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:
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.
In the Mexican market, StocktiX may offer its clients the following 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.
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.
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.
In order to protect the security of client funds, it is recommended that special attention be paid to the following points:
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:
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.
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:
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.
The client must fully understand that:
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.
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:
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.
StocktiX may charge fees relating to the services that the client chooses to use, including, among others:
Likewise, third-party brokers, clearing entities or custodian institutions may charge various fees, including, among others:
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.
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.
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: