The deadline for securities market participants to submit or update their registration forms through the Electronic Compliance Statement ("Statement"), available through the CVMWebsystem, accessed through the individual's or legal entity's CPF/CNPJ and password.
The Statement is mandatory for all participants in the securities market*, even if the data has not changed or is not subject to change. In addition, failure to submit the Statement or untimely submission will result in a daily fine of R$200.00 for legal entities, and R$100.00 for individuals.
Participants whose registration has been suspended are not subject to the submission of the Statement.
Specifically regarding the autonomous investment agents (individuals or legal entities), the Statement must be sent in compliance with the rules issued by the accrediting and self-regulatory institution authorized by CVM, in addition to those issued by CVM itself.
Access here the guide for sending the Statement, prepared by CVM.
Under the terms of CVM Instruction 510 (Annex I), the following are considered securities market participants:
- portfolio manager - legal entity;
- portfolio manager - natural person;
- administrator of a receivables investment fund - FIDC;
- administrator of a real estate investment fund - FII;
- Self-employed investment agent - legal entity;
- autonomous investment agent - natural person;
- independent auditor - legal entity;
- independent auditor-natural person;
- investment bank;
- multiple bank with investment portfolio;
- savings banks;
- securities adviser - legal entity;
- securities adviser - natural person;
- credit unions;
- brokers;
- commodity brokerages;
- distributors;
- issuer of Certificate of Potential Additional Construction - CEPAC;
- fund for financing the national cinematographic industry - FUNCINE;
- investment fund - FI;
- investment fund in quotas of investment funds in credit rights - FICFIDC;
- investment fund in quotas of equity investment funds - FICFIP;
- investment fund in credit rights - FIDC;
- investment fund in non-standardized credit rights - FIDC-NP;
- equity investment fund - FIP;
- real estate investment fund - FII;
- mutual fund for investment in emerging companies - FMIEE;
- organized securities market;
- provider of book-entry share services;
- provider of securities custody services;
- service provider of book entry debentures;
- the service provider of the issue of certificates;
- provider of share bookkeeping services - equity investment fund;
- credit rating agencies; and
- trustee.
