Circular Letter No. 3.101

CIRCULAR LETTER N. 003101 ------------------------ Discloses instructions for communication, by means of the PCAF500 transaction of Sisbacen, of operations and situations with evidence of the crimes provided for in Law 9.613, of 1998. Based on the provisions of art. 4 of Circular 2.852, of 3 December 1998, and in item 2 of Circular Letter 2.826, of 4 December 1998, we inform that the communications provided for in the aforementioned regulations must be made exclusively through the PCAF 500 transaction of the Banco Central Information System - Sisbacen, in compliance with the instructions hereby disclosed. 2. For the inclusion of occurrence records, option 1 of the transaction must be used, observing the guidelines indicated in the annex to this circular letter. 3. Cancellation or alteration of communications is permitted until the fifth day following the inclusion of the record, by using option 3 of the transaction and entering the justification for the modification of the record previously made. After the fifth day, the institution must request the alteration or cancellation from the Banco Central do Brasil/Department of Combating Illegal Foreign Exchange and Financial Activities (Decif)/Division of Control of Financial Activities (Dicaf), indicating the justification for modification of the record. 4. If the institution has not made any communication during the closed calendar month, such situation must be recorded, by the 10th day of the subsequent month, by using option 2 of the transaction - Monthly Declaration of Absence. 5. Responsibility for the communications in question lies with the director designated in the manner provided for in art. 7 of Circular 2.852, of 1998. 6. Communications on behalf and by order of the other institutions of the conglomerate, served by the common money laundering prevention area, are permitted, provided that the institution that detected the occurrence is duly identified in the proper field of the transaction. 7. This circular letter enters into force on the date of its publication and shall produce effects as of 11.8.2003, when Circular Letter No. 2.977, of 18 September 2.001, shall be revoked. Brasília, 11 July 2003. Department of Combating Illegal Foreign Exchange and Financial Activities Department of Information Technology Ricardo Liao Augusto Ornelas Filho Head Head, acting Department of Management of Information of the Financial System Sérgio Almeida de Souza Lima Head --------------------------------------------------------------------- Annex to Circular 1 - Field "ID Bacen da instituição": inform the identification code in Unicad (ID Bacen) of the institution in which the occurrence was verified. 2 - Fields "agência" or "dependência": inform the clearing code of the branch, if the institution is a bank, or of the dependency, in the case of other institutions. 3 - Field "conta de depósito": inform the number of the deposit or savings account, if applicable. 4 - Field "data da abertura": inform the
date of opening of the deposit account in the format ddmmaaaa. 5 - Field "última atualização cadastral": inform the date of the last registration update in the format ddmmaaaa. 6 - Field "enquadramento": inform the code(s) of the situation(s) into which the occurrence falls. To access the table of occurrences, press F1/13 with the cursor positioned in the field, mark with "x" the desired type and press "entra". 7 - Field "data do fato": inform the last date of the period in which the occurrence was characterized. If the period exceeds the calendar month, specify, in the field "detalhamento e eventuais providências adotadas", the other months or periods of the occurrence and the amounts relating to each one. 8 - Field "valor": inform the amount in reais involved in the situation or operation, or its equivalent in reais, if in another currency. 9 - Field "nome completo dos titulares": inform the full names of the persons involved in the occurrence, whether or not they are holders of deposit accounts, avoiding the use of abbreviations. In the case of a deposit account operated by third parties or an account held by a legal entity, after including the holder(s), press PF10/22 to register the person(s) responsible for the operation. To indicate the type of operator, press F1/13 with the cursor positioned in the field, mark with "x" the appropriate type and press "entra". 10 - Field "CPF/CNPJ": inform the registration number of the holder(s) in the CPF or CNPJ. If the holder is not registered or if their registration number is unknown, mark with "x" in the proper field. 11 - In the case of a link with other previously recorded occurrences, press PF 6/18 to inform the number(s) of the other related occurrence(s). 12 - Field "detalhamento e eventuais providências adotadas": the field, of mandatory completion, is intended for the recording of information that helps understand the reported facts, with mention of the measures adopted by the institution, as well as the description of occurrences without a defined classification in Circular Letter 2.826, of 1998. This field is defined as critical and must contain the detailing of what was considered suspicious or unusual, including, if possible, the following information: the origin and destination of the funds moved; the depositor(s) and the beneficiary(ies); the record of any attempts to conceal the operation or circumvent the money laundering control and prevention systems; the links with other operations, clients and deposit accounts; and other information considered important.