Discloses the procedures to be observed for registration and updating of the registry, in the Financial Activities Control Council – Coaf, of those subject to its supervision, in accordance with arts. 10, IV, and 14, § 1, of Law No. 9.613, of March 3 1998.

The PRESIDENT OF THE FINANCIAL ACTIVITIES CONTROL COUNCIL – COAF, in the exercise of the authority conferred by item II of art. 9 of the Statute approved by Decree No. 9.663, of January 1 2019, kept in force, in accordance with art. 9 of Law No. 13.901, of November 11 2019, insofar as compatible with Law No. 13.974, of January 7 2020, resolves:

SECTION I

OBJECT AND SCOPE OF THIS NORMATIVE INSTRUCTION

Art. 1 This Normative Instruction aims to establish the procedures to be observed for the registration and updating of the registry, in the Financial Activities Control Council – Coaf, of those subject to its supervision, in accordance with arts. 10, IV, and 14, § 1, of Law No. 9.613, of March 3 1998, among the persons referred to in art. 9 of the same Law for whom no specific supervisor or regulator exists.

SECTION II

REGISTRATION AND UPDATE OF THE REGISTRY

Art. 2 The supervised persons referred to in art. 1 must register with Coaf through the Financial Activities Control System – Siscoaf, made available on the agency’s website at www.siscoaf.fazenda.gov.br or any subsequent updates, using a valid digital certificate issued in accordance with the Brazilian Public Key Infrastructure – ICP‑Brasil, as provided by Provisional Measure No. 2.200‑2, of August 24 2001, combined with art. 2 of Constitutional Amendment No. 32, of September 11 2001.

§ 1 The registration referred to in the main paragraph consists of providing data related to the supervised entity to be registered, as specified in the Annex to this Normative Instruction, including at least one of its administrators, except when the entity to be registered is a natural person, without prejudice to the broad liability provided for in art. 12 of Law No. 9.613, of 1998.

§ 2 In addition to the administrator(s) indicated in § 1, a person(s) authorized to operate Siscoaf on behalf of the registrant and its administrator(s) may also be designated in the registration, without prejudice to the broad liability provided for in art. 12 of Law No. 9.613, of 1998.

Art. 3 The supervised persons referred to in art. 1 must keep the registry addressed in this Section II up‑to‑date, recording any changes to their data through Siscoaf.

SECTION III

DEADLINES FOR REGISTRATION AND UPDATE OF THE REGISTRY

Art. 4 The supervised persons referred to in art. 1 have the following deadlines:

I – 90 (ninety) days to promptly carry out the registration referred to in Section II, counted from the date:

a) of obtaining, when applicable, the corresponding registration number in the National Register of Legal Entities – CNPJ;

b) of the start of the activity for which the duties assigned by arts. 10 and 11 of Law No. 9.613, of 1998, subject the entity to Coaf supervision as provided in § 1 of art. 14 of the same Law; or

c) of the commencement or the production of effects of a normative or administrative act whereby the duties mentioned in item b become subject to Coaf supervision as provided in § 1 of art. 14 of Law No. 9.613, of 1998;

II – 30 (thirty) days to promptly carry out the update of the registry referred to in art. 3, counted from the date each alteration in its data occurs and must be recorded for update purposes.

§ 1 Supervised persons already registered in Coaf on the date this Normative Instruction enters into force have, from that date, the same deadline established in item I to promptly make any complementary or necessary adjustments to their registration data, for the purpose of adapting to the innovations introduced by this Instruction compared with the normative discipline previously outlined in Circular‑Letter No. 1, of December 1 2014, of Coaf.

§ 2 Without prejudice to the necessary observance of the deadlines defined in this article to ensure the inapplicability of any related sanction, the duties herein regulated, as well as those in Section II, must continue to be fulfilled even after the aforementioned deadlines, including for the purpose of terminating the persistence of the infraction due to non‑compliance, as provided in art. 1 of Law No. 9.873, of November 23 1999.

