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Corporate Governance

Arcano Valores     |      Arcano Capital

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Arcano Valores

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Documentation governing body

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Corporate governance and remuneration policy documentation

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Control bodies

It is responsible for the application of the procedures established for the prevention of money laundering and the financing of terrorism. The OCI is made up of a representative before SEPBLAC at group level and one or two authorised representatives for each regulated entity of the Arcano Partners Group, depending on its corporate purpose. The OCI also reports hierarchically and functionally to the management body of each of the Group companies and meets at least quarterly on an ordinary basis and extraordinarily whenever necessary.

Arcano Valores AV, S.A.U. has an Internal Code of Conduct (IRC) Monitoring Body whose main objective is to ensure compliance with the IRC, reporting quarterly to the Board of Directors. The Internal Code of Conduct Monitoring Body is a single-person body headed by the Director of Legal and Regulatory Compliance.

Arcano Valores AV, S.A.U. has a Regulatory Compliance Department and a Risk Management Unit, functions delegated to Arcano Asesores Financieros, S.L., parent company of the Arcano Partners Group.

It also has an Internal Audit Unit, a function delegated to JMS Innovación y Gestión Financiera, S.L.

Finally, it has Deloitte, S.L. as auditor of financial accounts and external expert in the prevention of money laundering and financing of terrorism.

The Arcano Partners Group has a Criminal Risk Prevention and Control Body whose main objective is to carry out the periodic supervision of the risk prevention and control systems established by the Arcano Partners Group, so that the main risks are identified, managed and made known internally in an appropriate manner to prevent them. The Criminal Risk Prevention and Control Body is made up of the Chief Operating Officer, the Legal and Compliance Director and the Human Resources Director.

Arcano has a conflict of interest management policy with the objective of identifying, recording, managing and, when they cannot be avoided, disclosing to its clients any possible conflict of interest situations that may be detrimental to them.

GOBIERNO CORPORATIVO- ARCANO VALORES- ATENCIÓN AL CLIENTE

Client servicing

Arcano Valores AV S.A.U., with registered office at Calle de José Ortega y Gasset nº 29, fourth floor, 28006 Madrid, is registered in the Mercantile Register of Madrid in Volume 27,636, Book 0, Folio 48, Section 8, Page M-498029, with Tax Identification Code A-85928034 and registered with the National Securities Market Commission (CNMV) under number 243.

In accordance with the regulations contemplated in Law 44/2002, of 22 November, RD 303/2004, of 20 February, and Order ECO/734/2004, of 11 March, Arcano Valores A.V., S.A.U. places at the disposal of its clients a Customer Service Department (hereinafter "SAC") which is responsible for attending to and resolving complaints and claims presented by its clients, in relation to their legally recognised interests and rights.

The customers of Arcano Valores A.V., S.A.U. have at their disposal a Customer Defence Regulation that regulates the internal rules and the functioning of the CCS, as well as the procedure for processing and resolving the complaints and claims presented by the customers.

To make their complaints or claims, they should address themselves:

In the first instance, to the head of the CCS of Arcano Valores A.V., S.A.U.:

D. Ignacio Pombo
Calle de José Ortega y Gasset, 29 - 4º
28006 Madrid
[email protected]

The file of your complaint must be resolved within a maximum period of two months from its submission to the Customer Service Department. If, after this time, your case has not been resolved or you are dissatisfied with the final decision, you may then contact the Commissioner for the Defence of Financial Services Customers of the CNMV.

Investor Service Office - Complaints Service
C/ Edison 4, 28006 Madrid
Tel.: 902 149 200

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Arcano Capital

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Corporate governance and remuneration policy documentation

Asset Publisher

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Control and governance bodies

Arcano Capital SGIIC, S.A.U. has an Internal Code of Conduct (IRC) Monitoring Body whose main objective is to ensure compliance with the IRC, reporting quarterly to the Board of Directors. The Internal Code of Conduct Monitoring Body is a single-person body, the position of which is held by the Director of Legal and Regulatory Compliance.

Arcano Capital SGIIC, S.A.U. has a Regulatory Compliance Department and a Risk Management Unit, functions delegated to Arcano Asesores Financieros, S.L., parent company of the Arcano Partners Group.

