RegAlert2017-01-10
Added · Updated
Circular Letter CVM/SMI 01/2017
Independent Investment Agents are exempt from submitting the annual negative declaration to the Financial Activities Control Council (COAF) because they are not included in the list of market participants authorized in the SISCOAF segment. This exemption stems from the requirement that these agents always act as proxies for distribution system institutions, which remain the obligated parties. Independent Investment Agents must continue to comply with anti-money laundering and counter-terrorist financing rules applicable to the intermediaries to which they are affiliated.
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24/01/2017 :: SEI / CVM 0213027 OfícioCircular ::
https://sei.cvm.gov.br/sei/controlador.php?acao=documento_imprimir_web&acao_origem=arvore_visualizar&id_documento=228894&infra_sistema=1000… 1/2 COMISSÃO DE VALORES MOBILIÁRIOS Rua Sete de Setembro, 111 27º andar ‐ Bairro Centro ‐ Rio de Janeiro/RJ ‐ CEP 20050‐901 Telefone: (21)3554‐8436 ‐ www.cvm.gov.br OfícioCircular nº 1/2017/CVM/SMI/GME Rio de Janeiro, 10 de janeiro de 2017. Aos Agentes Autônomos de Investimentos Assunto: Declaração negativa anual Art. 7ºA da Instrução CVM nº 301/99. Prezados(as) Senhores(as),
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Lineage: In force
Source: Comissão de Valores Mobiliários — original document · Summary generated with machine assistance and reviewed before publication; the authoritative text is the regulator's original document. How RegAlert works
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CVM published 5 documents in the last 30 days. We email you each new one the day it's published.