{ "node": "br-cm-kg", "door": "https://mcp.br-cm-kg.ai", "market": "br", "jurisdiction_namespace": "br-eco-10060", "chapter": "br.chapter.v12", "source": "Book of Markets mirror (allooloocmkgapex/book), read at request time", "kind": "book-section", "family": "AIO", "version": "br.aio.v5", "supersedes": "br.aio.v4", "book_path": "br/sections/br.aio.v5.json", "book_sha256": "sha256:ca411a9ebfab52e2ebce7aeb25d9172ccd20a6352151bb37030bde6eb99e7be7", "section": { "section_id": "book:br:aio", "family": "AIO", "schema": "SM-ECO-10060 canonical text v1.0 (2026-10-30) · chapter schema v0.1 (unratified) · Appendix C", "schema_version": "0.1", "version": "br.aio.v5", "supersedes": "br.aio.v4", "market": "br", "node": "br-cm-kg", "produced_at": "2026-10-31T22:33:10Z", "observed": { "earliest_read": "2026-10-31T01:46:26Z", "latest_read": "2026-10-31T22:33:06Z" }, "fields": [ { "name": "duty_revision_ref", "value": "Resolução CVM nº 30, de 11 de maio de 2021, com as alterações introduzidas pelas Resoluções CVM nºs 162/22 e 179/23", "read_at": "2026-10-31T01:46:26Z", "pages_checked": [ "https://conteudo.cvm.gov.br/export/sites/cvm/legislacao/resolucoes/anexos/001/resol030consolid.pdf", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf", "https://www.gov.br/cvm/en/foreign-investors/regulation-of-interest", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf/@@download/file", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/resol160Traduo_v.SDM05042023.pdf/@@download/file", "https://conteudo.cvm.gov.br/cvm_institucional/export/sites/cvm/legislacao/resolucoes/anexos/001/resol030consolid.pdf", "https://conteudo.cvm.gov.br/legislacao/resolucoes/anexos/001/resol030consolid.docx", "https://conteudo.cvm.gov.br/legislacao/resolucoes/resol030.html", "https://conteudo.cvm.gov.br/cvm_institucional/legislacao/resolucoes/resol030.html", "https://conteudo.cvm.gov.br/legislacao/resolucoes/anexos/001/resol030.docx" ], "source_url": "https://conteudo.cvm.gov.br/export/sites/cvm/legislacao/resolucoes/anexos/001/resol030consolid.pdf", "source_date": "11 de maio de 2021" }, { "name": "product_scope", "value": [ { "instrument_class": "financial instruments", "rule": "CVM Resolution 160, Article 1, Sole paragraph", "covers": "financial instruments which regulation of public distribution is attributed by law to the CVM", "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/resol160Traduo_v.SDM05042023.pdf/@@download/file", "source_date": "April 4th, 2023", "read_at": "2026-10-31T22:32:30Z" }, { "instrument_class": "products, services, and operations", "rule": "Art. 1", "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf", "source_date": "May 11th, 2021", "read_at": "2026-10-31T18:32:06Z" }, { "instrument_class": "securities and bonds and financial instruments which regulation of public distribution is attributed by law to the CVM", "rule": "CVM Resolution 160, Article 1, Sole paragraph", "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/resol160Traduo_v.SDM05042023.pdf/@@download/file", "source_date": "July 13, 2022", "read_at": "2026-10-31T18:32:06Z" } ], "read_at": "2026-10-31T22:33:06Z", "pages_checked": [ "https://www.gov.br/cvm/en/foreign-investors/regulation-files/resol160Traduo_v.SDM05042023.pdf/@@download/file", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf", "https://www.gov.br/cvm/en/foreign-investors/regulation-of-interest", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf/@@download/file", "https://conteudo.cvm.gov.br/export/sites/cvm/legislacao/resolucoes/anexos/100/resol160consolid.pdf", "https://conteudo.cvm.gov.br/legislacao/resolucoes/anexos/100/resol160.docx" ], "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/resol160Traduo_v.SDM05042023.pdf/@@download/file", "source_date": "April 4th, 2023", "conflict": { "values": [ { "object": { "instrument_class": "securities", "rule": "CVM Resolution 160, Article 1, Sole paragraph", "covers": "securities", "cfi_categories": "" }, "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/resol160Traduo_v.SDM05042023.pdf/@@download/file", "quote": "apply to any and all public offerings for the distribution of securities and bonds and financial instruments which regulation", "source_date": "April 4th, 2023", "reason": "review PARTIAL: PARTIAL\n\nThe excerpt confirms that CVM Resolution 160 applies to public offerings of securities (supporting the \"instrument_class\" and \"covers\" fields), but the claimed supporting quote is incomplete " }, { "object": { "instrument_class": "bonds", "rule": "CVM Resolution 160, Article 1, Sole paragraph", "covers": "bonds", "cfi_categories": "DB" }, "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/resol160Traduo_v.SDM05042023.pdf/@@download/file", "quote": "apply to any and all public offerings for the distribution of securities and bonds and financial instruments which regulation", "source_date": "April 4th, 2023", "reason": "review PARTIAL: PARTIAL\n\nThe excerpt confirms that CVM Resolution 160 applies to public offerings of \"securities and bonds and financial instruments,\" but it does not explicitly restrict the scope to *only* bonds (th" } ], "reason": "objects that did not verify (each with its reason)", "selection_rule": "none — unresolved" } }, { "name": "client_categories", "value": [ { "identifier": "investidores profissionais", "criteria": "I – instituições financeiras e demais instituições autorizadas a funcionar pelo Banco Central do Brasil; II – companhias seguradoras e sociedades de capitalização; III – entidades abertas e fechadas de previdência complementar; IV – pessoas naturais ou jurídicas que possuam investimentos financeiros em valor superior a R$ 10.000.000,00 (dez milhões de reais) e que, adicionalmente, atestem por escrito sua condição de investidor profissional mediante termo próprio, de acordo com o Anexo A; V – fundos de investimento; VI – clubes de investimento, desde que tenham a carteira gerida por administrador de carteira de valores mobiliários autorizado pela CVM; VII – assessores de investimento, administradores de carteira de valores mobiliários, analistas de valores mobiliários e consultores de valores mobiliários autorizados pela CVM, em relação a seus recursos próprios; VIII – investidores não residentes; IX – fundos patrimoniais", "rule": "Resolução CVM nº 30, Art. 11", "source_url": "https://conteudo.cvm.gov.br/cvm_institucional/export/sites/cvm/legislacao/resolucoes/anexos/001/resol030consolid.pdf", "source_date": "11 de maio de 2021", "read_at": "2026-10-31T20:02:41Z" } ], "read_at": "2026-10-31T20:04:07Z", "pages_checked": [ "https://conteudo.cvm.gov.br/cvm_institucional/export/sites/cvm/legislacao/resolucoes/anexos/001/resol030consolid.pdf", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf", "https://www.gov.br/cvm/en/foreign-investors/regulation-of-interest", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf/@@download/file", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/resol160Traduo_v.SDM05042023.pdf/@@download/file", "https://conteudo.cvm.gov.br/legislacao/resolucoes/anexos/001/resol030consolid.docx" ], "source_url": "https://conteudo.cvm.gov.br/cvm_institucional/export/sites/cvm/legislacao/resolucoes/anexos/001/resol030consolid.pdf", "source_date": "11 de maio de 2021", "conflict": { "values": [ { "object": { "identifier": "investidores qualificados", "criteria": "I – investidores profissionais; II – pessoas naturais ou jurídicas que possuam investimentos financeiros em valor superior a R$ 1.000.000,00 (um milhão de reais) e que, adicionalmente, atestem por escrito sua condição de investidor qualificado mediante termo próprio, de acordo com o Anexo B; III – as pessoas naturais que tenham sido aprovadas em exames de qualificação técnica ou possuam certificações aprovadas pela CVM como requisitos para o registro de assessores de investimento, administradores de carteira de valores mobiliários, analistas de valores mobiliários e consultores de valores mobiliários, em relação a seus recursos próprios; IV – clubes de investimento, desde que tenham a carteira gerida por um ou mais cotistas, que sejam investidores qualificados", "rule": "Resolução CVM nº 30, Art. 12" }, "source_url": "https://conteudo.cvm.gov.br/cvm_institucional/export/sites/cvm/legislacao/resolucoes/anexos/001/resol030consolid.pdf", "quote": "São considerados investidores qualificados: I – investidores profissionais; II – pessoas naturais ou jurídicas que possuam investimentos financeiros em valor superior a R$ 1.000.000,00 (um milhão de reais)", "source_date": "11 de maio de 2021", "reason": "review PARTIAL: PARTIAL\n\nThe excerpt supports most of the claimed value (I, II, and III), but the claimed item IV (clubes de investimento) differs from the source, which requires the club's portfolio to be managed by" }, { "value": [ { "identifier": "professional investors", "criteria": "financial institutions and other institutions authorized to operate by the Central Bank of Brazil", "rule": "Art. 11, I", "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf", "source_date": "May 11th, 2021", "read_at": "2026-10-31T18:32:06Z" }, { "identifier": "professional investors", "criteria": "insurance companies and capitalization companies", "rule": "Art. 11, II", "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf", "source_date": "May 11th, 2021", "read_at": "2026-10-31T18:32:06Z" }, { "identifier": "professional investors", "criteria": "open and closed supplementary pension entities", "rule": "Art. 11, III", "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf", "source_date": "May 11th, 2021", "read_at": "2026-10-31T18:32:06Z" }, { "identifier": "professional investors", "criteria": "individuals or legal entities who have financial investments superior to R$ 10,000,000.00 (ten million reais) and who, in addition, certify in writing their status as a professional investor by their own term, according to Annex A", "rule": "Art. 11, IV", "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf", "source_date": "May 11th, 2021", "read_at": "2026-10-31T18:32:06Z" }, { "identifier": "professional investors", "criteria": "investment funds", "rule": "Art. 11, V", "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf", "source_date": "May 11th, 2021", "read_at": "2026-10-31T18:32:06Z" }, { "identifier": "professional investors", "criteria": "investment clubs, provided that they have the portfolio managed by a securities