Circular Letter No. 1662: Creates Statistical Forms for Equity, Fixed Income and Short-Term Investment Fund Administrators

CENTRAL BANK OF BRAZIL

CIRCULAR LETTER No. 1.662

To the Administrating Institutions of Equity Mutual Funds, Fixed Income Mutual Funds and Short-Term Investment Funds.

Based on the provisions of item IX of Article 3 of Law No. 4,728, dated 14.07.65, we hereby announce the creation of the attached forms, to be completed by the Administrating Institutions of Equity Mutual Funds, Fixed Income Mutual Funds and Short-Term Investment Funds and sent monthly to the Central Bank of Brazil, starting from the positions with a base date of 31.08.87.

2. The deadline for delivering these documents to the Document Reception Centers in any of the Regional Departments of the Central Bank expires on the 5th (fifth) business day following the date of the position to which they refer.

3. The reproduction of these forms, considering their use in mechanized processing, must strictly observe the standards of dimensions, format and structure.

4. The models to be used for reproduction will be available at the Regional Departments (at the Regional Representatives of the Capital Market Area) or at the Department of Registration and Information - DECAD at the Headquarters of this Agency.

5. Consequently, the form — "RECAF - Registration of the Composition of the Investment Portfolio", currently used for the monthly submission of information on Equity Mutual Funds and Fixed Income Mutual Funds, is hereby cancelled.

Brasília (DF), 06 July 1987.

DEPARTMENT OF REGISTRATION AND
INFORMATION
Wilson Carvalho Moreira
CHIEF
DEPARTMENT OF CAPITAL MARKET
ORGANIZATION
Antonio Bento de Araújo Lima Filho
CHIEF

This text does not replace the one published in the DOU and in Sisbacen.

Circular Letter No. 1,662, dated 06 July 1987

TITLE: TRANSITIONAL PROVISIONS – 29
CHAPTER: Non-Codified Circular Letters – 3
SECTION:

ANNEX I

INSTRUCTIONS

1. This monthly statement must be signed by the responsible Director and sent to the Regional Representatives of the Central Bank or to its Headquarters in Brasília, by the 5th (fifth) business day of the month following the date of the position to which it refers.

2. For the purpose of completing this form, the values of fixed income securities must be updated until the end of the month to which they refer.

3. During completion, do not use commas or decimal places, except in field 23, where the value of the quota must be presented with 5 (five) decimal places.

4. When reproducing this form, the following procedures must be observed:

• strictly follow the standards of dimensions, format and structure.

• also print the back, so that the instructions are not lost.

OTHERS (Description of the information in field 15)

follows

Circular Letter No. 1,662, dated 06.07.87

RESPONSIBLE DIRECTOR (SIGNATURE AND STAMP)

PLACE AND DATE:

EQUITY TRANSACTIONS – SPOT MARKET
EXCHANGE AND OTC
24. SALES
25. PURCHASES
PRIMARY MARKET
NEW CONTRIBUTIONS
26. PURCHASES

CALCULATION OF THE QUOTA ON THE BASE DATE
21. NET ASSETS
(:) 22. QUOTAS IN CIRCULATION (=)
23. VALUE OF THE QUOTA
(with 5 decimals)

QUOTA FLOW IN THE MONTH
17. ISSUANCES
(-) 18. REDEMPTIONS
(=) 19. FLOW IN THE MONTH
20. No. OF QUOTA HOLDERS

COMPOSITION OF INVESTMENTS
01. O T N
02. L T N
03. L B C
04. EQUITIES – Spot Market
05. EQUITIES – Forward Market
06. EQUITIES – Futures Market
07. EQUITIES – Options Market
08. CONVERTIBLE DEBENTURES
09. SIMPLE DEBENTURES
14. OTHERS
(Specify on the reverse)
15. CASH BALANCES
(Except T.N.L.)
16. TOTAL

FUND IDENTIFICATION
C.G.C. 8 digits
AS-OF DATE
ACRONYM
NAME (EQUITIES Fund)

CADOC No.
0583

Equity Mutual Funds
Portfolio - Monthly

ANNEX II

TITLE: TRANSITIONAL PROVISIONS - 29
CHAPTER: Non-Codified Circular Letters - 3
SECTION:

TITLE: TRANSITIONAL PROVISIONS – 29
CHAPTER: Non-Codified Circular Letters – 3
SECTION:

INSTRUCTIONS

ANNEX II

1. This monthly statement shall be signed by the responsible Director and sent to the Regional Offices of the Central Bank or to its Headquarters in Brasília, by the 5th (fifth) business day of the month following that of the position to which it refers.

2. EQUITIES - For the purpose of completing this form, the value of the equities portfolio shall be determined at market prices.

3. FIXED-INCOME SECURITIES - The values shall be updated through the end of the month to which they refer.

4. EQUITIES TRANSACTIONS - PRIMARY MARKET - All purchases of new shares, resulting from public offerings registered with the Securities and Exchange Commission or even from the exercise of subscription rights, shall be recorded exclusively in field 26.

5. During completion, do not use commas or decimals, except in field 23, where the unit value shall be presented with 5 (five) decimal places.

6. When reproducing this form, the following procedures shall be observed:

• strictly comply with the dimension, format and structure standards.

• also print the reverse side, so that the instructions are not lost.

OTHERS (Details of the information in field 14)

TITLE: TRANSITIONAL PROVISIONS – 29
CHAPTER: Non-Codified Circular Letters – 3
SECTION:

ANNEX III

INSTRUCTIONS

1. This monthly statement shall be signed by the responsible Director and sent to the Regional Offices of the Central Bank or to its Headquarters in Brasília, by the 5th (fifth) business day of the month following that of the position to which it refers.

2. For the purpose of completing this form, the values of fixed-income securities shall be updated through the end of the month to which they refer.

3. During completion, do not use commas or decimals, except in field 27, where the unit value shall be presented with 5 (five) decimal places.

4. When reproducing this form, the following procedures shall be observed:

• strictly comply with the dimension, format and structure standards.

• also print the reverse side, so that the instructions are not lost.

OTHERS (Details of the information in field 19)