2022-09-13
Added · Updated
CVM Resolution No. 167 amends Resolution CVM No. 21 of February 25, 2021, by updating Annex A to recognize specific ANBIMA certification exams (CGA and CGE) as acceptable for the application of Article 3, item III. It also modifies Annex D and Annex E to require natural and legal persons, respectively, to disclose their sector of activity and the certification exams taken for portfolio management roles in their Reference Forms. The resolution entered into force on October 3, 2022.
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CVM RESOLUTION NO. 167, OF SEPTEMBER 13, 2022
Amends CVM Resolution No. 21, of February 25, 2021.
THE PRESIDENT OF THE SECURITIES AND EXCHANGE COMMISSION OF BRAZIL – CVM makes public that the Board, in a meeting held on September 13, 2022, based on Articles 8, item I, 15, item III and § 1, and 23 of Law No. 6.385, of December 7, 1976, APPROVED the following Resolution:
Art. 1 CVM Resolution No. 21, of February 25, 2021, shall be in effect with the following wording:
“ANNEX A TO CVM RESOLUTION NO. 21, OF FEBRUARY 25, 2021 Certification exams accepted by CVM for the purposes of applying Article 3, item III
Art. 1 ...........................................................................
I – ANBIMA Manager Certification – CGA and ANBIMA Manager Certification for Structured Funds – CGE, obtained within the framework of a program organized by the Brazilian Association of Financial and Capital Market Entities; ............................................................. ” (NR)
“ANNEX D TO CVM RESOLUTION NO. 21, OF FEBRUARY 25, 2021 Content of the Reference Form – Natural Person – Art. 17, I (information provided based on positions as of December 31)
...........................................................................
3. Knowledge and experience
...........................................................................
3.2 Indicate the sector of activity and the certification exam taken for the purposes of Article 3, III, of this Resolution
3.3 Provide other information deemed relevant
...........................................................................” (NR)
SECURITIES AND EXCHANGE 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 – Corporate Financial Center Building, S.404/4th Floor, Brasília/DF – ZIP: 70712-900 – Brazil - Tel.: (61) 3327-2030/2031 www.cvm.gov.br
CVM RESOLUTION NO. 167, OF SEPTEMBER 13, 2022
“ANNEX E TO CVM RESOLUTION NO. 21, OF FEBRUARY 25, 2021 Content of the Reference Form – Legal Entity – Art. 17, II (information provided based on positions as of December 31)
...........................................................................
3. Human resources
...........................................................................
d. indicate the sector of activity of the directors responsible for the administration of securities portfolios and the respective certification exams taken for the purposes of Article 3, III, c/c Article 4, III, of this Resolution e. list of natural persons who are registered with CVM as administrators of securities portfolios and who act exclusively as proxies, employees or partners of the company, as well as their respective sectors of activity ...........................................................................” (NR)
Art. 2 This Resolution enters into force on October 3, 2022.
Signed electronically by
JOÃO PEDRO BARROSO DO NASCIMENTO
President
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This document amends: CVM Resolution No. 21 of February 25, 2021, with amendments introduced by Resolutions 162/22, 167/22, 179/23 and 209/24
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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