portfolio manager authorized by the CVM", "rule": "Art. 11, VI", "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf", "source_date": "May 11th, 2021", "read_at": "2026-10-31T18:32:06Z" }, { "identifier": "professional investors", "criteria": "investment agents, securities portfolio managers, securities analysts, and securities advisors authorized by the CVM, in relation to their own resources", "rule": "Art. 11, VII", "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf", "source_date": "May 11th, 2021", "read_at": "2026-10-31T18:32:06Z" }, { "identifier": "professional investors", "criteria": "non-resident investors", "rule": "Art. 11, VIII", "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf", "source_date": "May 11th, 2021", "read_at": "2026-10-31T18:32:06Z" }, { "identifier": "qualified investors", "criteria": "individuals or legal entities who have financial investments superior to R$ 1,000,000.00 (one million reais) and who, in addition, certify in writing their status as a qualified investor by their own term, according to Annex B", "rule": "Art. 12, II", "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf", "source_date": "May 11th, 2021", "read_at": "2026-10-31T18:32:06Z" }, { "identifier": "qualified investors", "criteria": "individuals approved in a technical qualification exam or with certifications approved by the CVM as requirements for the registration of investment agents, securities portfolio managers, securities analyst, and securities advisors, in relation to their own resources", "rule": "Art. 12, III", "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf", "source_date": "May 11th, 2021", "read_at": "2026-10-31T18:32:06Z" }, { "identifier": "qualified investors", "criteria": "investment clubs, provided that they have the portfolio managed by one or more shareholders, who are qualified investors", "rule": "Art. 12, IV", "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf", "source_date": "May 11th, 2021", "read_at": "2026-10-31T18:32:06Z" }, { "identifier": "own social security schemes established by the Union, the States, the Federal District, or the Municipalities", "criteria": "only if recognized as such according to specific regulation of the competent governing body in the federal sphere", "rule": "Art. 13", "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf", "source_date": "May 11th, 2021", "read_at": "2026-10-31T18:32:06Z" } ], "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf", "source_date": "May 11th, 2021", "superseded": "not read from this market's securities client-classification provisions (the securities statute or the securities regulator's rules that classify investors or clients) (BOOK-05)" } ], "reason": "objects that did not verify (each with its reason)", "selection_rule": "none — unresolved" } }, { "name": "target_market", "value": [ { "criterion": "the product, service, or operation is appropriate to the client's investment objectives", "analysis": [ "the period in which the customer wants to keep the investment", "the customer's stated risk-taking preferences", "the purposes of the investment" ] }, { "criterion": "the financial situation of the customer is compatible with the product, service, or operation", "analysis": [ "the value of regular revenues declared by the customer", "the value and assets that make up the customer's equity", "the future need for resources declared by the customer" ] }, { "criterion": "the customer has the knowledge necessary to understand the risks related to the product, service, or operation", "analysis": [ "the types of products, services, and operations with which the customer is familiar", "the nature, volume, and frequency of operations already carried out by the customer in the securities market, as well as the period in which such operations were carried out", "the academic background and the professional experience of the customer (does not apply to the legal entity customer)" ] } ], "read_at": "2026-10-31T01:46:26Z", "pages_checked": [ "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf", "https://www.gov.br/cvm/en/foreign-investors/regulation-of-interest", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf/@@download/file", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/resol160Traduo_v.SDM05042023.pdf/@@download/file", "https://conteudo.cvm.gov.br/cvm_institucional/export/sites/cvm/legislacao/resolucoes/anexos/001/resol030consolid.pdf", "https://conteudo.cvm.gov.br/legislacao/resolucoes/anexos/001/resol030consolid.docx", "https://conteudo.cvm.gov.br/legislacao/resolucoes/resol030.html", "https://conteudo.cvm.gov.br/export/sites/cvm/legislacao/resolucoes/anexos/001/resol030consolid.pdf", "https://conteudo.cvm.gov.br/cvm_institucional/legislacao/resolucoes/resol030.html", "https://conteudo.cvm.gov.br/legislacao/resolucoes/anexos/001/resol030.docx" ], "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf", "source_date": "May 11th, 2021" }, { "name": "negative_target_market", "value": [ { "exclusion": "the product or service is not suitable for the customer's profile", "applies_to": "products or services", "rule": "Art. 6, I", "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf", "source_date": "May 