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Legal Warnings and Restrictions

a) With respect to the services they are authorized to offer,

1. Our Authorization Certificates

Our organization has been authorized to conduct primary dealing in leveraged exchange transactions by SPK since 28 June 2013. All foreign derivative products dealt via the TradeAll electronic transaction platform are offered within the scope of the "Authorization for Brokerage in Buying & Selling Derivative Instruments B. TAASA (Offshore)-(VOBAŞ)" authorization provided by SPK (Capital Markets Board) to our organization on 19 March 2013. Please click the attached link for the authorization certificates of Ak Yatırım.

Ak Yatırım Menkul Değerler A.Ş. (SPK int. web site link)

Authorization Certificate Date of Cert. Cert. No. Certificate Status
Authorization Certificate for Exchange Brokerage 20.04.1999 300 Active
Authorization Certificate for Public Offering Brokerage 20.04.1999 222 Active
Repo - Reverse Repo Authorization Certificate 20.04.1999 206 Active
Portfolio Management Authorization Certificate 20.04.1999 190 Active
Investment Consulting Authorization Certificate 20.04.1999 164 Active
Loan Transactions Authorization Certificate 20.04.1999 ARK/KRD-175 Active
Authorization Certificate for Brokerage in Buying & Selling Derivative Instruments B. TAASA 19.03.2013 217 Active
(Offshore)-(VOBAŞ) 28.06.2013 ARK/KAS-26 Active

b) Introductory details of the organization served, if available,

c) Minimum elements and risks of the conducted transactions,

2. Minimum risks and elements of the conducted transactions

Forex (foreign exchange) is an over-the-counter market where currencies of countries are reciprocally traded at a spot price, without physical delivery. The main logic of these markets is to buy the currency which is expected to gain value, and sell the other type of currency, thus obtaining a profit as a result.

Via leveraged trading transactions, investors are able to control a larger financial position than the money they deposit in the authorized institutions. A financial position controlled with a multiplied size of the deposited amount may generate a high income if the market conditions progress according to the trend expected by the investor; however, it may also cause the loss of the entire deposit if the market trends develop contrary to the investor's expectations. Investors should take into consideration that leveraged transactions also include a high risk in addition to high income; and thus decide on whether to make transactions in the Forex market.

Please click here to view the "Leveraged Trade Transactions Risk Declaration Form

ç) Conditions of safekeeping and using the collected personal data,

3) Conditions of safekeeping and using the collected personal data

All personal data of the investors are stored in the related order submission system, and the broker organization's automation application as well as access to the mentioned data may only be realized by authorized personnel. Ak Yatırım stores the collected investor data and the data generated from them in redundant systems of corporate storage units. In addition, all investor data in daily and monthly periods are recorded on cassettes. The daily data backups received are saved for a period of 30 days. Monthly data backups are stored for 5 (five) years. Whether these backups taken in certain periods are stored in a reliable manner is checked with tests.

Customer account passwords are sent to the customer's e-mail address or to the customer's mobile as an SMS, and the customer is asked to change them for security purposes.
Each password is valid for one customer, and each customer may only access his or her own account with his or her own password and user number.
ID confirmation shall be obtained for the orders to be taken from customers by Ak Yatırım via telephone when required.
All customer contracts and documents are stored in secure media only by the employees of the authorized organization.

d) Order submission, how to realize transactions and liquidation,

e) Order realization policies,

4. Order submission, transaction principles and order realization policies

Leveraged Trading Transactions shall directly be carried out by the customer from the EIP in accordance with the statements provided in the Electronic Transaction Platform Agreement, an integrated part of the Framework Agreement for Brokerage in Leveraged Trading Transactions, which is included in the related SPK communiqués and which is to be signed by and between the customer and Ak Yatırım. The Customer agrees to comply with the provisions accepted in the Framework Agreement for Brokerage in Leveraged Trading Transactions signed with Ak Yatırım in the orders that the customer communicates to Ak Yatırım.

