Circular Letter CVM/SMI/SIN 03/2019

Entities subject to CVM Instruction No. 301/99 must immediately freeze assets and prohibit transfers for individuals or entities designated by the UN Security Council or its committees, in compliance with Law No. 13,810/2019. These entities must report any failure to comply immediately to the Ministry of Justice and Public Security and the CVM, and simultaneously notify the CVM, the Ministry, and the Financial Activities Control Council (COAF) of asset freezes and transfer attempts. The circular mandates permanent monitoring of sanctions lists and revokes Circular Letters No. 04/2015 and No. 05/2015 upon the effective date of Law No. 13,810/2019.

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SECURITIES AND EXCHANGE COMMISSION OF BRAZIL
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, 4th Floor, S.404, Brasília/DF – ZIP: 70712-900 – Brazil - Tel.: (61) 3327-2030/2031 www.cvm.gov.br

Circular Letter No. 3/2019-CVM/SMI/SIN
Rio de Janeiro, June 4, 2019.

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Lineage: In force

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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