11th, 2021", "read_at": "2026-10-31T18:32:06Z" }, { "exclusion": "excessive and inappropriate costs to the customer's profile", "applies_to": "products, services, or operations", "rule": "Art. 3, Paragraph 5", "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf", "source_date": "May 11th, 2021", "read_at": "2026-10-31T18:32:06Z" } ], "read_at": "2026-10-31T18:34:57Z", "pages_checked": [ "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf", "https://www.gov.br/cvm/en/foreign-investors/regulation-of-interest", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf/@@download/file", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/resol160Traduo_v.SDM05042023.pdf/@@download/file" ], "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf", "source_date": "May 11th, 2021", "conflict": { "values": [ { "object": { "exclusion": "the information that allows the identification of the customer's profile is not obtained", "applies_to": "products or services", "rule": "Art. 6, II" }, "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf", "quote": "II - the information that allows the identification of the customer's profile is not obtained; or", "source_date": "May 11th, 2021", "reason": "review PARTIAL: PARTIAL\n\nThe excerpt supports the **rule** (Art. 6, II) and the **exclusion** (\"the information that allows the identification of the customer's profile is not obtained\"), but it does not explicitly c" }, { "object": { "exclusion": "the information relating to the customer's profile is not updated", "applies_to": "products or services", "rule": "Art. 6, III" }, "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf", "quote": "III - the information relating to the customer's profile is not updated.", "source_date": "May 11th, 2021", "reason": "review PARTIAL: PARTIAL\n\nThe excerpt includes the exact quote from **Art. 6, III**, confirming the prohibition on recommending products/services when the customer's profile is not updated. However, the claimed value " } ], "reason": "objects that did not verify (each with its reason)", "selection_rule": "none — unresolved" } }, { "name": "distribution_conditions", "value": [ { "condition": "verificação da adequação ao perfil do cliente", "party": "pessoas habilitadas a atuar como integrantes do sistema de distribuição e os consultores de valores mobiliários", "rule": "Art. 2º", "source_url": "https://conteudo.cvm.gov.br/cvm_institucional/export/sites/cvm/legislacao/resolucoes/anexos/001/resol030consolid.pdf", "source_date": "11 de maio de 2021", "read_at": "2026-10-31T20:02:41Z" }, { "condition": "vedado recomendar quando o produto ou serviço não seja adequado ao perfil do cliente", "party": "pessoas referidas no art. 2º", "rule": "Art. 6º, I", "source_url": "https://conteudo.cvm.gov.br/cvm_institucional/export/sites/cvm/legislacao/resolucoes/anexos/001/resol030consolid.pdf", "source_date": "11 de maio de 2021", "read_at": "2026-10-31T20:02:41Z" }, { "condition": "vedado recomendar quando não sejam obtidas as informações que permitam a identificação do perfil do cliente", "party": "pessoas referidas no art. 2º", "rule": "Art. 6º, II", "source_url": "https://conteudo.cvm.gov.br/cvm_institucional/export/sites/cvm/legislacao/resolucoes/anexos/001/resol030consolid.pdf", "source_date": "11 de maio de 2021", "read_at": "2026-10-31T20:02:41Z" }, { "condition": "vedado recomendar quando as informações relativas ao perfil do cliente não estejam atualizadas", "party": "pessoas referidas no art. 2º", "rule": "Art. 6º, III", "source_url": "https://conteudo.cvm.gov.br/cvm_institucional/export/sites/cvm/legislacao/resolucoes/anexos/001/resol030consolid.pdf", "source_date": "11 de maio de 2021", "read_at": "2026-10-31T20:02:41Z" }, { "condition": "alertar o cliente acerca da ausência ou desatualização de perfil ou da sua inadequação, antes da primeira operação com a categoria de valor mobiliário", "party": "pessoas referidas no art. 2º", "discharged_by": "alerta com a indicação das causas da divergência (art. 7º, I)", "rule": "Art. 7º, I", "source_url": "https://conteudo.cvm.gov.br/cvm_institucional/export/sites/cvm/legislacao/resolucoes/anexos/001/resol030consolid.pdf", "source_date": "11 de maio de 2021", "read_at": "2026-10-31T20:02:41Z" }, { "condition": "obter declaração expressa do cliente, antes da primeira operação com a categoria de valor mobiliário", "party": "pessoas referidas no art. 2º", "discharged_by": "declaração expressa do cliente de que está ciente da ausência, desatualização ou inadequação de perfil (art. 7º, II); mantida por 5 anos (art. 14)", "rule": "Art. 7º, II", "source_url": "https://conteudo.cvm.gov.br/cvm_institucional/export/sites/cvm/legislacao/resolucoes/anexos/001/resol030consolid.pdf", "source_date": "11 de maio de 2021", "read_at": "2026-10-31T20:02:41Z" }, { "condition": "exigir do cliente a avaliação de seu perfil feita pelo consultor de valores mobiliários", "party": "pessoas habilitadas a atuar como integrantes do sistema de distribuição", "discharged_by": "avaliação de seu perfil feita pelo consultor de valores mobiliários (art. 10, § 1º)", "rule": "Art. 10, § 1º", "source_url": "https://conteudo.cvm.gov.br/cvm_institucional/export/sites/cvm/legislacao/resolucoes/anexos/001/resol030consolid.pdf", "source_date": "11 