The Customer who wishes to realize a Leveraged Trading transaction within the leverage ratios required under the legal framework described in the Communiqué Serial: V No: 125 on Leveraged Trading Transactions shall deposit the asset to cover the startup amount into the bank account of Ak Yatırım. Orders shall not be accepted until the mentioned asset is acknowledged as a deposit. When the amount deposited by the customer approaches or falls below the Maintenance Deposit required by the positions, Ak Yatırım notifies the Customer to complete the deposit, requests completion of the missing deposits and the Customer is obliged to immediately fulfill that requirement.

Deposit completion notifications may be communicated by Ak Yatırım by mail or rapid communication instruments such as fax, telephone, telegram, electronic mail, etc. After Ak Yatırım sends this notification, the CUSTOMER is considered to be in acceptance of the notification without requiring any further notice or warning.

The CUSTOMER declares and acknowledges that unless the deposit completion notification is fulfilled, the open positions in his account may partially or completely be liquidated without requiring the CUSTOMER's order, and the loss that may be encountered due to position closing belongs to the CUSTOMER entirely. Determining priority regarding the positions to be liquidated fully or partially shall be at Ak Yatırım's discretion.

Ak Yatırım shall not allow the CUSTOMER to transact in a manner to incur more losses than the deposited guarantee amount.

If an order can not be submitted via the electronic transaction platform allocated to the Customer, the Customer may order the asset to be bought and/or sold in writing or verbally.

The related order form must have the Customer's signature. However, Ak Yatırım may accept the notifications or given trading orders, transfers, transactions and other instructions by telephone, telex, fax or other communication, delivery or transmission tools or the orders given by means of Remote Access Tools or verbally at its own discretion. The orders received from channels other than EIP, which provides access with a password known only by the Customer, shall be questioned by Ak Yatırım at the time of the orders and instructions or before the transaction by asking certain security questions to the Customer to ensure whether the order is given by the Customer, and Ak Yatırım may reject the order upon non-compliance of the answers given.

The Customer may communicate the orders within the periods and dates determined by Ak Yatırım by EIP or other alternative communication methods determined by Ak Yatırım.

The Customer is responsible for providing the orders in a clear and intelligible manner when they are communicated through alternative communication methods due to failure to submit by EIP. Any kind of instruction to be given by the Customer shall become valid after it is delivered to Ak Yatırım. The confirmations of the customer are final and binding. Ak Yatırım is entitled to refuse the customer's orders in full or in part. If Ak Yatırım refuses the orders in full or in part, then they shall be responsible for explaining the situation to the customer or his or her legal representative immediately. The order given by the customer may be issued in accordance with the related rules of the communiqué. The Customer's orders must contain (i) the Customer's name or title and signature, (ii) transacted asset, (iii) order type, (iv) whether the order is to buy or sell, (v) the price and quantity of the order, (vi) the date, hour and minute of the order, (vii) validity period of the order if applicable, (viii) account number, (ix) name, surname, and signature of the staff of the organization that receives the order, (x) details related to the Customer's order number and other details required by Ak Yatırım.

Position Closing: Taking short position (sell) against long position (buy), and long position against short position.
Stop-out Level:The lowest level that the maintenance level of the required deposit amount for holding a position of a leveraged product can fall to.
Startup Deposit:: The lowest level that the maintenance level of the required deposit amount for holding a position of a leveraged product can fall to.
Maintenance Deposit: The minimum deposit amount that the Customer must make available further to his position requirement or the daily price changes in the market.

The CUSTOMER closes open positions by means of position closing, and thus realizes his profit or loss. KAS tools operating in the market are instantly determined by AK YATIRIM according to the market conditions of KAS tools, Accounting is realized at 24:00 at night, via the End of Day Prices and positions, until 10:00 a.m. next morning. The losses that may occur due to updating the accounts shall be covered from the deposits and they shall be withdrawn by AK YATIRIM from CUSTOMER accounts and deposited to the Clearing House.

