Regulatory Alerts1991-01-22
Added · Updated
CVM Resolution 35 of May 26, 2021, with Amendments Introduced by Resolutions CVM No. 134/22, 179/23, and 209/24
CVM Resolution 35 establishes the rules and procedures for intermediating securities operations in regulated securities markets, revoking previous regulations including CVM Deliberation No. 105 and Instructions No. 51, 333, 505, 526, 581, 612, and 618. It mandates that intermediaries implement internal controls, designate specific statutory directors for compliance and internal supervision, and maintain updated client registries with audit trails. The resolution requires the recording of voice orders, the execution of transactions only upon prior client instruction, and the submission of an annual internal control report by the last business day of April.
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