Circular Letter CVM/SMI/SIN 01/2021

05/01/2021 SEI/CVM - 1166311 - Circular Letter https://sei.cvm.gov.br/sei/controlador.php?acao=documento_imprimir_web&acao_origem=arvore_visualizar&id_documento=1228691&infra_sistema=… 1/2 SECURITIES AND EXCHANGE COMMISSION OF BRAZIL (CVM) Rua Sete de Setembro, 111/2-5th and 23-34th Floors, Center, Rio de Janeiro/RJ – ZIP: 20050-901 – Brazil - Tel.: (21) 3554-8686 Rua Cincinato Braga, 340/2nd, 3rd and 4th Floors, Bela Vista, São Paulo/ SP – ZIP: 01333-010 – Brazil - Tel.: (11) 2146-2000 SCN Q.02 – Bl. A – Ed. Corporate Financial Center, S.404/4th Floor, Brasília/DF – ZIP: 70712-900 – Brazil -Tel.: (61) 3327-2030/2031 www.cvm.gov.br Circular Letter No. 1/2021-CVM/SMI-SIN Rio de Janeiro, January 5, 2021.

To
Directors Responsible for AML/CFT

Subject: Communications published by FATF/GAFI.

Dear Sirs/Madams,

1. The monitoring of FATF/GAFI lists, containing jurisdictions that, in that organization's view, possess strategic deficiencies in the prevention of money laundering and terrorist financing ("AML/CFT"), is an integral part of the requirements set forth in CVM Instruction No. 617/19.

2. Thus, we reiterate the importance of elaborating and implementing specific internal controls aimed at monitoring the alert signals provided for in item "a" of paragraph IV of Article 20 of CVM Instruction No. 617/19.

3. In this sense, aiming to generate greater visibility for these lists, and also considering the transversality that the subject matter addressed here has in the securities market, we record that from now on these lists will be disseminated to obligated persons operating in the capital market through the CVM Report: FATF/GAFI Communication, and no longer through a Joint Circular Letter from SMISIN.

4. In view of the above, we inform that CVM Report No. 1/2021: FATF/GAFI Communication was published on this date.

Sincerely,

CARLOS EDUARDO PEREIRA DA SILVA DANIEL WALTER MAEDA BERNARDO Deputy Superintendent of Market Relations and Intermediaries Superintendent of Institutional Investor Relations

Document electronically signed by Carlos Eduardo Pereira da Silva, Deputy Superintendent, on 05/01/2021, at 08:59, based on art. 6, § 1, of Decree No. 8.539, of October 8, 2015.

05/01/2021 SEI/CVM - 1166311 - Circular Letter https://sei.cvm.gov.br/sei/controlador.php?acao=documento_imprimir_web&acao_origem=arvore_visualizar&id_documento=1228691&infra_sistema=… 2/2 Document electronically signed by Daniel Walter Maeda Bernardo, Superintendent, on 05/01/2021, at 14:14, based on art. 6, § 1, of Decree No. 8.539, of October 8, 2015. The authenticity of the document can be verified at the site https://sei.cvm.gov.br/conferir_autenticidade, providing the verification code 1166311 and the CRC code 9201D866. The authenticity of this document can be verified by accessing https://sei.cvm.gov.br/conferir_autenticidade, and typing the "Verification Code" 1166311 and the "CRC Code" 201D866. Reference: Process No. 19957.000718/2020-87 SEI Document No. 1166311