Customer Notice

Important information for clients and partners of StocktiX.

I. Important Notice

The purpose of this document is to help the client understand the nature of StocktiX's services, the structure of the account services, the relationship with third-party brokers, clearing entities and custodians, the security of client funds, the scope of the investment advisory services, and other relevant aspects that should be taken into consideration.

StocktiX's principal role is to act as:

An investment advisory services institution.
A market research and analysis institution.
An account-opening support institution.
A client relationship management and service institution.

Client securities accounts, trade execution, fund transfers, asset custody, securities clearing and settlement, account statements and related tax documents must be handled by third-party brokers, clearing entities or custodian institutions duly regulated in the United States.

II. Scope of StocktiX's Services

In the Mexican market, StocktiX may offer its clients the following services:

Research and analysis of global capital markets.
Asset allocation recommendations covering U.S. equities, ETFs and other international markets.
Studies relating to artificial intelligence, semiconductors, energy, healthcare, financial services and emerging markets.
Assistance with the investment account opening process.
Explanation of and guidance on investment strategies.
Market trend analysis.
Recommendations for risk management and control.
Financial education for investors.
Services for high-net-worth clients.
Research and guidance on capital markets opportunities, including IPOs, SPOs, RTOs and similar transactions.
Support with actively managed ETF strategies and long-term wealth management services.

StocktiX provides investment advisory services, market research, account-opening assistance and client support. It does not directly hold client funds in custody, nor does it maintain client assets or securities under its direct control.

III. Provisions Relating to Account Services

The opening of securities accounts, approval processes, trading permissions, access to financial products, fund transfers, asset custody, trade clearing and settlement, as well as client account statements, shall be subject to the official rules and system records of the third-party brokers, clearing entities or custodian institutions.

These external institutions may include, among others, Apex Clearing Corporation or other clearing and custody entities that comply with United States regulatory requirements.

According to the official information of Apex Clearing Corporation, the entity is registered as a broker-dealer with the SEC and is a member of FINRA and SIPC. Clients may also consult the corresponding registration and supervisory information through FINRA's BrokerCheck.

Client accounts generally operate under the logic of a cash account. When trading securities, clients must pay attention to their account's cash balance, available funds, settled funds, operational restrictions, product permissions and the rules established by the relevant external institutions.

If an external institution offers the client, within the applicable regulatory framework, financing facilities, lending services, cash management or other supplementary account functions, such services shall be subject to the approval of the relevant institution, as well as to its terms of service, fee structure, interest rate conditions and risk disclosures.

StocktiX does not act as a lending entity, does not grant loans directly to clients, does not determine whether a client may access financial facilities offered by third parties, and is likewise not responsible for the approval, interest calculation, collection or enforcement of such financial services.

IV. Custody of Client Funds and Securities Assets

Cash balances, shares, ETFs and other securities belonging to the client are not held, kept in custody, cleared or settled directly by StocktiX.

The client's cash balances, securities positions, trade records, deposits, withdrawals, clearing records, account statements and tax documents shall be subject to the system records and official documentation issued by the third-party brokers, clearing entities or custodian institutions. The client must periodically review the account information provided by such institutions. Should the client detect any anomaly relating to the account, the funds, the transactions carried out or the identification data, the client must promptly contact the relevant institution through its official channels or contact the StocktiX client service team.

V. Security Notice Regarding Client Funds

In order to protect the security of client funds, it is recommended that special attention be paid to the following points:

Funds intended for investment must be deposited into a regulated securities account held in the client's own name or into a custody account administered by authorized third parties.
The client must not transfer investment capital to the personal accounts of employees, advisors, sales representatives, client service personnel, agents or any other person associated with StocktiX.
The client must not send funds to personal bank cards, private wallets, unofficial collection accounts or third-party accounts whose authenticity has not been verified.
All deposits, withdrawals, purchases and sales of securities, fund transfers, and clearing and settlement processes must be carried out through the official channels of the third-party brokers, clearing entities or custodian institutions.
StocktiX does not receive investment capital from clients through personal accounts.
If the client receives instructions to transfer funds to a personal account, promises of guaranteed returns, requests for private investment management, or transfer instructions that do not originate from official channels, the client must immediately suspend any transaction and verify the information through StocktiX's official channels.

VI. Information Regarding Third-Party Account Documentation

When opening a securities account or using services related to it, the client may need to read and accept various documents provided by third-party institutions, including, among others:

Description of the account services.
Information on clearing and asset custody.
Trading rules and conditions.
Rules applicable to cash accounts
Information on financial services or funding facilities associated with the account.
Privacy policy.
Information on commissions and charges.

