CVM Resolution No. 51 of August 31, 2021, with amendments from Resolutions CVM Nos. 60/21, 79/21, 162/22, 169/22 and 179/23

SECURITIES AND EXCHANGES COMMISSION OF BRAZIL
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

CVM RESOLUTION NO. 51, OF AUGUST 31, 2021 WITH THE CHANGES INTRODUCED BY CVM RESOLUTIONS NOS. 60/21, 79/21, 162/22, 169/22 AND 179/23.

Provides for the registration of securities market participants with the Securities and Exchanges Commission and revokes CVM Instruction No. 510, of December 5, 2011.

THE PRESIDENT OF THE SECURITIES AND EXCHANGES COMMISSION – CVM makes public that the Collegiate Board, in a meeting held on August 31, 2021, in accordance with the provisions of art. 8, item I, of Law No. 6.385, of December 7, 1976, APPROVED the following Resolution:

CHAPTER I – SCOPE AND PURPOSE

Art. 1 This Resolution provides for the registration of securities market participants with the Securities and Exchanges Commission – CVM.

Art. 2 The participants indicated in Annex A must, through an electronic system available on the worldwide computer network:
I – update their registration form whenever any information contained therein is altered, within up to 7 (seven) business days counted from the event that caused the alteration; and II – by March 31 of each year, confirm that the information contained in the form remains valid, with the exception of the participants mentioned in items V and VI of Annex A, who must confirm the information by the last business day of the month of April. II – by March 31 of each year, confirm that the information contained in the form remains valid, with the exception of the participants mentioned in items V and VI of Annex A, who must confirm the information by April 30, and in item XXII, who must confirm the information by May 31.

Item II with wording given by CVM Resolution No. 60, of December 23, 2021.

§ 1 The provisions of the caput do not apply to participants whose registration is suspended.

§ 2 Investment agents, legal entities and natural persons, must comply with the provisions of items I and II of the caput according to rules:

§ 2 Investment advisors, legal entities and natural persons, must comply with the provisions of items I and II of the caput according to rules:

Caput with wording given by CVM Resolution No. 179, of February 14, 2023.

I – defined by an accredited and self-regulatory institution authorized by the CVM; and II – previously approved by the CVM.

CHAPTER II – REGISTRATION

Art. 3 The registration form is an electronic document whose content reflects Annex B.

Art. 4 The General Superintendent is authorized to promote changes, additions or eliminations of participants and other of a technical-formal nature that may be necessary in Annexes A and B.

Art. 5 The address informed in the registration form will be used for the sending of summonses and correspondence issued by the CVM.

Sole paragraph. For the purposes of the provisions of the caput, participants may inform more than one physical or electronic address.

Art. 6 Failure to comply with the provisions of art. 2 subjects the participant to the daily fine provided for in the specific norm that deals with coercive fines.

Sole paragraph. The value of the coercive fine referred to in the caput will be reduced by half when it concerns a delay in compliance with the provisions of art. 2, II, by an independent auditor who does not have clients within the scope of the securities market.

Sole paragraph included by CVM Resolution No. 169, of September 20, 2022.

CHAPTER III – FINAL PROVISIONS

Art. 7 CVM Instruction No. 510, of December 5, 2011, is revoked.

Art. 8 This Resolution enters into force on October 1, 2021.

Electronically signed by
MARCELO BARBOSA
President

ANNEX A TO CVM RESOLUTION NO. 51, OF AUGUST 31, 2021

Provides for the list of participants referred to in art. 2

I – portfolio administrator - legal entity;
II – portfolio administrator - natural person; III – investment fund administrator in credit rights - FIDC; IV – real estate investment fund administrator - FII; V – independent auditor - legal entity; VI – independent auditor - natural person; VII – investment bank; VIII – multiple bank with investment portfolio; IX – savings banks; IX - REVOKED

Item IX revoked by CVM Resolution No. 79, of March 29, 2022.

X – consultant - legal entity;
XI – consultant - natural person;
XII – credit cooperatives;
XII – REVOKED

Item XII revoked by CVM Resolution No. 79, of March 29, 2022.

XIII – brokers;
XIV – distributors;
XV – issuer of Certificate of Additional Construction Potential - CEPAC; XVI – organized securities market; XVII – securities registrar; XVIII – securities custodian; XIX – credit risk rating agencies;

XX – fiduciary agent, and
XX – fiduciary agent;

Item XX with wording given by CVM Resolution No. 60, of December 23, 2021.

XXI – provider of electronic platform service for participatory investment.
XXI – provider of electronic platform service for participatory investment; and

Item XXI with wording given by CVM Resolution No. 60, of December 23, 2021.

