your account is inactive. We would like to remind you that Monex Securities Inc, does not receive any type of compensation from order flow nor from clients or institutions.

We would like you to know that Monex Securities utilizes effective and strong procedures to prevent and detect money laundering (Anti Money Laundering procedures), besides the different means of identification documents we ask each and every client in order to identify our customers correctly.

Monex Securities has a Business continuity plan, which states that in case of an emergency Monex Securities will continue its operations from The Woodlands, TX, phone number 001 832 474 7710, dialing from Mexico. In case of a greater emergency Monex Securities will move its operations temporarily to the offices of Monex Casa de Bolsa in Mexico City at Reforma 284, 15th floor, Mexico City, Mexico; phone number 52 55 5231 0126.

We remind you that you may obtain more information about the Securities Investor Protection Corporation (SIPC) by calling 001 202 371 8300 or visiting http://sipc.org/espanol/, besides information form our regulator Financial Industry Regulatory Authority (FINRA), by calling or visiting http://www.finra.org/index.htm.

For a copy of the company’s Privacy Policy please press here