Circular Letter No. 3.989

The Head of the Department of Monitoring of the Financial System (Desig), using the attribution conferred upon him by art. 23, item I, subitem "a", of the Internal Regulations of the Central Bank of Brazil, annexed to Portaria No. 84.287, of 27 February 2015, based on art. 77, item III, of the aforementioned Regulations, and in view of the provisions of Resolutions Nos. 4.553, of 30 January 2017, 4.557, of 23 February 2017, and 4.606, of 19 October 2017, and of Circular No. 3.742, of 8 January 2015,

RESOLVES:

Art. 1 The financial institutions and other institutions authorized to operate by the Central Bank of Brazil classified in Segment 1 (S1), Segment 2 (S2), Segment 3 (S3) or Segment 4 (S4), pursuant to Resolution No. 4.553, of 30 January 2017, must submit the information referred to in art. 1 of Circular No. 3.742, of 8 January 2015, by means of the document with code 2011 - Daily statement of monitoring of the capital requirement installments and operational limits (DDR), pursuant to the annex to this Circular Letter.

§ 1 The document referred to in the caput must be submitted in XML format (eXtensible Markup Language).

§ 2 The layout, the filling instructions and the templates related to the document referred to in the caput are available on the Central Bank of Brazil's page on the Internet, at the electronic address https://www.bcb.gov.br/estabilidadefinanceira/leiautedocumentoscrd.

Art. 2 The option for or the withdrawal from the use of a simplified methodology for calculating the minimum requirement of Simplified Reference Equity (PRS5), referred to in art. 16, II, of Resolution No. 4.606, of 19 October 2017, by the financial institutions and other institutions authorized to operate by the Central Bank of Brazil, must be communicated to this Autarchy by means of registration in the LIMITES System - Operational Limits, as provided for in Comunicado No. 31.646, of 8 February 2018.

Art. 3 Institutions that do not have a balance in accounts of the document referred to in art. 1 may register this situation in the Document Submission Control System (CRD), available on the Central Bank of Brazil's page on the Internet, at the electronic address https://www3.bcb.gov.br/crd, as provided for in Comunicado No. 33.837, of 9 July 2019, observing the contents of the CRD User Manual, available at the electronic address https://www.bcb.gov.br/content/estabilidadefinanceira/Documents/crd/Manual_Crd.pdf.

Art. 4 The institutions referred to in art. 1 of this Circular Letter must designate an employee able to respond to any questions about the information provided pursuant to this normative act.

Sole paragraph. The designation referred to in the caput must be registered 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. 5 Circular Letter No. 3.694, of 6 February 2015, is revoked.

Art. 6 This Circular Letter enters into force on 1 July 2020.

Gilneu Francisco Astolfi Vivan

Annex to Circular Letter No. 3.989, of 06 December 2019.

Codification of the DDR and other characteristics:

• Document Code: 2011;

• Document Name: Daily statement of monitoring of the capital requirement installments and operational limits (DDR);

• Submission System: Sisbacen;

• Submission Frequency: Daily;

• Deadline for Submission: third business day after the reference date;

• Reference Date: Daily;

• Unit Responsible for Curation: Department of Monitoring of the Financial System (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: XML (eXtensible Markup Language);

• Submission Validation: Anticipated;

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

• Director Responsible for Submission: designated pursuant to 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 module "Vínculos - Inclusão - Responsável por Envio de Informações" of Unicad.

• Electronic Address for Solving Doubts about the Submission of the Document: ddr@bcb.gov.br;

• Electronic Address for Solving Doubts about the Filling of the Document: ddr@bcb.gov.br;