RegAlert
2019-12-05

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CVM Resolution 50 of August 31, 2021, with Amendments Introduced by CVM Resolutions 179/23 and 245/26

CVM Resolution 50 establishes the regulatory framework for the prevention of money laundering, terrorist financing, and the financing of the proliferation of weapons of mass destruction (PLD/FTP) within the Brazilian securities market, revoking Instruction CVM No. 617/2019. It mandates that covered entities—including securities distributors, market administrators, and independent auditors—implement a risk-based PLD/FTP policy, conduct internal risk assessments, and maintain robust internal controls, client identification, and monitoring procedures. The resolution requires the appointment of a compliance director to submit an annual risk assessment report to the CVM by the last business day of April and defines specific obligations for identifying beneficial owners and reporting suspicious transactions to the Financial Activities Control Council (COAF).

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SECURITIES AND EXCHANGES COMMISSION OF BRAZIL (CVM) Rua Sete de Setembro, 111/2-5th and 23-34th Floors, Center, Rio de Janeiro/RJ – ZIP: 20050-901 – Brazil - Tel.: (21) 3554-8686 Rua Cincinato Braga, 340/2nd, 3rd and 4th Floors, Bela Vista, São Paulo/SP – ZIP: 01333-010 – Brazil - Tel.: (11) 2146-2000 SCN Q.02 – Bl. A – Ed. Corporate Financial Center, S.404/4th Floor, Brasília/DF – ZIP: 70712-900 – Brazil - Tel.: (61) 3327-2030/2031 www.cvm.gov.br

CVM RESOLUTION NO. 50, OF AUGUST 31, 2021, WITH AMENDMENTS INTRODUCED BY CVM RESOLUTIONS NO. 179/23 AND 245/26.

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Lineage: In force

Law No. 9,613 of March 3, 1998 …1998Law No. 13,810, of March 8, 201…2019Act No. 5640 dated 2005-12-26not in RegAlertLaw No. 6385 dated 1976-12-07not in RegAlertLaw No. 13,260, of March 16, 20…2016Resolution No. 179 dated 2023-0…not in RegAlertResolution No. 245 of 2026not in RegAlertCVM Resolution 50 of August31, 2021, with Amendments Int…2019-12-05 · this document
amendssupersedesissued underrefers toproposed or not in RegAlertarrows run from the older text to the one that changes it

Source: Comissão de Valores Mobiliários — original document · Summary generated with machine assistance and reviewed before publication; the authoritative text is the regulator's original document. How RegAlert works

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CVM published 5 documents in the last 30 days. We email you each new one the day it's published.

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