Legal Disclosures

The Regulation on Measures Concerning the Prevention of Laundering Proceeds of Crime and Financing of Terrorism, prepared based on Article 27 of the Law No. 5549 on the Prevention of Laundering Proceeds of Crime (Law), was published in the Official Gazette dated 09.01.2008 and entered into force as of 01.04.2008.

According to the regulation; In business relationships that have an element of continuity in nature and are established due to services such as opening an account, issuing a loan or credit card, safe deposit box, financing, factoring, financial leasing, it is mandatory to identify customers and those acting on behalf of the customer by obtaining identity information regardless of the amount and confirming the accuracy of this information.

Apart from this, although it does not constitute a permanent business relationship;

1. When the transaction amount or the total amount of more than one interconnected transaction is one hundred eighty five thousand TL or more,
2. In electronic transfers, when the transaction amount or the total amount of more than one interconnected transaction is fifteen thousand TL or more,
3. In transactions related to life insurance contracts, when the total premium amount to be paid within a year is ten thousand TL or a single premium and the premium amount is twenty-five thousand TL or more,
4. Regardless of the amount, in cases requiring suspicious transaction reporting,
5. Regardless of the amount, when there is doubt about the adequacy and accuracy of previously obtained customer identification information,

It is mandatory to identify its customers and those acting on behalf of or on behalf of its customers by obtaining identity information and confirming the accuracy of this information.

Persons requesting a transaction must declare this before making the transaction if they are making the transaction on someone else's account. Upon this declaration, the identity and authorization status of the person requesting the transaction and the identity of the person on whose behalf the action is taken are determined in accordance with the provisions of Articles 6 to 14 of the Regulation.

In business relationships of continuity established with legal entities registered in the trade registry, the identity of real and legal person partners who have shares exceeding twenty-five percent of the legal entity is determined in accordance with Articles 6 and 7 of the Regulation.

Pursuant to Article 15 of the Law, a person who acts on his own behalf or on someone else's behalf in transactions requiring identification, unless he notifies in writing on whose account he is acting before carrying out these transactions, will be punished with imprisonment from six months to one year or a judicial fine of up to five thousand days*.

This announcement is made in accordance with Article 17 of the Regulation.

* The amount of the judicial fine for one day, which is at least twenty and at most one hundred Turkish Liras, is determined by taking into account the economic and other personal circumstances of the person. (TCK art.52/2)

If you think that your dispute has not been resolved partially and/or completely as a result of the answers and information provided by our institution, arising from your capital market activities other than Stock Exchange transactions, announced by the circular numbered 2016/891 and number 34 of the Turkish Capital Markets Association; You can apply to the Turkish Capital Markets Association Customer Disputes Arbitration Committee within sixty (60) days following the date on which our response is notified to you.

Detailed information on the subject is provided by the Union http://www.tspb.org.tr It is located on the website.

Arbitration committee application form buradan you can reach.

The reports, opinions and information on the website of PhillipCapital Menkul Değerler A.Ş. have been prepared for general information purposes. The prices, data and information contained herein cannot be guaranteed to be complete or accurate; content may change without notice. All data courtesy of PhillipCapital Menkul Değerler A.Ş. taken from sources it considers to be reliable but has not been independently verified. PhillipCapital Menkul Değerler A.Ş. is responsible for any errors that may occur due to the use of this information. is not responsible. The information contained herein is not an investment recommendation, a recommendation to buy or sell an investment instrument, or a promise of return and cannot be considered within the scope of Investment Consultancy. Making an investment decision based on this information may not be suitable for your financial situation and risk and return preferences. Therefore, making an investment decision based solely on the information contained herein may not produce results that meet your expectations.

PhillipCapital Menkul Değerler A.Ş. It is a 'Widely Authorized Brokerage Institution'.

• Transaction Mediation,
• Portfolio Brokerage,
• Individual Portfolio Management,
• Investment Consultancy,
• Public Offering Intermediary Activities,
• Storage Service,

It has Authorization Certificates. (See. Authorization Certificates)

There is no organization on whose behalf PhillipCapital Menkul Değerler A.Ş. operates.

Warning: Before starting a transaction, check whether the institution you intend to work with is authorized for the capital market transactions you want to carry out. Banks and capital market intermediary institutions authorized for capital market transactions http://spk.gov.tr veya http://www.tspb.org.tr You can learn from their websites.

