Documentation for Registration and Distribution of Closed Investment Fund Units | B3
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Securities registration

Documentation for Registration and Distribution of Closed Investment Fund Units

Instructions for filling of PDF documents:

Whenever there is an editable field, you will see a green arrow on the left side column. Hovering the cursor over a field to be filled, the page displays the name and purpose of what is to be inserted in that space. Because it is a PDF, there is a limitation of characters per field and changing the font is not possible.

Upon completion, the document can be saved in PDF format and may be printed. Versions to be sent to B3 must be completely filled in the computer, but the signature must be original and in ink.

Observation: the documents above must be signed according to the signature card held at B3.

In addition to the abovementioned documentation, the following documents are also required:

  1. Authenticated copy of a document proving constitution and operation;
  2. Authenticated copy of the MInutes of the general meeting electing the current management;
  3. Copy of the Corporate Taxpayer’s ID

Observation: Documents proving the constitution and operation include resolutions of constitution and resolutions of annual or extraordinary general meetings, the company's charter or its bylaws and/or its articles of association and its operating authorization.

A) Registration with CINE

  1. The Closed Fund must be a B3 Participant. To open an account, visit Investment Fund Registration
  2. Letter from lead coordinator forwarding preliminary prospectus on CD for internet publication (the letter must include the physical and electronic addresses where the prospectus will be available)
  3. Announcement of Start of Distribution
  4. Letter from the lead distributor or fund manager forwarding the final prospectus on CD (PDF file for internet publication).
  5. On the settlement date, the fund custodian should create the asset in the SFF - Closed Investment Fund System, at Manuals and review the Fund Module Manual under Registration.
  6. Authorization for Confirmation of Deposit [ZIP - 26KB]
  7. Authorization for Confirmation of Withdrawal [ZIP - 26KB]
  8. Authorization of Legal Manager (Custodian) [ZIP - 623KB]
  9. Request for Registration as per ICVM476 [ZIP - 8KB]
  10. Copy of the Fund Operation Registration Document with the CVM
  11. Issuer registration granted by the CVM
  12. Request for registration of single lot [ZIP - 8KB]

B) Agreement Term

C) Issue of Payment Slip for Pre-registration of the asset