Circular Letter No. 3066 — Releases the System of Information on Entities of Interest to the Central Bank - UNICAD, established by Circular 3,165 of 2002

CIRCULAR LETTER NO. 003066

Releases the System of Information on Entities of Interest to the Central Bank

• UNICAD, established by Circular 3,165 of 2002.

1. In accordance with the provisions of Circular 3,165 of December 4, 2002, we inform you that the System of Information on Entities of Interest to the Central Bank - UNICAD will be available, starting on December 16, 2002, at the electronic address www.bcb.gov.br of the Central Bank of Brazil.

2. The UNICAD System was developed in a structure composed of the following modules:

I - BASIC DATA: registers identification data, address, and other information characterizing legal entities, including investment funds, and identification, address, and qualification of physical persons; all physical and legal persons that are to have information registered in the said system must be preliminarily registered in this module;

II - SHAREHOLDING STRUCTURE: registers the capital structure, controlling shareholders/partners, and the shareholding structure of financial institutions, other institutions authorized to operate by the Central Bank of Brazil, and consortium administrators, as well as their respective shareholdings in the capital of other companies in the country or abroad;

III - AUTHORIZATIONS: registers authorization requests submitted by the institutions referred to in item II to the Central Bank of Brazil and the respective decisions of said Autarchy;

IV - CONGLOMERATES: registers data on financial and economic conglomerates and the links existing between the entities that compose them;

V - INSTALLATIONS: registers the registration data of the installations of the institutions referred to in item II, comprising the locations where internal services or customer service are performed, identified as headquarters, branches, service points, subsidiaries, and dismembered administrative units;

VI - JURISDICTIONS: registers the jurisdiction of the institutions referred to in item II regarding the different areas of operation of the Central Bank of Brazil;

VII - OCCURRENCES: registers facts related to an institution or a physical person, considered relevant by the Central Bank of Brazil, which can also be generated from authorizations and situations registered in other modules of the UNICAD System;

VIII - OPERATIONS: registers the qualifications for the practice of special operations authorized or controlled by the Central Bank of Brazil, carried out by the institutions referred to in item II;

IX - LINKS: registers the links existing between legal entities and between physical and legal persons, of interest to the Central Bank of Brazil, such as members of statutory bodies, independent auditors, correspondents in the country, and representatives of foreign banks;

X - ORGANIZATIONAL STRUCTURE: provides information on the structure of bodies and positions provided for in the statutes or articles of association of an institution and on those elected or appointed to these positions.

3. The database of the UNICAD System is constituted by the migration of information registered in the existing registration systems at the Central Bank of Brazil. The complementation of the data migrated to the UNICAD System and the updating of registration records must be carried out by the interested institutions themselves.

4. Initially, the "Basic Data", "Installations", and "Organizational Structure" modules will be available, which must be used by institutions to include, consult, and alter the following information:

I - basic data of institutions: "Basic Data" module - "Consult / Alter" - "Legal Person";

II - basic data of physical persons elected/appointed to positions provided for in statutes or articles of association:

a) inclusion: "Basic Data" module - "Inclusion" - "Physical Person";

b) consult/alter: "Basic Data" module - "Consult/Alter" - "Physical Person";

III - basic data of physical or legal persons, direct or indirect shareholders/partners of the institution:

a) inclusion of physical person: "Basic Data" module - "Inclusion" - "Physical Person";

b) inclusion of legal person: "Basic Data" module - "Inclusion" - "Legal Person";

c) consult/alter of physical person: "Basic Data" module - "Consult/Alter" - "Physical Person";

d) consult/alter of legal person: "Basic Data" module - "Consult/Alter" - "Legal Person";

IV - data on the date of death of a member of a position provided for in the statute or articles of association: "Basic Data" module - "Consult/Alter" - "Physical Person";

V - data on investment funds:

a) constitution: "Basic Data" module - "Inclusion" - "Funds";

b) change of type: "Basic Data" module - "Consult/Alter" - "Funds";

c) closure: "Basic Data" module - "Consult/Alter" - "Funds";

d) substitution of administering institution: "Basic Data" module - "Consult/Alter" - "Funds";

e) inclusion of a legal person to which powers of administration of the fund's portfolio have been delegated, when applicable: "Basic Data" module - "Inclusion" - "Funds";

f) substitution of a legal person to which powers of administration of the fund's portfolio have been delegated, when applicable: "Basic Data" module - "Consult/Alter" - "Funds";

g) alteration of registration data: "Basic Data" module - "Consult/Alter" - "Funds";

h) inclusion of technical responsible: "Basic Data" module - "Inclusion" - "Funds";

i) substitution of technical responsible: "Basic Data" module - "Consult/Alter" - "Funds";

j) inclusion of responsible for sending information: "Basic Data" module - "Inclusion" - "Funds";

l) substitution of responsible for sending information: "Basic Data" module - "Consult/Alter" - "Funds";

VI - data on installations in the country:

a) inclusion of registration data of branches, subsidiaries, posts, and dismembered administrative units: "Installations" module - "Inclusion";

b) alteration of registration data of branches, subsidiaries, posts, and dismembered administrative units: "Installations" module - "Consult/Alter";

VII - data on installations abroad: alteration of registration data of branches, sub-branches, and representation offices abroad - "Installations" module - "Consult/Alter";

VIII - data on installations of subsidiaries of national financial institutions abroad:

a) inclusion of registration data of subsidiary branches abroad: "Installations" module - "Inclusion";

b) alteration of registration data of subsidiary branches abroad: "Installations" module - "Consult/Alter";

IX - data on members of positions provided for in the statute or articles of association and responsible for providing information: "Organizational Structure" module - "Consult".

5. Operational instructions can be obtained by using the "Help" button/icon, existing in each module of the UNICAD System.

6. The UNICAD System will be used in the production environment of Sisbacen, which will allow institutions to include and alter registration data directly in the system's database.

7. Other information about the UNICAD System and contact phone numbers at the regional technical management offices can be obtained by accessing the electronic address www.bcb.gov.br, "Unicad" icon.

8. Communication 10,435 of November 25, 2002 is hereby revoked.

Brasília, December 13, 2002.

Department of Information Management Department of Informatics of the Financial System

Sérgio Almeida de Souza Lima José Antônio Eirado Neto Chief Chief