Account approvals, trading permissions, access to financial products, applicable fees, fund settlement periods, the terms of financial services, the rules for deposits and withdrawals, as well as any account restrictions, shall be subject to the official documentation and system records of the relevant third-party institution.

StocktiX may assist the client in understanding the account opening process and the related documentation; however, it does not replace the third-party institutions in the approval of accounts, the authorization of trading permissions, the approval of financial services, the custody of assets, or the clearing and settlement processes.

VII. Description of the Investment Advisory Services

StocktiX may provide investment advisory and market research services based on the client's investment objectives, the size of the client's assets, the client's experience as an investor, risk tolerance, liquidity needs and account status.

These services may include, among others:

Market trend analysis.
Sector research.
Analysis of stocks and ETFs.
Investment portfolio recommendations.
Asset allocation suggestions.
Risk management recommendations.
Guidance for long-term wealth management.
Specialized services for high-net-worth clients.
Research on capital markets opportunities.

The market opinions, investment recommendations, research materials, strategy explanations and illustrative cases provided by StocktiX are for informational and reference purposes only.

The decision to buy, sell, hold, increase or reduce positions, deposit or withdraw funds, use financial services offered by third parties, or participate in any investment opportunity must be made independently by the client, taking into account the client's financial situation and particular circumstances.

VIII. Notice of No Guarantee of Returns

The client must fully understand that:

StocktiX does not guarantee that the client will obtain profits.
StocktiX does not guarantee that the client will receive allocations in IPOs, SPOs, RTOs or other capital markets opportunities.
StocktiX does not guarantee that any stock, ETF, fund or investment portfolio will increase in value in the future.
Historical results, simulated returns, backtests, illustrative cases and market opinions do not constitute a guarantee or an indication of future performance.

Securities markets are subject to price fluctuations. As a result, the client may obtain gains, but may also suffer partial losses or even the total loss of the invested capital.

IX. Information Regarding Client Suitability

In order to provide appropriate investment advisory services, account-opening assistance and support with regulatory compliance processes, the client may be asked to provide the following information:

Personal identification data.
Contact information.
Investment experience.
Level of risk tolerance.
Investment objectives.

If the client refuses to provide this information, if the information provided is incomplete, cannot be verified, or does not pass the regulatory compliance review processes, StocktiX or the relevant external institutions may be unable to continue providing the related services.

X. Information Regarding Commissions and Charges

StocktiX may charge fees relating to the services that the client chooses to use, including, among others:

Fees for investment advisory services.
Fees for asset allocation consulting.
VIP service fees.
SVIP service fees.
Fees for investment strategy services.
Fees for research and analysis services.
Consulting fees for specific projects.
Fees for exclusive services for high-net-worth clients.

Likewise, third-party brokers, clearing entities or custodian institutions may charge various fees, including, among others:

Commissions on purchase and sale transactions.
Platform fees.
Clearing and settlement charges.
Account maintenance fees.
Fees relating to options contracts.
ADR charges
Fund transfer fees.
Expenses associated with tax processing.
Costs relating to financial services or funding facilities.
Applicable interest.
Other charges established by third parties.

Before using any service, the client must carefully read the information on fees and commissions provided both by StocktiX and by the relevant external institutions.

XI. Notice Regarding Conflicts of Interest

StocktiX may maintain business relationships with broker-dealers, clearing entities, custodian institutions, fund managers, issuers, research entities, technology service providers or other business partners.

Within the framework permitted by applicable laws and regulations, StocktiX may receive economic income, such as service fees, advisory commissions, referral fees, collaboration benefits or other types of financial compensation, as a result of the client's use of certain services or products or participation in related projects.

To the extent required by applicable laws and regulations, StocktiX will make the necessary disclosures regarding any material conflicts of interest that may exist.

XII. Reading Notice for the Client

Before proceeding with the account opening, the submission of documentation, the deposit of funds or the acceptance of services, the client must understand the following:

StocktiX is an investment advisory services entity; it is not a broker-dealer, trading platform, clearing entity or custodian of funds.
The client's funds and securities assets are held in custody, cleared and settled by third-party brokers, clearing entities or custodian institutions.
The functions of the client's account, product permissions, fund services and fee structure shall be subject to the approval and official documentation of the relevant third-party institutions.
The client must not transfer investment capital to personal accounts or to unofficial accounts under any circumstances.
All investments involve risks and may result in losses of the invested capital.
StocktiX does not guarantee the preservation of capital, does not promise fixed returns and does not assure any investment result.
The client must make investment decisions based on the client's own judgment and fully assume the corresponding risks.