de maio de 2021", "read_at": "2026-10-31T20:02:41Z" }, { "condition": "considerar os custos diretos e indiretos, abstendo-se de recomendar aqueles que impliquem custos excessivos e inadequados ao perfil do cliente", "party": "pessoas referidas no art. 2º", "rule": "Art. 3º, § 5º", "source_url": "https://conteudo.cvm.gov.br/cvm_institucional/export/sites/cvm/legislacao/resolucoes/anexos/001/resol030consolid.pdf", "source_date": "11 de maio de 2021", "read_at": "2026-10-31T20:02:41Z" } ], "read_at": "2026-10-31T20:04:10Z", "pages_checked": [ "https://conteudo.cvm.gov.br/cvm_institucional/export/sites/cvm/legislacao/resolucoes/anexos/001/resol030consolid.pdf", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf", "https://www.gov.br/cvm/en/foreign-investors/regulation-of-interest", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf/@@download/file", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/resol160Traduo_v.SDM05042023.pdf/@@download/file", "https://conteudo.cvm.gov.br/legislacao/resolucoes/resol030.html" ], "source_url": "https://conteudo.cvm.gov.br/cvm_institucional/export/sites/cvm/legislacao/resolucoes/anexos/001/resol030consolid.pdf", "source_date": "11 de maio de 2021", "conflict": { "values": [ { "object": { "condition": "diligenciar para manter as informações relativas ao perfil de seus clientes atualizadas, observando-se o intervalo máximo de 5 (cinco) anos", "party": "pessoas referidas no art. 2º", "discharged_by": "", "rule": "Art. 9º, I" }, "source_url": "https://conteudo.cvm.gov.br/cvm_institucional/export/sites/cvm/legislacao/resolucoes/anexos/001/resol030consolid.pdf", "quote": "I – diligenciar para manter as informações relativas ao perfil de seus clientes atualizadas, devendo,", "source_date": "11 de maio de 2021", "reason": "review PARTIAL: PARTIAL\n\nThe excerpt supports the condition and the 5-year interval, but the claimed value omits the reference to \"critérios e a periodicidade utilizados para atualização dos cadastros dos clientes at" } ], "reason": "objects that did not verify (each with its reason)", "selection_rule": "none — unresolved" } }, { "name": "required_assessments", "value": [ { "assessment": "o produto, serviço ou operação é adequado aos objetivos de investimento do cliente", "trigger": "recomendar produtos, realizar operações ou prestar serviços (art. 2º)", "party": "pessoas referidas no art. 2º", "rule": "Art. 3º, I; § 1º", "source_url": "https://conteudo.cvm.gov.br/cvm_institucional/export/sites/cvm/legislacao/resolucoes/anexos/001/resol030consolid.pdf", "source_date": "11 de maio de 2021", "read_at": "2026-10-31T20:02:41Z" }, { "assessment": "a situação financeira do cliente é compatível com o produto, serviço ou operação", "trigger": "recomendar produtos, realizar operações ou prestar serviços (art. 2º)", "party": "pessoas referidas no art. 2º", "rule": "Art. 3º, II; § 2º", "source_url": "https://conteudo.cvm.gov.br/cvm_institucional/export/sites/cvm/legislacao/resolucoes/anexos/001/resol030consolid.pdf", "source_date": "11 de maio de 2021", "read_at": "2026-10-31T20:02:41Z" }, { "assessment": "o cliente possui conhecimento necessário para compreender os riscos relacionados ao produto, serviço ou operação", "trigger": "recomendar produtos, realizar operações ou prestar serviços (art. 2º)", "party": "pessoas referidas no art. 2º", "rule": "Art. 3º, III; §§ 3º e 4º", "source_url": "https://conteudo.cvm.gov.br/cvm_institucional/export/sites/cvm/legislacao/resolucoes/anexos/001/resol030consolid.pdf", "source_date": "11 de maio de 2021", "read_at": "2026-10-31T20:02:41Z" }, { "assessment": "avaliar e classificar o cliente em categorias de perfil de risco previamente estabelecidas", "trigger": "atender às obrigações contidas no art. 3º", "party": "pessoas referidas no art. 2º", "rule": "Art. 4º", "source_url": "https://conteudo.cvm.gov.br/cvm_institucional/export/sites/cvm/legislacao/resolucoes/anexos/001/resol030consolid.pdf", "source_date": "11 de maio de 2021", "read_at": "2026-10-31T20:02:41Z" }, { "assessment": "avaliação do cumprimento pela pessoa jurídica das regras, procedimentos e controles internos", "trigger": "até o último dia útil do mês de abril, relativo ao ano civil anterior", "party": "o diretor a que se refere o inciso III do caput", "discharged_by": "relatório encaminhado aos órgãos de administração (art. 8º, § 2º)", "rule": "Art. 8º, § 2º, I", "source_url": "https://conteudo.cvm.gov.br/cvm_institucional/export/sites/cvm/legislacao/resolucoes/anexos/001/resol030consolid.pdf", "source_date": "11 de maio de 2021", "read_at": "2026-10-31T20:02:41Z" } ], "read_at": "2026-10-31T20:04:21Z", "pages_checked": [ "https://conteudo.cvm.gov.br/cvm_institucional/export/sites/cvm/legislacao/resolucoes/anexos/001/resol030consolid.pdf", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf", "https://www.gov.br/cvm/en/foreign-investors/regulation-of-interest", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf/@@download/file", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/resol160Traduo_v.SDM05042023.pdf/@@download/file", "https://conteudo.cvm.gov.br/legislacao/resolucoes/resol030.html" ], "source_url": "https://conteudo.cvm.gov.br/cvm_institucional/export/sites/cvm/legislacao/resolucoes/anexos/001/resol030consolid.pdf", "source_date": "11 