XXI – provider of electronic platform service for participatory investment;

Item XXI with wording given by CVM Resolution No. 162, of July 13, 2022.
XXII – securitization company.
Item XXII included by CVM Resolution No. 60, of December 23, 2021.

XXII – securitization company; and

Item XXII with wording given by CVM Resolution No. 162, of July 13, 2022.

XXIII – coordinators of public offerings of securities.

Item XXIII included by CVM Resolution No. 162, of July 13, 2022.

ANNEX B TO CVM RESOLUTION NO. 51, OF AUGUST 31, 2021

Provides for the content of the registration information referred to in art. 3

1 - REGISTRATION INFORMATION RELATIVE TO THE PORTFOLIO ADMINISTRATOR (LEGAL ENTITY) General Data:
CNPJ (Corporate Taxpayer Registry).
Social Name.
Trade Name.
Headquarters:
Street.
Complement.
Neighborhood.
Municipality.
State (UF).
Zip Code.
Telephone.
E-mail.
Correspondence:
Street.
Complement.
Neighborhood.
Municipality.
State (UF).
Zip Code.
Telephone.
E-mail.
Responsible Director or Managing Partner.
CPF (Individual Taxpayer Registry).
Legal or Natural Person contracted to provide securities analysis services.

2 - REGISTRATION INFORMATION RELATIVE TO THE PORTFOLIO ADMINISTRATOR (NATURAL PERSON) General Data:
CPF (Individual Taxpayer Registry).
Name.
Street.
Complement.
Neighborhood.
Municipality.
State (UF).
Zip Code.
Telephone.
E-mail.

3 - REGISTRATION INFORMATION RELATIVE TO THE INVESTMENT FUND ADMINISTRATOR IN CREDIT RIGHTS General Data:
Website address.
Social Name.
Date of start of social name.
Trade Name.
Date of start of trade name.
Situation.
Date of start of Situation.
Responsible Director
CPF/CNPJ.
Type.
Start date.
End date.
Address:
Address type.
Street.
Complement.
Neighborhood.
P.O. Box.
State (UF).
Municipality.
Zip Code.
Related telephones.

4 - REGISTRATION INFORMATION RELATIVE TO THE REAL ESTATE INVESTMENT FUND ADMINISTRATOR General Data:
Website address.
Social Name.
Date of start of social name.
Trade Name.
Date of start of trade name
Situation.
Date of start of Situation.
Responsible Director
CPF.
Name.
E-mail.
Street.
Complement.
Neighborhood.
State (UF).
Municipality.
Zip Code.
Related telephones.
Start date.
Address:
Address type.
Street.
Complement.
Neighborhood.
P.O. Box.
State (UF).
Municipality.
Zip Code.

Related telephones.
Related e-mails.

5 - REGISTRATION INFORMATION RELATIVE TO THE INDEPENDENT AUDITOR (LEGAL ENTITY) General Data:
Website address.
Social Name.
Date of start of social name.
Address:
Address type.
Street.
Complement.
Neighborhood.
P.O. Box.
State (UF).
Municipality.
Zip Code.
Related telephones.
Related e-mails.
Representatives
CPF.
Name.
Professional Council.
Start date.
End date.

6 - REGISTRATION INFORMATION RELATIVE TO THE INDEPENDENT AUDITOR (NATURAL PERSON) General Data:
Name.
Website address.
Start date.
Address:
Address type.
Street.
Complement.
Neighborhood.
P.O. Box.
State (UF).
Municipality.
Zip Code.
Related telephones.
Related e-mails.

7 - REGISTRATION INFORMATION RELATIVE TO THE INVESTMENT BANK Address:
Address type.
Street.
Complement.
Neighborhood.
State (UF).
Municipality.
Zip Code.
Telephone.
E-mail
Director responsible for the norms and procedures to be observed in the intermediation of operations carried out with securities in regulated securities markets:
CPF.
Name.
E-mail.
Street.
Complement.
Neighborhood.
State (UF).
Municipality.
Zip Code.
Related telephones.
Start date.
End date.
Director responsible for the prevention of money laundering, terrorist financing and the proliferation of weapons of mass destruction:
CPF.
Name.
E-mail.
Street.

Complement.
Neighborhood.
State (UF).
Municipality.
Zip Code.
Related Telephones.
Start date.
End date.
Director responsible for the ombudsman service within the scope of the securities market:
CPF.
Name.
E-mail.
Street.
Complement.
Neighborhood.
State (UF).
Municipality.
Zip Code.
Related Telephones.
Start date.
End date.

