Circular Letter No. 3966 — Discloses document models required for database manager registration processes for receiving credit compliance information under Law No. 12,414 of June 9, 2011

The Head of the Department of Organization of the Financial System (Deorf), using the authority granted to him by Articles 23, item I, letter “a”, and 96, item XII, of the Internal Regulations of the Central Bank of Brazil, annexed to Ordinance No. 84,287, of February 27, 2015,

R E S O L V E S:

Article 1. The document models indicated below are disclosed, available in the Organization Manual of the Financial System (Sisorf), for the purpose of instructing processes of interest to database managers for the reception of compliance information, as provided for in Law No. 12,414, of June 9, 2011, originating from financial institutions and other institutions authorized to operate by the Central Bank of Brazil, in the manner of Circular No. 3,955, of July 29, 2019:

I - models of request and communication, referred to in item 1 of the Annex to Circular No. 3,955, of 2019:

a) registration request, available for download in Sisorf 8.14.10.1;

b) request for cancellation of registration, available for download in Sisorf 8.14.10.2;

c) communication of designation of responsible director, available for download in Sisorf 8.14.20.1;

d) communication of change in the control group, available for download in Sisorf 8.14.20.2;

e) communication of dismissal of responsible director, available for download in Sisorf 8.14.20.3;

II - model of declaration of compliance with the conditions established in Article 8 of Resolution No. 4,737, of July 29, 2019, signed by the database manager and the designated director, and of authorization to the Central Bank of Brazil, signed by the designated director, referred to in Article 3, items II and III, of Circular No. 3,955, of 2019, and in items 10 and 11 of the Annex to the aforementioned Circular, available for download in Sisorf 8.14.30.1;

III - model of declaration of compliance with the conditions established in Article 8 of Resolution No. 4,737, of 2019, referred to in Articles 2, item IV, and 5, item III, of Circular No. 3,955, of 2019, and in item 8 of the Annex to the aforementioned Circular, signed by the members of the control group, available for download in Sisorf 8.14.30.2;

IV - model of declaration of exercise of control and awareness of responsibility, referred to in Articles 2, item VI, and 5, item III, of Circular No. 3,955, of 2019, and in item 3 of the Annex to the aforementioned Circular, signed by the controllers, available for download in Sisorf 8.14.30.3;

V - model of declaration of responsibility, referred to in Article 6, item II, of Circular No. 3,955, of 2019, and in item 17 of the Annex to the aforementioned Circular, signed by the database manager, available for download in Sisorf 8.14.30.4;

VI - model of declaration with identification of the members of the control group, referred to in Articles 2, item V, and 5, item I, of Circular No. 3,955, of 2019, and in item 2 of the Annex to the aforementioned Circular, signed by the database manager, available for download in Sisorf 8.14.30.5;

VII - model of authorization to the Central Bank of Brazil, referred to in Articles 2, item III, and 5, item III, of Circular No. 3,955, of 2019, and in item 9 of the Annex to the aforementioned Circular, signed by the members of the control group, available for download in Sisorf 8.14.40.1; and

VIII - models of registration forms, natural person and legal entity, mentioned in items 4 and 5 of the Annex to Circular No. 3,955, of 2019, available for download in Sisorf 8.10.20.2 and Sisorf 8.10.20.4, respectively.

Article 2. The documents for instructing the processes referred to in this circular letter must be filed with the Central Bank of Brazil, directed to the Department of Organization of the Financial System (Deorf).

Article 3. Sisorf can be accessed on the Central Bank of Brazil’s internet page (www.bcb.gov.br).

Article 4. This Circular Letter enters into force on the date of its publication.

José Reynaldo de Almeida Furlani