de maio de 2021", "conflict": { "values": [ { "object": { "assessment": "analisar e classificar as categorias de produtos com que atuem", "trigger": "atender às obrigações contidas no art. 3º", "party": "pessoas referidas no art. 2º", "discharged_by": "", "rule": "Art. 5º" }, "source_url": "https://conteudo.cvm.gov.br/cvm_institucional/export/sites/cvm/legislacao/resolucoes/anexos/001/resol030consolid.pdf", "quote": "devem analisar e classificar as categorias de produtos com que atuem, identificando as características que", "source_date": "11 de maio de 2021", "reason": "review PARTIAL: PARTIAL\n\nThe excerpt supports the requirement to \"analisar e classificar as categorias de produtos com que atuem\" (Art. 5º), but the claimed value omits key details from the rule, such as the specific" }, { "object": { "assessment": "nova análise e classificação das categorias de valores mobiliários", "trigger": "em intervalos não superiores a 24 (vinte e quatro) meses", "party": "pessoas referidas no art. 2º", "discharged_by": "", "rule": "Art. 9º, II" }, "source_url": "https://conteudo.cvm.gov.br/cvm_institucional/export/sites/cvm/legislacao/resolucoes/anexos/001/resol030consolid.pdf", "quote": "II – proceder a nova análise e classificação das categorias de valores mobiliários em intervalos não", "source_date": "11 de maio de 2021", "reason": "review PARTIAL: PARTIAL\n\nThe excerpt supports the claimed \"assessment\" (\"nova análise e classificação das categorias de valores mobiliários\") and \"trigger\" (\"em intervalos não superiores a 24 meses\"), but the \"party\"" } ], "reason": "objects that did not verify (each with its reason)", "selection_rule": "none — unresolved" } }, { "name": "product_documentation", "value": [ { "document": "offering documents", "party": "the offeror or the coordinators", "rule": "Article 2, V", "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/resol160Traduo_v.SDM05042023.pdf/@@download/file", "source_date": "July 13, 2022", "read_at": "2026-10-31T18:32:06Z" }, { "document": "offering term sheet (lâmina da oferta)", "party": "the offeror or the coordinators", "rule": "Article 2, V", "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/resol160Traduo_v.SDM05042023.pdf/@@download/file", "source_date": "July 13, 2022", "read_at": "2026-10-31T18:32:06Z" }, { "document": "specific internal policies related to the recommendation of complex products", "party": "persons mentioned in article 2 who organize themselves in the form of a legal entity", "rule": "Art. 8, II", "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/RESOLUTIONCVM30_.pdf", "source_date": "May 11th, 2021", "read_at": "2026-10-31T18:33:24Z" } ], "read_at": "2026-10-31T18:35:20Z", "pages_checked": [ "https://www.gov.br/cvm/en/foreign-investors/regulation-files/resol160Traduo_v.SDM05042023.pdf/@@download/file", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/RESOLUTIONCVM30_.pdf", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf", "https://www.gov.br/cvm/en/foreign-investors/regulation-of-interest", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf/@@download/file", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/RESOLUTIONCVM35__.pdf" ], "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/resol160Traduo_v.SDM05042023.pdf/@@download/file", "source_date": "July 13, 2022", "conflict": { "values": [ { "object": { "document": "final prospectus", "party": "", "rule": "Article 2, XIX; disclosure is a requirement for the beginning of distribution, pursuant to Article 59" }, "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/resol160Traduo_v.SDM05042023.pdf/@@download/file", "quote": "XIX - final prospectus: prospectus whose disclosure is a requirement for the beginning of distribution, pursuant to Article 59", "source_date": "July 13, 2022", "reason": "unstructured: required key(s) ['party'] not stated" }, { "object": { "document": "preliminary prospectus", "party": "", "rule": "Article 2, XX; available for consultation by the general public under Article 20" }, "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/resol160Traduo_v.SDM05042023.pdf/@@download/file", "quote": "XX - preliminary prospectus: prospectus available for consultation by the general public under the terms and conditions set forth in Article 20", "source_date": "July 13, 2022", "reason": "unstructured: required key(s) ['party'] not stated" } ], "reason": "objects that did not verify (each with its reason)", "selection_rule": "none — unresolved" } }, { "name": "manufacturer_distributor_roles", "value": [ { "actor": "Persons authorized to act as members of the distribution system", "role": "shall not recommend products, perform operations, or provide services without verifying their suitability to the customer's profile", "rule": "Art. 2", "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf", "source_date": "May 11th, 2021", "read_at": "2026-10-31T18:32:06Z" }, { "actor": "statutory director", "role": "responsible for the compliance with the standards established by this