SECTION IV

CANCELLATION OF THE REGISTRY

Art. 5 The supervised persons referred to in art. 1 must request the cancellation of the registry addressed in Section II when:

I – they cease their activities; or

II – they cease to be characterized as subjects to Coaf supervision of the duties assigned to them by arts. 10 and 11 of Law No. 9.613, of 1998, as provided in § 1 of art. 14 of the same Law.

§ 1 The cancellation request referred to in the main paragraph must be sent to Coaf within 90 (ninety) days, counted from the date:

I – of the cancellation, when applicable, of the registrant’s CNPJ registration; or

II – of the cessation of the activity(ies) that justified the maintenance of the registry to be cancelled.

§ 2 Regarding the form of the cancellation request referred to in the main paragraph, the provisions of Section II concerning registration must be observed, insofar as applicable.

SECTION V

FINAL PROVISIONS

Art. 6 The supervised persons referred to in art. 1 and their administrators are subject to the sanctions provided in art. 12 of Law No. 9.613, of 1998, in case of non‑compliance with the duties established in art. 10, item IV, of the same Law, combined with the provisions of this Normative Instruction.

Art. 7 Coaf, for the proper management of the registries maintained by the agency, may subject the execution, confirmation or granting of registration, registry update or cancellation request, addressed in Sections II and IV, to any resolutive or suspensive conditions it deems appropriate, at its discretion of convenience and opportunity, including the acceptance of justification required from the interested party, the execution of a measure it deems necessary, or the presentation of corresponding supporting documentation.

Art. 8 The provisions of this Normative Instruction concerning duties attributed to the persons referred to in art. 1 do not remove nor restrict Coaf’s ability to manage, feed, verify, update or cleanse any registries or sets of registries maintained by the agency, even unilaterally and without prior notice, when applicable in the exercise of any of its competencies, including ex officio, as well as any rights or powers it possesses under the legal order.

Art. 9 With the entry into force of this Normative Instruction, Circular‑Letter No. 1, of December 1 2014, of Coaf, is revoked.

Art. 10 This Normative Instruction enters into force on January 4 2021.

RICARDO LIÁO

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ANNEX

Data of the persons subject to the supervision of the Financial Activities Control Council – Coaf required for the registration addressed in this Normative Instruction:

I – in the case of a natural person:

a) Identification:

1. Registration number in the Individual Taxpayer Registry – CPF;
2. Full name;

b) Contact:

1. Complete commercial address, including Postal Code – CEP;
2. Telephone number;
3. Electronic correspondence address;

c) About the business:

1. Current economic activity that determines the registration;
2. Start date of the activity indicated in item 1;
3. Approximate number of clients served in the previous calendar year;
4. Gross revenue of the previous calendar year resulting from the exercise of the indicated economic activity.

II – in the case of a legal entity:

a) Identification:

1. Registration number in the National Register of Legal Entities – CNPJ;
2. Corporate name;
3. Trade name;
4. Complete commercial address of the headquarters, including CEP;

b) Contact of the administrator(s):

1. CPF registration number;
2. Full name;
3. Complete address, including CEP;
4. Telephone number;
5. Electronic correspondence address;

c) Contact of the person(s) designated to operate the Financial Activities Control System – Siscoaf:

1. Type of link;
2. CPF registration number;
3. Full name;
4. Complete address, including CEP;
5. Telephone number;
6. Electronic correspondence address;

d) About the business:

1. Current economic activity that determines the registration;
2. Start date of the activity indicated in item 1;
3. Number of branches as of December 31 of the previous year;
4. Geographical distribution of the branches as of December 31 of the previous year;
5. Number of employees, collaborators and similar as of December 31 of the previous year;
6. Approximate number of clients served in the previous calendar year;
7. Gross revenue of the previous calendar year resulting from the exercise of the indicated economic activity.

Reference: Process No. 08224.000371/2019-97

Published in the Official Gazette of the Union on 10/01/2020 | Edition: 189 | Section: 1 | Page: 58