AK YATIRIM freely determines the automatic position closing rule. In the cases when the deposit amount in the CUSTOMER's account falls below the maintenance level, in other words when it approaches or falls below the 40% position closing level, EIP shall liquidate the open positions in the CUSTOMER's account in full or in part without requiring the CUSTOMER's order. Determining priority regarding the positions to be liquidated fully or partially shall be at Ak Yatırım's discretion.

f) In the immediate trading price offers given for the capital market instruments which are not transacted in the stock market,

The price quotations which belong to the products subject to the Leveraged Trading Transactions shall be compiled from the global investment banks and brokerage institutions known as the liquidity providers, and they shall be presented to the customers in the TradeAll transaction platform as the best buyer and best seller.

The price quotations related with the products of difference contract (CFD), which is an over-the-counter market product, are obtained from foreign broker organizations and presented to the customers.

g) Follow up on the status of the accepted orders electronically by the customer and electronic notifications to the customer,

Our customers can access the following information via the Electronic Transaction Platform:
a) Date, time, price and quantity regarding all positions taken,
b) Exact profit and loss amounts related with closed positions,
c) Potential profit and loss amounts related with open positions,
ç) All activity related with cash, securities and other assets held by the broker organization,
d) Any kind of commission, fees and taxes accrued on the account,
e) Deposit status.

h) The content of “unexpected status plans” prepared against potential risks,

The Ak Yatırım "Business Continuity Emergency and Contingency Plan" has been created, and the introductory document is available on our website.

ı) In these transactions, an explanation stating that “the data given on the page are generic and there may not be sufficient information on the page to support the customers in their purchase decisions”

The information on this page is generic and as it may not provide sufficient information to support the investors' purchasing decisions, the expressions on this page should not be considered as buy or sale offers in any manner or in any circumstance.

k) They must include the specifications of the transaction platform and computer network they use, any risks and security measures and alternative communication methods which may be used against the risks that may arise in the platform.

Ak Yatırım offers the TradeAll transaction platform to investors to enable them to carry out their leveraged trading transactions. The platform's desktop application runs on the Windows operating system. In addition, there are applications for mobile devices with ios and android operating systems. The platform requires an Internet connection for updates, logging in to the system and performing transactions. In locations with a limited Internet connection, the correct data may not be displayed even after logging in to the platform. The applications used by the investors reach the servers at our data center over the Internet via a secure connection signed with an SSL certificate. We do not anticipate any interruptions in the TradeAll transaction platform, which features an uninterruptable and active architecture, during Internet and telecommunication blackouts which might occur across Turkey, except for force majeure events such as natural disasters, public disorder etc. which might also affect our data centers. In cases of short-term service problems caused by technical hardware, the server etc., service will continue via our call center number 444 4 873.

The SSL encryption method is a very difficult encryption method to break. In addition, investor passwords are stored as encrypted even in the database and personnel are not able to see them. Therefore TradeAll is a secure system. Obtaining the investor password by phishing or malicious software methods poses a risk. For this reason investors are required to take measures against malicious software on the devices they use.

Investors are required to check from the technical requirements section of the TradeAll website whether the technical specifications of their devices are sufficient, and they must make sure that there are not any problems with their Internet connections. Furthermore, as they may impact the success of their devices, the correct operation of TradeAll, and the possession of investor data by unintended individuals, users must take the necessary security measures on their hardware against malicious software.

Ak Yatırım never asks for your personal details by e-mail. Investor passwords should not be shared with anyone under any circumstances, including Ak Yatırım personnel. Conducting financial transactions from computers in public places such as internet cafes, hotels, airports etc. leads to security problems in general.

Alternative communication methods: TradeAll electronic transaction platform (EIP) has been designed to enable our investors to directly access their accounts via their computers and realize leveraged trading transactions without using telephone, fax, and direct order transmission methods with our company. Our investors can securely access their accounts with the TradeAll EIP passwords allocated to them, and examine the reports related with their accounts, monitor the price levels related with the Forex market, and easily communicate leveraged trading transactions to the market.

When our investors cannot directly access the TradeAll electronic transaction platform, they can phone the call line number, 444 48 73, and communicate their orders to the market in writing or verbally via the customer representatives.

Proportional distribution of the accounts that made profit and loss on a quarterly basis
2013 - 3 Quarter
With the card account to rate With loss account to rate
%50 %50
FOREX HESAPLAMA