Resolution", "rule": "Art. 8, III", "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/RESOLUTIONCVM30_.pdf", "source_date": "May 11th, 2021", "read_at": "2026-10-31T18:33:24Z" }, { "actor": "administrative bodies", "role": "approve the rules and procedures; supervise the compliance and effectiveness of internal procedures and controls", "rule": "Art. 8, Paragraph 3", "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/RESOLUTIONCVM30_.pdf", "source_date": "May 11th, 2021", "read_at": "2026-10-31T18:33:24Z" }, { "actor": "Self-regulatory entities", "role": "may establish complementary operating standards and procedures", "rule": "Art. 15", "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/RESOLUTIONCVM30_.pdf", "source_date": "May 11th, 2021", "read_at": "2026-10-31T18:33:24Z" }, { "actor": "lead coordinator", "role": "intermediary institution, acting on behalf of the offeror as a leader in conducting the public offering", "rule": "Article 2, II", "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/resol160Traduo_v.SDM05042023.pdf/@@download/file", "source_date": "July 13, 2022", "read_at": "2026-10-31T18:32:06Z" }, { "actor": "offering coordinators", "role": "intermediary institutions signatories to the distribution agreement as coordinators", "rule": "Article 2, III", "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/resol160Traduo_v.SDM05042023.pdf/@@download/file", "source_date": "July 13, 2022", "read_at": "2026-10-31T18:32:06Z" }, { "actor": "the issuer", "role": "offeror, in the case of primary distribution", "rule": "Article 2, XIV, a", "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/resol160Traduo_v.SDM05042023.pdf/@@download/file", "source_date": "July 13, 2022", "read_at": "2026-10-31T18:32:06Z" }, { "actor": "sellers", "role": "offerors, for their own account, in the case of secondary distribution", "rule": "Article 2, XIV, b", "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/resol160Traduo_v.SDM05042023.pdf/@@download/file", "source_date": "July 13, 2022", "read_at": "2026-10-31T18:32:06Z" }, { "actor": "the administrator and fund manager", "role": "offerors, in the case of a primary offering for the distribution of investment fund shares", "rule": "Article 2, XIV, c", "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/resol160Traduo_v.SDM05042023.pdf/@@download/file", "source_date": "July 13, 2022", "read_at": "2026-10-31T18:32:06Z" }, { "actor": "broker", "role": "institution qualified to act as a member of the distribution system in the trading of securities on regulated stock markets", "rule": "Art. 2, VII", "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/RESOLUTIONCVM35__.pdf", "source_date": "May 26, 2021", "read_at": "2026-10-31T18:33:24Z" } ], "read_at": "2026-10-31T18:35:23Z", "pages_checked": [ "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/RESOLUTIONCVM30_.pdf", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/resol160Traduo_v.SDM05042023.pdf/@@download/file", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/RESOLUTIONCVM35__.pdf", "https://www.gov.br/cvm/en/foreign-investors/regulation-of-interest", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf/@@download/file" ], "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf", "source_date": "May 11th, 2021", "conflict": { "values": [ { "object": { "actor": "securities advisors", "role": "shall not recommend products, perform operations, or provide services without verifying their suitability to the customer's profile", "rule": "Art. 2" }, "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf", "quote": "Art. 2. Persons authorized to act as members of the distribution system and securities advisors shall not recommend products, perform operations, or provide services without verifying their suitability to the customer's profile.", "source_date": "May 11th, 2021", "reason": "review UNSUPPORTED: SUPPORTED, The excerpt directly quotes Art. 2 of CVM Resolution Nº 30, which matches the claimed value verbatim." } ], "reason": "objects that did not verify (each with its reason)", "selection_rule": "none — unresolved" } }, { "name": "review_triggers", "value": [ { "event": "keep the information regarding the profile of his/her customers updated", "period_or_condition": "maximum interval of 5 (five) years", "party": "persons referred to in article 2", "rule": "Art. 9, I", "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/RESOLUTIONCVM30_.pdf", "source_date": "May 11th, 2021", "read_at": "2026-10-31T18:33:24Z" }, { "event": "new analysis and classification of the categories of securities", "period_or_condition": "intervals not exceeding 24 (twenty-four) months", "party": "persons referred to in article 2", "rule": "Art. 9, II", "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/RESOLUTIONCVM30_.pdf", "source_date": "May 11th, 2021", "read_at": "2026-10-31T18:33:24Z" }, { "event": "report relating to the calendar year preceding the date of delivery", "period_or_condition": "by the last business day of April", "party": "The director referred to in item III", "rule": "Art. 8, Paragraph 2", "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/RESOLUTIONCVM30_.pdf", "source_date": "May 11th, 