8 - REGISTRATION INFORMATION RELATIVE TO THE MULTIPLE BANK WITH INVESTMENT PORTFOLIO Address:
Address type.
Street.
Complement.
Neighborhood.
State (UF).
Municipality.
Zip Code.
Telephone.
E-mail.
Director responsible for the norms and procedures to be observed in the intermediation of operations carried out with securities in regulated securities markets:
CPF.
Name.
E-mail.
Street.
Complement.
Neighborhood.
State (UF).
Municipality.
Zip Code.
Related telephones.
Start date.
End date.
Director responsible for the prevention of money laundering, terrorist financing and the proliferation of weapons of mass destruction:
CPF.
Name.
E-mail.

Street.
Complement.
Neighborhood.
State (UF).
Municipality.
Zip Code.
Related telephones.
Start date.
End date.
Director responsible for the ombudsman service within the scope of the securities market:
CPF.
Name.
E-mail.
Street.
Complement.
Neighborhood.
State (UF).
Municipality.
Zip Code.
Related telephones.
Start date.
End date.

9 - REGISTRATION INFORMATION RELATIVE TO SAVINGS BANKS General Data:
Website address.
Social Name.
Date of start of social name.
Address:
Address type.
Street.
Complement.
Neighborhood.
P.O. Box.
State (UF).
Municipality.
Zip Code.
Related telephones.
Related e-mails.
Director responsible for the prevention of money laundering, terrorist financing and the proliferation of weapons of mass destruction:
CPF.
Name.
E-mail.
Street.
Complement.
Neighborhood.
State (UF).
Municipality.
Zip Code.
Related telephones.
Start date.
Director responsible for the norms and procedures to be observed in the intermediation of operations carried out with securities in regulated securities markets:

CPF.
Name.
E-mail.
Street.
Complement.
Neighborhood.
State (UF).
Municipality.
Zip Code.
Related telephones.
Start date.
Director responsible for CVM Instruction 424, of October 4, 2005:
CPF.
Name.
E-mail.
Street.
Complement.
Neighborhood.
State (UF).
Municipality.
Zip Code.
Related telephones.
Start date.
Director responsible for the ombudsman service within the scope of the securities market:
CPF.
Name.
E-mail.
Street.
Complement.
Neighborhood.
State (UF).
Municipality.

Zip Code.
Related telephones.
Start date.
End date.

9 – REVOKED

Item 9 revoked by CVM Resolution No. 79, of March 29, 2022.

10 - REGISTRATION INFORMATION RELATIVE TO THE CONSULTANT (LEGAL ENTITY) General Data:
Website address.
Social Name.
Date of start of social name.
Trade Name.
Date of start of trade name
Address:
Address type.
Street.
Complement.
Neighborhood.
P.O. Box.
State (UF).
Municipality.
Zip Code.
Related telephones.
Related e-mails.

11 - REGISTRATION INFORMATION RELATIVE TO THE CONSULTANT (NATURAL PERSON) General Data:
Name.
Website address.
Start date.
Address:
Address type.
Street.
Complement.
Neighborhood.
P.O. Box.
State (UF).
Municipality.
Zip Code.
Related telephones.
Related e-mails.

12 - REGISTRATION INFORMATION RELATIVE TO CREDIT COOPERATIVES General Data:
Website address.
Social Name.
Date of start of social name.
Address:
Address type.
Street.
Complement.
Neighborhood.
P.O. Box.
State (UF).
Municipality.
Zip Code.
Related telephones.
Related e-mails.
Director responsible for the prevention of money laundering, terrorist financing and the proliferation of weapons of mass destruction:
CPF.
Name.
E-mail.
Street.
Complement.
Neighborhood.
State (UF).
Municipality.
Zip Code.
Related telephones.
Start date.
Director responsible for the norms and procedures to be observed in the intermediation of operations carried out with securities in regulated securities markets:

12 – REVOKED

Item 12 revoked by CVM Resolution No. 79, of March 29, 2022.

13 - REGISTRATION INFORMATION RELATIVE TO BROKERS Address:
Address type.
Street.
Complement.
Neighborhood.
State (UF).
Municipality.
Zip Code.
Telephone.
E-mail.
Director responsible for the norms and procedures to be observed in the intermediation of operations carried out with securities in regulated securities markets:
CPF.
Name.
E-mail.
Street.
Complement.
Neighborhood.
State (UF).
Municipality.
Zip Code.
Related telephones.
Start date.
End date
Director responsible for the prevention of money laundering, terrorist financing and the proliferation of weapons of mass destruction:
CPF.
Name.
E-mail.
Street.

Complement.
Neighborhood.
State (UF).
Municipality.
Zip Code.
Related telephones.
Start date.
End date
Director responsible for the ombudsman service within the scope of the securities market:
CPF.
Name.
E-mail.
Street.
Complement.
Neighborhood.
State (UF).
Municipality.
Zip Code.
Related telephones.
Start date.
End date.