• A.B.C.D Trading Rules Risk Notification Form
• Investment Services and Activities General Risk Notification Form
• Risk Notification Form for Leveraged Trading Transactions
• Pre-Market Trading Platform Risk Disclosure Form
• Derivative Instruments Risk Notification Form
• Risk Notification Form Regarding Warrants
• Foreign Derivative Instruments Risk Notification Form

Terms of Use

In order to fulfill its "Customer Recognition" obligations in accordance with the relevant provisions of the capital markets legislation and to ensure the security of the investor's transactions, the investor accepts that the Company may request information/documents from him and that he is obliged to provide the requested information/documents as true, accurate and up-to-date. The investor agrees that he will share information such as profession, income, and risk preference with the Company when necessary, in order to protect himself from risks in the transactions he will carry out in the capital market, and that he will inform the Company of any changes in his information in order to keep all this information up-to-date. The investor must declare in writing to PhillipCapital Menkul Değerler A.Ş. that he is acting on his own behalf or, if he is acting on behalf of other persons, that he is acting on behalf of other persons.

The company undertakes not to share investor information with third parties or institutions without the investor's permission, except in cases of legal obligation. The Company may request confirmation of investor information in order to ensure the security of the investor's account and/or to fulfill the technical minimum requirements for the execution of transactions. The Institution's policy and information text on KVKK Personal Data Protection is detailed under Announcements.

Storage Conditions

Necessary technological measures are used in our institution's information systems in order to record all circulation of investor information and prevent unauthorized access. In addition, all investor data is backed up and stored securely at regular intervals.

All customer information is stored in a secure database that only authorized persons have access to. All customer contracts and documents are stored in secure environments only by corporate employees who have access authority.

At PhillipCapital Menkul Değerler A.Ş., order transmission is carried out via phone, in person in our session rooms or electronically (Internet Branch, MobilG, MobileTR, Matriks, Forinvest, Ideal, Fintables). PhillipCapital Menkul Değerler A.Ş. It records these orders according to the consecutive sequence number and time priority. Customer orders recorded in this way are forwarded to the Exchange for execution. The customer is obliged to keep the required minimum collateral stipulated by the CMB in his account against the open clearing position that will occur at a certain time. The securities requested to be sold must also be in the customer's investment account. If not, the Customer declares in writing that he will transfer these securities to his account at PhillipCapital Menkul Değerler A.Ş. until the settlement date.

PhillipCapital Menkul Değerler A.Ş. Voice recordings of customer orders received by phone, instructions for orders received via fax, and a batch list containing the date and time information of all orders transmitted by fax during the day reached the brokerage firm, IP (Internet Protocol) number records of customers who transmitted the order on a date, time and customer basis for orders received over the internet, necessary electronic log records to show the source of the order for orders received electronically in other ways, regardless of what they are, should be kept by the brokerage firms receiving the order, and the data kept electronically can be converted into written form when necessary. It keeps all documents and records related to buying and selling transactions as specified in the CMB document registration communiqué, provided that they are in the form. Among the documents and records that need to be kept, those that are in dispute must be kept until the dispute is resolved, regardless of the period specified above.

At PhillipCapital, order transmission is carried out via phone, in person in our session rooms or electronically (Internet Branch, MobilG, MobileTR, Matriks, Forinvest, Ideal, Fintables).

Voice recordings of customer orders received by PhillipCapital over the phone, instructions for orders received via fax, and a batch list containing the date and time information of all orders transmitted by fax during the day reached the brokerage firm, IP (Internet Protocol) number records of customers who transmitted the order on a date, time and customer basis for orders received over the internet, necessary electronic log records to show the source of the order for orders received electronically in other ways, regardless of what they are, should be kept by the brokerage firms receiving the order, and the data kept electronically should be kept in written form when necessary. All documents and records related to buying and selling transactions must be kept for 5 years, provided that they are in a form that can be converted into a transaction.

Among the documents and records that need to be kept, those that are in dispute must be kept until the dispute is resolved, regardless of the period specified above.

Buying and selling transactions of Foreign Futures Transactions are transmitted to customers through the trading platform allocated to them.

Order transmission, clearing and liquidation processes for all capital market instruments are carried out in accordance with the rules specified in the relevant legislation and company policies.

You can access detailed information regarding PhillipCapital Menkul Değerler A.Ş.'s order and instruction acceptance, order execution policies and special situations in the purchase and sale of capital market instruments from the link below.

Order Execution Policy buradan you can reach.

Information regarding instant purchase and sale price offers for capital market instruments that are not traded on the stock exchange, excluding derivative instruments created one-on-one with the customer in line with the needs and demands of any customer, is available on the relevant pages.

Within the scope of Foreign Derivative Transactions; Prices received through Phillip Futures Pte LTD are reflected to our investors through the CQG trading platform operating on the on-line system, and transactions are carried out based on instant organized stock market prices.

Your accounts are kept with the Company and these positions you have taken are not shared with other institutions within the framework of customer confidentiality. Investor information remains completely confidential.