It also has an Internal Audit Unit, a function delegated to JMS Innovación y Gestión Financiera, S.L.

Finally, it has Deloitte, S.L. as auditor of financial accounts and external expert in the prevention of money laundering and financing of terrorism.

In this regard, the Arcano Partners Group has an Internal Control Body (ICB), which is responsible for the application of the procedures established for the prevention of money laundering and the financing of terrorism. The ICB is made up of a representative before SEPBLAC at group level and one or two authorised representatives for each regulated entity in the Arcano Partners Group, depending on its corporate purpose. The OCI also reports hierarchically and functionally to the management body of each of the Group companies and meets at least quarterly on an ordinary basis and extraordinarily whenever necessary.

The Criminal Risk Prevention and Control Body is made up of the Chief Operating Officer, the Regulatory Compliance Director and the Human Resources Director. Its main functions are to participate in the process of drawing up the organisation and criminal risk management models and to monitor the internal control and audit systems associated with them.

The operations and administration unit of Arcano Capital SGIIC, SAU is responsible for the administration of the portfolios and CIIs advised and managed and is entrusted to the Operations Department of the Arcano Partners Group.

The functions of the Operations Department, among others, are:

Administration and Control of the portfolios and CIIs advised and managed:

Registration and accounting of operations

Treasury management of the portfolios

Invoicing, collection and accounting of commissions

Filing of documentation

Reporting to Official Bodies

Reconciliation of securities

Management of client suspense accounts

Relationship with auditors.

Relationship with custodians.

Custody of the units or shares of the CIIs in the portfolio advised and managed.

Reporting to clients.

With regard to administrative and accounting criteria on the rules for recording, valuation and/or provision of information, the Entity is based on compliance with the regulatory framework for financial information in force, using, where appropriate, third party experts in this area.

At least once a year, Arcano Capital SGIIC, S.A.U. convenes a Meeting of Unitholders for its managed venture capital funds, at which the decisions attributed in the regulations of the venture capital funds are taken.

At least annually, Arcano Capital SGIIC, S.A.U. convenes a Supervisory Committee for its managed venture capital funds, where specific issues are discussed in accordance with the provisions of the venture capital fund regulations.

There is an Investment Committee for the venture capital funds and companies managed, which is responsible for the management and monitoring of investments.

GOBIERNO CORPORATIVO- ARCANO CAPITAL- ATENCIÓN AL CLIENTE

Client servicing

Arcano Capital SGIIC, S.A.U., with registered office at Calle de José Ortega y Gasset nº 29, fourth floor, 28006 Madrid, is registered in the Mercantile Registry of Madrid in Volume 28.213, Book 0, Folio 7, Section 8, Page M-396.460, with Tax Identification Number A-84561919 and registered with the National Securities Market Commission (CNMV) under number 240.

In accordance with the provisions of Order ECO 734/2004, of 11 March, on customer service departments and services and the customer ombudsman of financial institutions, which implements chapter V of Law 44/2002, of 22 November, and of Law 24/1988, of 28 July, on the Securities Market and its implementing regulations, and in its capacity as a management company of collective investment institutions, Arcano Capital SGIIC, S. A.U. offers its clients a Customer Care Service (hereinafter "CCS") to deal with and resolve complaints and claims submitted by its clients in relation to their legally recognised interests and rights.

Arcano Capital SGIIC, S.A.U.'s clients have at their disposal a set of Regulations for the Defence of Clients (SAC), which regulates the internal rules and functioning of the SAC, as well as the procedure for processing and resolving the complaints and claims submitted by clients.

In order to make their complaints or claims, they should address, in the first instance, the holder of the CCS of Arcano Capital SGIIC, S.A.U.:

D. Ignacio Pombo
Calle de José Ortega y Gasset, 29 - 4º
28006 Madrid
[email protected]

The file of your complaint must be resolved within a maximum period of two months from its submission to the Customer Service Department. If, after this time, your case has not been resolved or you are dissatisfied with the final decision, you may then contact the Commissioner for the Defence of Financial Services Customers of the CNMV:

Investor Service Office - Complaints Service
C/ Edison,4 28006 Madrid
Tel.: 902 149 200