Circular Letter No. 3.694

The Head of the Financial System Monitoring Department (Desig), using the authority conferred upon him by art. 22, item I, subitem "a", of the Internal Regulations of the Central Bank of Brazil, annexed to Administrative Rule No. 29.971, of 4 March 2005, in view of the provisions of art. 71, item II, of the aforementioned Regulations, and the provisions of art. 4 of Circular No. 3.742, of 8 January 2015,

RESOLVES:

Art. 1 The submission of the information referred to in art. 1 of Circular No. 3.742, of 8 January 2015, must be carried out by means of the document Statement of Monitoring of Capital Requirement Portions (DDR), with the coding of the Document Catalog (Cadoc) and its other characteristics, in accordance with the annex to this Circular Letter.

Art. 2 Only as of the base date for which the option for the prerogative established is exercised:

• I - in art. 1, paragraph 5, item II, of Circular No. 3.641, of 4 March 2013, the respective amounts must be recorded in the codes of the column Investimento no Exterior (IE) of the DDR;

• II - in art. 3 of Circular No. 3.641, of 2013, the respective amounts must be recorded in the codes of the column Patrimônio Líquido Vendido (PLiVe) of the DDR;

• III - in art. 4 of Circular No. 3.641, of 2013, the respective amounts must be recorded in the codes of the column referring to overhedge (OH) of the DDR.

Art. 3 The communication of waiver of submission of information and of its resumption, referred to, respectively, in item VII of art. 2 and the sole paragraph of that same article, of Circular No. 3.742, of 2015, must be recorded in the Central Bank Information System (Sisbacen), through transaction PESP930, using the following options:

• I - "1 - Solicitação de Dispensa", to record the communication of waiver of submission of information;

• II - "2 - Encerramento de Dispensa em aberto", to record the communication of resumption of submission of information;

• III - "4 - Cancelamento de dispensas/declarações", to cancel a communication of waiver or release previously recorded.

Sole paragraph. Consultations of the records relating to communications of waiver or resumption of submission of the DDR may be carried out using option "3 - Consulta dispensas/declarações" of the transaction referred to in the caput.

Art. 4 The institutions mentioned in the annex to this Circular Letter must designate an employee able to respond to any questions about the information provided under the terms of this normative act.

Art. 5 The designation referred to in art. 4 of this Circular Letter must be recorded in the Information System on Entities of Interest to the Central Bank (Unicad), referred to in Circular No. 3.165, of 4 December 2002.

Art. 6 This Circular Letter enters into force on the date of its publication.

Art. 7 Circular Letters nos. 3.627, of 27 December 2013 and 3.689, of 31 December 2014 are revoked.

Gilneu Francisco Astolfi Vivan

Annex 1 to Circular Letter No. 3.694, of 06 February 2015.

Coding of the DDR in the Document Catalog (Cadoc) and its other characteristics:

Document Code: 2011;

Document Name: Daily Statement of Monitoring of Capital Portions (DDR);

Submission System: Sisbacen;

Submission Frequency: Daily;

Deadline for Submission: third business day after the base date to which it refers;

Base Date: Daily;

Unit Responsible for Curation: Desig;

Form of Submission: Electronic means;

Submission System: File Transfer System (STA), in the form of Circular Letter No. 3.588, of 18 March 2013, available for access on the Central Bank of Brazil's page on the Internet, at the address https://sta.bcb.gov.br/sta/;

Submission Format: TXT;

Submission Validation: Anticipated;

Additional Elements for Submission: layout, in TXT format; templates, in Excel format; example files and filling instructions, available on the Central Bank of Brazil's page on the internet, at the address http://www.bcb.gov.br/?LEIAUTES;

Director Responsible for Submission: indicated under the terms of art. 14 of Resolution No. 4.193, 1 March 2013;

Registration of the Director Responsible for Submission: in the "Ocorrência de Comunicado - Indicação de Diretor Responsável por área de Atuação" of Unicad;

Registration of the Employee Designated to Respond to Questions: in the "Ocorrência de Comunicado - Indicação de Responsável por Envio de Informações" of Unicad;

Email Address for Clarification of Doubts about the Submission of the Document: ddr@bcb.gov.br;

Email Address for Clarification of Doubts about the Filling of the Document: ddr@bcb.gov.br;

Origin of the Document:

Cadoc Code

Segments

Subsegments

20.1.0.002-1

Commercial Banks

All institutions

21.1.0.001-3

Exchange Brokerage Firms

(1)

22.1.0.003-6

Development Banks

All institutions

24.1.0.002-7

Investment Banks

All institutions

26.1.0.002-5

Multiple Banks

All institutions

27.1.0.001-7

Exchange Banks

All institutions

28.0.0.003-7

Brazilian Development Bank

Single institution

38.0.0.002-7

Caixa Econômica Federal

Single institution

46.1.0.001-2

Prudential Conglomerates

All

77.1.0.002-9

Leasing Companies

(1)

79.1.0.003-4

Securities Brokerage Companies

(1)

85.1.0.003-5

Securities Distribution Companies

(1)

(1) Except for institutions exempted from the provisions of item VII of art. 2 of Circular No. 3,742, of 8 January 2015.