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Alpaca Securities is focused on providing APIs for trading and investment management. It has two major offerings:

• Broker API for Fintech Innovators: This API enables financial technology companies to embed U.S. stock trading capabilities into their own platforms. It supports novel investment experiences that were previously unattainable, allowing purchases from as little as 1,000 yen.

• Trading API for Investors: Under development, this API is tailored for individual investors to create automated trading systems for U.S. stocks, emphasizing high performance.

Key Operational Policies and Information:

• Data and Intellectual Property: All contents and data on Alpaca’s platforms are subject to copyright and other intellectual property rights, and users must not use the information beyond the scope explicitly permitted.

• Security and Compliance: The firm implements various security protocols to safeguard customer data and transaction integrity. These include monitoring for unauthorized logins, prevention of DDoS attacks, and firewalls.

• Risk Management: There is a clear focus on alerting users to the inherent risks of financial trading, especially concerning U.S. stock market fluctuations, foreign exchange rate changes, and political or economic instability affecting market operations.

• Privacy and Data Usage: Alpaca’s privacy policy outlines the handling of personal data in compliance with relevant laws, offering transparency and control to users over their personal information.

• Customer-First Approach: The company's policies prioritize transparency and align with best practices in customer service, including clear communication on fee structures, potential conflicts of interest, and comprehensive information provision to aid informed investment decisions.

Security and Fraud Prevention:

• Fraud Awareness: Users are advised on identifying and avoiding fraudulent solicitations, such as phishing scams and unsolicited financial offers.

• Password Management: Emphasis is placed on the use of secure passwords and caution against password reuse across different services, given the risks of unauthorized account access.

Feedback and Dispute Resolution:

• Customer feedback and grievances can be submitted through designated channels, ensuring that issues, including account closure requests, are processed efficiently.

• For any disputes, external recourse is available through the FINMAC to handle securities and financial complaints in a fair manner.

Ethical Standards:

• Code of Ethics: Employees are expected to adhere to guidelines prioritizing the interests of clients and maintaining professional integrity. This includes barring the use of inside information for personal gain.

• Antisocial Policy: Alpaca is committed to complete dissociation from antisocial forces and maintains protocols to refuse any demands from such entities.

Corporate Responsibility:

• The company actively participates in corporate social responsibility initiatives, aligning its operations with societal well-being and sustainable practices.

Overall, Alpaca emphasizes security, customer-centric policies, and adherence to legal and ethical standards in its operations and services.