Since the Company's income from Futures transactions is independent of the profit or loss of our investors, there is no conflict of interest between the Company and investors due to the position taken.

PhillipCapital Menkul Değerler A.Ş. Records regarding customer transactions and orders carried out by our customers in BIST and VIOP can be followed electronically by our customers 24 hours a day, 7 days a week, through our internet branch (Internet Branch, MobilG, MobileTR, Matriks, Forinvest, Ideal, Fintables). In addition, account statements and transaction records are sent monthly via mail and e-mail, in line with our customer's preference.

PhillipCapital will provide monthly and daily notifications to its customers regarding leveraged trading transactions.

PhillipCapital will provide daily notifications to customers within the first business day following the day of each transaction, including information on all positions taken in the previous day. In PhillipCapital's monthly statements; It will include in a clear and understandable manner information regarding date, time, price and quantity information regarding all positions taken within the relevant period, exact profit and loss amounts regarding closed positions, potential profit and loss amounts regarding open positions, all movements regarding cash, securities and other assets held at PhillipCapital, all kinds of commissions, fees and taxes accrued to the account and collateral status.

This information is available in the links below.

• Equity Market
• Borsa Istanbul Derivatives Market
• Global Futures
• Global Equity Trading
• Individual Portfolio Management
• Corporate Finance

The legislative provisions stated in the second paragraph of Article 31 of the Investment Institutions Communiqué, which professional customers cannot benefit from, are listed below:

• It is not mandatory to obtain an agreement regarding the assets in custody, provided that written approval is obtained: According to the first paragraph of Article 68 of the Investment Services Communiqué, titled "Reconciliation between the customer and the custodian institution", it is mandatory for the customers to whom custody services are provided and the unit or staff responsible for internal control of the investment institution authorized to hold custody to reach an agreement in writing or electronically, at least once every calendar year, regarding the capital market instruments and cash belonging to the customer. In accordance with the second paragraph of the same article, if written approval is obtained from professional customers, it is not mandatory to make the agreement in the first paragraph.
• Provided that a contract is made, monthly notifications regarding the balance of assets in custody accounts are not required: According to the first paragraph of Article 69 of the Investment Services Communiqué, titled "Notification regarding customer assets", it is essential that the investment institution authorized to keep the customers shall notify them at least once a month regarding the capital market instruments and cash belonging to the customers, within the framework of the principles set out in the documentation and recording regulations of the Board, and it is possible to sign an agreement with professional customers regarding non-notification or to include this issue in the framework agreement.
• Compatibility testing is not mandatory: According to the first paragraph of Article 33 of the Investment Institutions Communiqué titled "suitability test", investment firms are required to conduct suitability tests only for general customers within the scope of trading intermediation and public offering intermediary activities.
• In the suitability test, it is sufficient to obtain information about the investment period and risk and return preferences regarding the investment objectives: Regarding professional customers, except for those accepted on a demand basis in accordance with the fourth paragraph of Article 40 titled "suitability test" of the Investment Services Communiqué; Regarding whether the customer's financial situation is sufficient to cover the risks of the investment; income level and investment assets – Regarding whether the customer has the knowledge and experience to understand the risks related to the transactions to be carried out in his portfolio or account; It is not mandatory to obtain information about the customer's age and profession, educational status, whether he is a general or professional customer, capital market instruments that have been the subject of transactions he has carried out in the past, and the type, nature, volume and frequency of the transactions in question (information contained in subparagraphs (b) and (c) of the second paragraph of the relevant article).
• Additional risk notifications other than the general risk notification form are disclosed upon request: In accordance with the second paragraph of the 25th article of the Communiqué on Investment Institutions, titled "Obligation to notify the customer about the risks", before providing services to general customers within the scope of trading intermediary activity, investment institutions are obliged to explain the risks of the capital market instruments subject to the transaction to the customer as stated in the third paragraph, in addition to the general risk notification made in accordance with the first paragraph, and obtain a written statement that the explanations have been read and understood by the customer. In the seventh paragraph of the same article, it is stipulated that the investment firm is obliged to make the disclosures within the scope of the second and third paragraphs if requested by professional customers.
• It may suffer more losses than its collateral due to market conditions: In accordance with the 1st paragraph of Article 19 of the Communiqué No. Series: III-37.1, Professional Customers and, upon written request, Demand-Based Professional Customers may be subject to transactions that will cause them to lose more than the collateral amount deposited in relation to leveraged transactions, and if these customers suffer more losses than their collateral due to market conditions, the said loss may be claimed from the customers.
• An executed leveraged trading order can be canceled: In accordance with the first paragraph of Article 29 of the Communiqué No. Series: III-37.1, if the orders received from Professional Customers are automatically transmitted to another institution through a system created without any intervention, the leveraged trading order of the customer may be canceled if the position of the brokerage firm in question is canceled by the counterparty.
• Report and/or statement may not be sent: In accordance with the 3rd paragraph of Article 17 of the Communiqué No. Series: III-45.1, reports and/or statements may not be sent to professional customers with whom an exclusive agreement has been signed not to send account statements and reports or where this issue is included in the framework agreement.

