Who we are

MONEX ASSET MANAGEMENT, INC.

Our access door to International markets

Incorporated in October 2008 with the objective of satisfying thoroughly and efficiently the international investment needs of our customers, Monex Asset Management, Inc.  was created to provide asset management services for its customers. These services are to be provided on an asset-based compensation.

Monex Asset Management Inc. is a wholly owned subsidiary of Monex Casa de Bolsa, S.A. de C.V., which in turn is part of Monex Grupo Financiero, a leading financial group in Mexico.

Organized as a Registered Investment Advisor under the Laws of the United States of America, Monex Asset Management, Inc. is regulated by the corresponding US authorities.

Monex Asset Management Inc. offers its customers a wide variety of financial products and services aimed at satisfying their investment needs.

The offices of Monex Asset Management Inc. are located in the following address:

Monex Asset Management, Inc.
440 Louisiana Street Suite 1500
Houston TX, 77002
U. S. A.

 Reg SP

Dear Investor:

For your safety and peace of mind, we want to assure you of our commitment to confidentiality, given that Monex Asset Management, Inc., 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 Asset Management, Inc., does not receive any type of compensation from order flow nor from clients or institutions.

We would like you to know that Monex Asset Management, Inc., 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 Asset Management, Inc. has a Business continuity plan, which states that in case of an emergency Monex Asset Management, Inc. will continue its operations from The Woodlands, TX, phone number 001 832 474 7710, dialing from Mexico. In case of a greater emergency Monex Asset Management, Inc. will move its operations temporarily to the offices of Monex Casa de Bolsa in Mexico City at Varsovia 36, 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/.

Margin Disclosure Statement

The Margin Disclosure Statement is intended to provide some basic facts about purchasing securities on margin and to alert you to the risks involved with trading securities in a margin account. Before trading stocks in a margin account, it is important to carefully review the Margin Agreement provided by your financial organization or its clearing firm, Pershing LLC ("Pershing"), and to consult with your financial organization regarding any questions or concerns you may have regarding margin accounts. When you purchase securities, you have the option of paying for them in full or borrowing part of the purchase price from Pershing. If you choose to borrow funds from Pershing, you will need to open a margin account with Pershing through your financial organization. The securities purchased are used as collateral for the loan that was made to you. If the securities in your brokerage account decline in value, so does the value of the collateral supporting your loan. As a result, your financial organization or Pershing can take action. For instance, your financial organization or Pershing can issue a margin call and/or sell securities or liquidate other assets in any of your brokerage accounts held with your financial organization or Pershing, in order to maintain the required equity in the margin account. It is important that you fully understand the risks involved in trading securities on margin. These risks include the following:

You can lose more funds than you deposit in the margin account. A decline in the value of securities that are purchased on margin may require you to provide additional funds to Pershing to avoid the forced sale of those securities or other securities or assets in your account(s).

Your financial organization or Pershing can force the sale of securities or other assets in your account(s). If the equity in your account falls below Pershing's maintenance margin requirements or your financial organization's higher "house" requirements, your financial organization or Pershing can sell the securities or other assets in any of your accounts to cover the margin deficiency. You also will be responsible for any shortfall in the account after such a sale.

Your financial organization or Pershing can sell your securities or other assets without contacting you. Some investors mistakenly believe that a financial organization must contact them for a margin call to be valid, and that the financial organization cannot liquidate securities or other assets in their accounts to meet the call unless the financial organization has contacted them first. This is not the case. Most financial organizations will attempt to notify their clients of margin calls, but they are not required to do so. However, even if a financial organization has contacted a client and provided a specific date by which the client can meet a margin call, the financial organization can still take necessary steps to protect its financial interests, including immediately selling the securities without notice to the client.

You are not entitled to choose which securities or other assets in your brokerage account(s) are liquidated or sold to meet a margin call. Because the securities are collateral for the margin loan, your financial organization or Pershing has the right to decide which security to sell in order to protect its interests.

