CNV/DRC Circular No. 021/2023 issued on May 09, 2023 by the National Securities Commission (CNV) provides instructions related to the remission of Quarterly and Annual Periodic Documentation in accordance with the General Regulations of the Securities Market, established in CNV Resolution CG No. 35/23 of February 9, 2023. The main aspects of the Resolution are summarized below:
- It is established that the e-mail address through which the aforementioned periodic documentations must be sent is email@example.com;
- The format for sending the documentation is specified. In this regard, a file named as follows must be attached: "Corporate name of the Brokerage House (xxx) followed by the period and year (Month 20xx)". In addition, it is requested that the subject of the e-mail follow the same reference;
- It is established that an acknowledgement of receipt will be sent to the sender to confirm receipt of the documentation sent in the same e-mail; and
- In the event that the obligated entities encounter difficulties in the electronic transmission, the information must be sent in a physical medium, using a note addressed to the Incoming Desk of the National Securities Commission.