Joint Circular CVM/SIN/SMI 04/19

16/09/2019 SEI/CVM - 0841138 - Ofício-Circular

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SECURITIES AND EXCHANGE COMMISSION OF BRAZIL (COMISSÃO DE VALORES MOBILIÁRIOS)

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

Circular Letter No. 4/2019-CVM/SMI/SIN

Rio de Janeiro, September 16, 2019.

To
Directors Responsible for CVM Instruction No. 301, of April 16, 1999

Subject: Communications published by FATF.

Dear Sirs/Madams,

1. With a view to the faithful compliance with CVM Instruction No. 301/99, in particular, the provisions of item VIII, of Article 6, and item I of paragraph 1, of the same article, we inform you that the Financial Action Task Force (FATF), in its plenary meeting held on June 21, 2019, approved and published communications that list countries and jurisdictions with strategic deficiencies in the prevention of money laundering and the combating of terrorist financing. The communications, translated into Portuguese, were disclosed on the website of the Financial Intelligence Unit:

http://fazenda.gov.br/assuntos/prevencao-lavagem-dinheiro/alertas-pld-ft/comunicado-do-gafi-de-junho-de-2019

http://fazenda.gov.br/assuntos/prevencao-lavagem-dinheiro/alertas-pld-ft/aprimorando-a-observancia-global-ald-cft-processo-em-curso-2013-21-de-junho-de-2019

Sincerely,

FRANCISCO JOSÉ BASTOS SANTOS DANIEL WALTER MAEDA BERNARDO Superintendent of Market Relations and Intermediaries Superintendent of Institutional Investor Relations

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Document electronically signed by Francisco José Bastos Santos, Superintendent, on 09/16/2019, at 14:26, based on art. 6, § 1, of Decree No. 8.539, of October 8, 2015.

Document electronically signed by Daniel Walter Maeda Bernardo, Superintendent, on 09/16/2019, at 18:01, based on art. 6, § 1, of Decree No. 8.539, of October 8, 2015.

The authenticity of the document can be verified on the site https://sei.cvm.gov.br/conferir_autenticidade, by entering the verification code 0841138 and the CRC code FFDB31A2. This document's authenticity can be verified by accessing https://sei.cvm.gov.br/conferir_autenticidade, and typing the "Verification Code" 0841138 and the "CRC Code" FFDB31A2.

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16/09/2019                                                                 SEI/CVM - 0841138 - Ofício-Circular

Reference: Process No. 19957.003152/2018-21                                                                                 SEI Document No. 0841138

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