Your financial organization or Pershing can increase its "house" maintenance margin requirements at any time and is not required to provide you with advance written notice. These changes in firm policy often take effect immediately and may result in the issuance of a maintenance margin call. Your failure to satisfy the call may cause your financial organization or Pershing to liquidate or sell securities in your brokerage account(s).

You are not entitled to an extension of time on a margin call. While an extension of time to meet margin requirements may be available to clients under certain conditions, a client does not have a right to the extension.

Please follow this link http://www.cboe.com/Resources/Intro.aspx

to obtain a copy of the Option Risk diclosure document provided by the Chicago Board of OPtions Exchange (CBOE)

1. What is the minimum term or investment horizon?
We ask for a minimum term of 6 months for any type of investment with Monex Asset Management, Inc. and that one contemplate a medium to long term investment horizon.

2. What is the minimum amount that can be invested?
In order to invest, a minimum amount of $100,000 USD or its equivalent in another currency is required.

3. How can I check my position and my balance on the Internet?
Please ask your sales representative for the password to the Internet so you may access your account, through www.netxclient.com

4. Is my investment secure?
Monex Asset Management, Inc. is a Member of SIPC. Securities in your account are protected up to $400,000 and $100,000 in cash. For details, please see www.sipc.org

This protection applies when a SIPC member fails financially and is unable to meet obligations to securities clients, but it does not protect against losses from the rise and fall in the market value of investments.

5. In what type of instruments and markets can I invest?
We offer a wide variety of instruments depending on your investment profile and we have access to the most important world markets:

- Debt Market
- Eurobonds
- American Treasury Bonds (T-Bills, T-Notes, T-Bonds)
- Government Agency Bonds
- Certificates of Deposit

- Capital Markets
- Listed Shares
- OTC Shares
- ETF’s (Exchange Trade Funds)

- Structured Products
- Notes linked to interest rates
- Notes linked to Shares
- Notes linked to Hedge Funds
- Notes linked to FX
- Notes linked to credits

- Investment Funds from the most important family of funds

For a detailed explanation of our investment alternatives please contact your sales representative.

6. What are the requirements and how can I get a checking account and a debit card?
To obtain a Master Card debit card from Pro Cash, a corresponding format must be filled out and a minimum amount of $25,000 cash or marginable securities or the combination of both is initially required at your Pershing account. There is no minimum amount required by Pershing to be maintain in the account, although Pershing reserves the right to request funds at their discretion.
You can obtain a checking account which in the case Monex Securities, Inc. is issued by Mellon Trust of New England N.A. and the fund are withdrawn directly from your investment account.
The only requirement is to fill out the corresponding application which normally takes about 30 days to process. The checking account has no cost; however the minimum amount for check writing is $100.00.
Please contact your account executive for more detailed information on these services.

7. What is and how does Reich and Tang Fund work?
Reich & Tang Money Market Fund is a money market fund in which the capital invested in Monex Asset Management, Inc. is automatically deposited. It has immediate access for withdrawal or deposit in any type of instrument.

8. Where is my investment?
Our custodian is Pershing LLC and is a member of The Bank of New York Securities Group and a subsidiary of The Bank of New York, who has equity capital of $ 8 billion and total assets of almost $90 billion.

Their Physical address is at:

One Pershing Plaza
Jersey City, NJ 07399
USA

9. Why aren’t the agreements in Spanish?
By SEC regulations, it is required that the agreements be signed in English. However, we do have a copy translated into Spanish which we can provide to you as reference.

10. Does Monex Asset Management, Inc. have offices in the United States? Where are they located? Can I visit their offices at any time?
The main offices of Monex Asset Management, Inc. are located in the Downtown area of Houston Texas at the following address:

440 Louisiana Street
Suite 1500
Houston TX, 77002
USA

We are available at any time should you want to come visit us