14 - REGISTRATION INFORMATION RELATIVE TO DISTRIBUTORS Address:
Address type.
Street.
Complement.
Neighborhood.
State (UF).
Municipality.
Zip Code.
Telephone.
E-mail.
Director responsible for the norms and procedures to be observed in the intermediation of operations carried out with securities in regulated securities markets:
CPF.
Name.
E-mail.
Street.
Complement.
Neighborhood.
State (UF).
Municipality.
Zip Code.
Related telephones.
Start date.
End date
Director responsible for the prevention of money laundering, terrorist financing and the proliferation of weapons of mass destruction:
CPF.
Name.
E-mail.
Street.

Complement.
Neighborhood.
State (UF).
Municipality.
Zip Code.
Related telephones.
Start date.
End date.
Director responsible for the ombudsman service within the scope of the securities market:
CPF.
Name.
E-mail.
Street.
Complement.
Neighborhood.
State (UF).
Municipality.
Zip Code.
Related telephones.
Start date.
End date.

15 - REGISTRATION INFORMATION RELATIVE TO THE ISSUER OF CERTIFICATE OF ADDITIONAL CONSTRUCTION POTENTIAL - CEPAC General Data:
Website address.
Social Name.
Date of start of social name.
Situation.
Date of start of situation.
Responsible:
CPF
Name
E-mail
Street.
Complement.
Neighborhood.
State (UF).
Municipality.
Zip Code.
Related telephones.
Start date.
Address:
Address type.
Street.
Complement.
Neighborhood.
P.O. Box.
State (UF).
Municipality.
Zip Code.
Related telephones.
Related e-mails.

COMISSÃO DE VALORES MOBILIÁRIOS
Rua Sete de Setembro, 111/2-5º e 23-34º Andares, Centro, Rio de Janeiro/RJ – CEP: 20050-901 – Brasil - Tel.: (21) 3554-8686 Rua Cincinato Braga, 340/2º, 3º e 4º Andares, Bela Vista, São Paulo/ SP – CEP: 01333-010 – Brasil - Tel.: (11) 2146-2000 22 - REGISTRATION INFORMATION RELATING TO SECURITIZATION COMPANIES 1 General Data
1.1 Business Name
1.2 Date of the last change of business name
1.3 Previous business name
1.4 Date of incorporation
1.5 National Registry of Legal Entities (CNPJ)
1.6 CVM Code
1.7 Date of registration with CVM
1.8 Category of registration with CVM
a) S1 b) S2
1.9 Date of registration in the current CVM category
1.10 Status of registration with CVM:
a) active b) under analysis c) not granted d) suspended e) cancelled
1.11 Date of commencement of the CVM registration status
1.12 Status of the securitization company:
a) pre-operational phase b) operational phase c) in judicial reorganization or equivalent d) in extrajudicial reorganization e) in bankruptcy f) in extrajudicial liquidation g) in judicial liquidation h) paralyzed
1.13 Date of commencement of the securitization company status
1.14 Type of shareholding control

COMISSÃO DE VALORES MOBILIÁRIOS
Rua Sete de Setembro, 111/2-5º e 23-34º Andares, Centro, Rio de Janeiro/RJ – CEP: 20050-901 – Brasil - Tel.: (21) 3554-8686 Rua Cincinato Braga, 340/2º, 3º e 4º Andares, Bela Vista, São Paulo/ SP – CEP: 01333-010 – Brasil - Tel.: (11) 2146-2000 a) state-owned b) foreign c) national private
1.15 Date of the last change of the type of shareholding control
1.16 Date of closing of the fiscal year
1.17 Date of the last change of the fiscal year
1.18 Website of the securitization company
1.19 Communication channels used by the securitization company
a) Newspapers in which the securitization company carries out the publications required by law b) Communication channels in which the securitization company discloses information on material acts and facts, including the electronic address in the case of news portals. 2 Securities and trading markets
2.1 For each species of security admitted to trading in regulated markets in Brazil:
a) Name:
i) Debentures ii) Real Estate Receivables Certificates iii) Agribusiness Receivables Certificate iv) Other securitization titles v) Other securities b) Market in which the securities are traded:
i) Organized OTC ii) Stock Exchange c) Market administrator entity in which the securities are admitted to trading. 3 Auditor
3.1 Name
3.2 CNPJ/CPF
3.3 Date of commencement of service provision
3.4 Technical Manager
3.5 CPF of the technical manager
4 Director responsible for securitization activities

Item 22 included by CVM Resolution No. 60, of December 23, 2021.

Item 23 included by CVM Resolution No. 162, of July 13, 2022.

CVM Resolution No. 51 of August 31, 2021, with amendments from Resolutions CVM Nos. 60/21, 79/21, 162/22, 169/22 and 179/23

Lineage: Superseded

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