BCB Normative Instruction No. 475 of May 23, 2024

Resolution No. 222

BCB NORMATIVE INSTRUCTION NO. 475, OF MAY 23, 2024

Amends
BCB Normative Instruction No. 77, of February 11, 2021, which establishes procedures regarding the submission of documents and information, responses to demands, and filing of appeals, the formalization of demands, the communication of the decision, and other communications related to the instruction and examination of authorization processes conducted by the Department of Financial System Organization (Deorf), and provides other measures.

The Head of the Department of Financial System Organization (Deorf), using the attribution conferred by art. 23, item I, letter “a”, of the Internal Regulations of the Central Bank of Brazil, annexed to Ordinance No. 84,287, of February 27, 2015, and considering the provisions of art. 40 of Law No. 9,874, of January 29, 1999,

RESOLVES:

Art. 1º BCB Normative Instruction No. 77, of February 11, 2021, shall enter into force with the following alterations:

“Art. 3º ........................................................................................................

§ 1º Documents and information regarding the same request must be sent through the digital protocol using one of the following options:

I - Bulk upload;

a) The request or cover letter (if any) must be the first document in the block, or the first document of the first block, in case of multiple submissions.

II - Associated with the request or, in the case of response to demands or appeal, with the first document filed.”

................................................................................................................

“Art. 4º The submission of documents and information must be carried out by filling in the following fields in the Digital Protocol:

I - "Electronic Administrative Process Number - PE", if applicable;

II - "Subject";

III - "Destination"; and

IV - "Description".

§ 1º The "Subject" field must be filled in by selecting the option "Authorizations and Licensing for Supervised Institutions and for SPB Members".

§ 2º The "Destination" field must be filled in by selecting the organizational component of Deorf to which the request must be presented, according to the list available in Subsection 3.4.30.12 of Sisorf.

§ 3º The examples and standards to be observed for filling in the "Description" field are contained in Annex I to this Normative Instruction.

§ 4º In the case of initial instruction of requests for authorization to operate, the "Description" field must be filled in:

I - for the request, the first document to be filed, with the components: "Institution - Type of request"; and

II - for the other documents associated with the request, filed in sequence, with the components: "Institution - Type of document - Name of the natural person or social denomination of the legal entity (if applicable)".

§ 5º In the case of initial instruction of other types of requests, the "Description" field must be filled in:

I - for the request, the first document to be filed, with the components: "CNPJ - Institution - Data of the Societal Act - Type of request"; and

II - for the other documents associated with the request, filed in sequence, with the components: "CNPJ - Type of document - Name of the natural person or social denomination of the legal entity (if applicable)".

§ 6º In the presentation of a response to demands or an appeal, the "Description" field must be filled in:

I - for the first document to be filed, with the components: "CNPJ (if applicable) - Institution - Content"; and

II - for the other associated documents, filed in sequence, with the components: "CNPJ (or, in the absence thereof, "Institution") - Type of document - Name of the natural person or social denomination of the legal entity (if applicable)".

§ 7º To compose the "Description" field, referred to in this article, the institution or its representative must consider that the component:

I - "CNPJ" corresponds to the registration number (first eight digits) of the institution holding the request in the National Registry of Legal Entities (CNPJ), in the format nn.nnn.nnn;

II - "Institution" corresponds:

a) to the trade name or acronym or social denomination intended by the requesting institution, in the case of requests referred to in §1º of this article, with the exception of payment institutions and payment arrangement sponsors, which must observe the provisions of letter "b" of this item; or

b) to the trade name or acronym or social denomination of the institution holding the request, in other cases;

III - "Data of the societal act" corresponds, when applicable, to the acronym and date of the societal act related to the submitted request;

IV - "Type of request" corresponds to the type of authorization request submitted, as specified in Section 3.4.20 of Sisorf;

V - "Content" corresponds, when applicable, to the indication that the submitted document refers to a response to a demand or an appeal;”

Art. 2º This Normative Instruction enters into force on June 1, 2024.

CAROLINA PANCOTTO BOHRER

NOTE

Decree No. 10,411, of June 30, 2020, regulates the conduct of regulatory impact analysis (AIR) as a prerequisite for the issuance of normative acts. However, in its article 4º, the aforementioned decree establishes the hypotheses for dispensing with the conduct of AIR. This BCB Normative Instruction (IN BCB) falls under the hypothesis provided for in item III, a normative act considered to be of low impact, as it only clarifies the manner of execution of an obligation already contained in another current norm. Thus, based on item III of art. 4º of Decree No. 10,411, of 2020, I understand that the issuance of this BCB IN dispenses with the conduct of AIR.

CAROLINA PANCOTTO BOHRER