Our internet branch, offered to customers by PhillipCapital, has taken the necessary precautions against possible risks.

Our site; It is protected by SSL certificate. SSL stands for Secure Sockets Layer. SSL is the process of encrypting data during communication between the server and the receiver.

• Provides security and confidentiality while encoding and decrypting incoming data
• It ensures that the sender and receiver of data are in the right places.
• Makes it easier to create document archives
• Verifies the date and time of transmitted documents

PhillipCapital simultaneously transfers all information on the Electronic Trading Platform that it runs on its own servers to servers located elsewhere. In case of any interruption in the main server operation, operations will continue through the backup server. In addition to this backup, daily offline backups are also made to recover data. By implementing multiple security layers and intrusion prevention systems, system and data partitioning, administrative session, control and recording applications, the use of the electronic transaction platform by third parties without customer consent is prevented. In addition, there is technological equipment and control that ensures the necessary information security to prevent data communication between the electronic transaction platform and the customer from being intercepted or interrupted by unauthorized persons or data exchanges.

Telephone will be used as an alternative means of communication with the customer against possible risks. Customers will have the opportunity to contact PhillipCapital contact number (0212 239 10 00) 24 hours a day, 5 days a week, for any technical support or possible problems. To the Emergency Plan buradan you can reach.

What Do We Do?

https://sube.phillip.com.tr password process;

SSL certificate is used for customer information security at internet branch logins. Additionally, for security reasons, when logging into the system, in addition to the customer account number, the password and then the OTP code sent via SMS or generated via PhillipCapital Pass are asked.

CQG password process;

The password must be at least 6 characters long and consist of numbers only.

What Should You Do?

Please remember that, in addition to our applications, the points you need to pay attention to play an important role in ensuring your safety:

• Be careful about the emails you receive.
• When you want to use Internet Branch, type https://phillipcapital.com.tr/ in the address bar of your browser.
• Keep your private information private both online and in real life.
• Protect your computer against viruses and similar programs.
• To prevent your personal information from being stolen, only use computers you trust.
• Make sure your web browsers are up to date.
• Do not share your user code and password with anyone.

CQG Trading Platform

Features of the trading platform used;

CQG application is the platform where customers connect with their special usernames and passwords and buy and sell Foreign Futures contracts. PhillipCapital Menkul Değerler A.Ş. It tracks customers' positions on this platform. Customers can access this platform with software they install on their computers, mobile phones or tablets.

Security measures of the trading platform used;

Customer passwords must have a minimum of 8 Alpha numeric characters (uppercase and lowercase letters and numbers). If an attempt is made to log in to the platform with incorrect information, the user account is locked.

Risks of the trading platform used;

Similar clustered servers are available regionally distributed for emergency recovery when the CQG data center is down. It is aimed to provide maximum service with redundant server architecture.

Alternative communication methods that can be used against risks that may occur on the CQG trading platform;

In cases where investors cannot access the platform for any reason, their orders are sent to the relevant exchange by phone.

Contact: 0212 239 10 11

The minimum system requirements for the application to work properly are stated below;

Hardware:

• Processor: minimum Intel Core i3, AMD Ryzen 3
• Memory: minimum 8 GB RAM
• Storage: minimum 30 GB free space

Software:

Windows 10, MacOS. Current web browser

• Occurrence of Extraordinary Market Conditions
• Explanations regarding which organizations are price providers and where they are located, and whether there is a direct or indirect shareholding relationship with these organizations.
• Ratio of rejected orders to all orders
• Deviations detected in the price and difference series created for each asset in accordance with our Board's regulations regarding investment services and activities
• Number of customer complaints and the ratio of these complaints according to the number of customers
• Proportional Distribution of Profit and Loss Accounts in Leveraged Trading Transactions

The information under the above headings has been prepared within the scope of the provisions of Article 28 of the Capital Markets Board's "Communiqué on the Establishment and Operation Principles of Investment Institutions" numbered III-39.1. Explanations of the relevant texts are available under the "Legal Disclosures" heading on the websites of PhillipCapital Menkul Değerler A.Ş.

You can forward the account closing instruction to us through your customer representative.

If you have balance in your account, you can make a transfer via internet branch or you must add your IBAN number to your order.

After your instruction reaches us and your account balance is reset, the account closure process is carried out through MKK.