Disclosure

This document is made in Japanese and translated into English for reference purposes only. In the event of any discrepancy between the Japanese and English versions, the Japanese version shall prevail.

Disclosure of Name, etc. of Financial Instruments Intermediary Service Provider

In accordance with the Financial Instruments and Exchange Act, we hereby disclose the following matters to customers in advance.

[Trade Name of Financial Instruments Intermediary Service Provider]

Woodstock K.K.

Financial Instruments Intermediary Service Provider.

Registration Number: Kanto Local Finance Bureau Director (Financial Intermediary) No. 965

[Customer Complaint Consultation Desk]Please contact us through the inquiry form below.

Inquiry Form: https://www.woodstock.co/ja/contact

Email: support@woodstock.co

• Our company (Financial Instruments Intermediary Service Provider) does not have the authority to represent the Entrusting Financial Instruments Business Operator, etc.
• Our company (Financial Instruments Intermediary Service Provider) does not accept deposits of money or securities from customers in connection with its Financial Instruments Intermediary Business, regardless of the name or purpose under which such deposits are made.
• The Entrusting Financial Instruments Business Operators, etc. with which our company has entered into a delegation agreement are listed below. The Entrusting Financial Instruments Business Operator, etc. that will act as the counterparty to a customer's transaction will be notified when we provide information on the product or transaction.

[Entrusting Financial Instruments Business Operators]

AlpacaJapan Co., Ltd.

Financial Instruments Business Operator Registration Number:

Kanto Local Finance Bureau Director (Financial Instruments) No. 3024

Member Associations: Japan Securities Dealers Association, Investment Management Association of Japan

Fees and Expenses

For products involving foreign currency settlement, when exchanging Japanese yen and foreign currency, or when exchanging between different foreign currencies, the exchange rate shall be the rate determined by the Entrusting Financial Instruments Business Operator in accordance with movements in the foreign exchange market.

[Fees for Transactions with Alpaca Securities]

• Trading Fee: Free
• Foreign Exchange Fee: Free
• Foreign Securities Trading Account Opening Fee / Administration Fee: Free
• Withdrawal Fee: Free

Risks

• The principal of each product, etc. is not guaranteed, and may fall below the investment principal due primarily to price fluctuation risk, credit risk, limitations on the exercise of rights or contract cancellation, foreign exchange risk, liquidity risk, country risk, and other factors.
• Regarding risks related to U.S. stocks, please carefully read the Listed Securities Documents, etc. and the Pre-Contract Delivery Documents provided by the Entrusting Financial Instruments Business Operator.

Solicitation Policy

Our policy regarding investment solicitation and information provision is as follows.

1. In this Solicitation Policy, "investment solicitation and information provision" means the provision of information on products and services through our website, various social media platforms, email, and other means.
2. Our company does not recommend the purchase or sale of individual securities, nor does it engage in investment solicitation by telephone or visit by sales representatives.

3. Our company's solicitation and information provision shall be conducted based on the following policies.

   (1) We will endeavor to fully understand the customer's name, address, investment objectives, asset status, experience in securities investment, etc., and strive to provide investment solicitation and information provision that is suitable for the customer's intentions and circumstances.

   (2) Our company or our employees shall not engage in investment solicitation by telephone, visit, email, or any other method involving individualized contact with a specific customer, regardless of the time of day.

   (3) When conducting investment solicitation and information provision, we will endeavor to provide appropriate explanations and indications regarding product details, risk details, transaction-related costs, etc., so as not to cause misunderstanding, and strive to provide appropriate information so that customers can make informed decisions at their own responsibility.

4. Our company will endeavor to collect information and engage in self-development of officers and employees in order to provide appropriate information and smooth services, and will strive to support customers in order to provide services that satisfy our customers.
5. Our company will endeavor to establish and strengthen an internal control system to ensure compliance with and thorough implementation of the Financial Instruments and Exchange Act and other relevant laws and regulations.