2021", "read_at": "2026-10-31T18:33:24Z" }, { "event": "appointment or substitution of the director", "period_or_condition": "within 7 (seven) business days", "rule": "Art. 8, Paragraph 1", "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/RESOLUTIONCVM30_.pdf", "source_date": "May 11th, 2021", "read_at": "2026-10-31T18:33:24Z" }, { "event": "client orders the execution of transactions in the situations provided for in items I to III of article 6", "period_or_condition": "before the first transaction with the category of securities", "party": "persons referred to in article 2", "rule": "Art. 7", "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/RESOLUTIONCVM30_.pdf", "source_date": "May 11th, 2021", "read_at": "2026-10-31T18:33:24Z" }, { "event": "report to the broker's management bodies", "period_or_condition": "by the last business day of April of each year", "party": "The director of internal controls", "rule": "Art. 5, Paragraph 6", "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/RESOLUTIONCVM35__.pdf", "source_date": "May 26, 2021", "read_at": "2026-10-31T18:33:24Z" } ], "read_at": "2026-10-31T18:35:35Z", "pages_checked": [ "https://www.gov.br/cvm/en/foreign-investors/regulation-files/RESOLUTIONCVM30_.pdf", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/RESOLUTIONCVM35__.pdf", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf", "https://www.gov.br/cvm/en/foreign-investors/regulation-of-interest", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf/@@download/file", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/resol160Traduo_v.SDM05042023.pdf/@@download/file" ], "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/RESOLUTIONCVM30_.pdf", "source_date": "May 11th, 2021" }, { "name": "evidence_requirements", "value": [ { "situation": "client orders the execution of transactions where the product is not suitable, profile information is not obtained, or profile information is not updated (art. 6, items I to III)", "evidence": "express statement from the customer that he/she is aware of the absence, out of date, or inadequacy of profile", "timing": "before the first transaction with the category of securities" } ], "read_at": "2026-10-31T01:46:26Z", "pages_checked": [ "https://www.gov.br/cvm/en/foreign-investors/regulation-files/RESOLUTIONCVM30_.pdf", "https://www.gov.br/cvm/en/foreign-investors/regulation-of-interest", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf/@@download/file", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/RESOLUTIONCVM35__.pdf", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM178.pdf/@@download/file", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM31.pdf", "https://br-eco-10060.org/", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/CVMRESOLUTION175OFDECEMBER232022ENGLISH1.pdf", "https://conteudo.cvm.gov.br/cvm_institucional/export/sites/cvm/legislacao/resolucoes/anexos/001/resol030consolid.pdf" ], "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/RESOLUTIONCVM30_.pdf", "source_date": "May 11th, 2021" }, { "name": "exceptions", "value": [ { "exception": "the customer is a qualified investor", "condition": "with the exception of the individuals mentioned in item IV of article 11 and in items II and III of article 12", "provision": "Art. 10, I", "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/RESOLUTIONCVM30_.pdf", "source_date": "May 11th, 2021", "read_at": "2026-10-31T18:33:24Z" }, { "exception": "the customer is a legal entity governed by public law", "provision": "Art. 10, II", "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/RESOLUTIONCVM30_.pdf", "source_date": "May 11th, 2021", "read_at": "2026-10-31T18:33:24Z" }, { "exception": "the customer has his/her securities portfolio managed at its discretion", "condition": "by a securities portfolio manager authorized by the CVM", "provision": "Art. 10, III", "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/RESOLUTIONCVM30_.pdf", "source_date": "May 11th, 2021", "read_at": "2026-10-31T18:33:24Z" }, { "exception": "The measures required in the head provision are waived", "condition": "when the customer is, demonstrably, implementing recommendations provided by a securities advisor authorized by the CVM", "provision": "Art. 7, Sole paragraph", "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/RESOLUTIONCVM30_.pdf", "source_date": "May 11th, 2021", "read_at": "2026-10-31T18:33:24Z" }, { "exception": "item III of paragraph 3 do not apply", "condition": "legal entity customer", "provision": "Art. 3, Paragraph 4", "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/RESOLUTIONCVM30_.pdf", "source_date": "May 11th, 2021", "read_at": "2026-10-31T18:33:24Z" }, { "exception": "This Resolution does not apply to merchandise brokers", "condition": "whose activities are regulated by a specific rule", "provision": "Art. 1, Sole Paragraph", "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/RESOLUTIONCVM35__.pdf", "source_date": "May 26, 2021", "read_at": "2026-10-31T18:33:24Z" } ], "read_at": "2026-10-31T18:35:41Z", "pages_checked": [ "https://www.gov.br/cvm/en/foreign-investors/regulation-files/RESOLUTIONCVM30_.pdf", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/RESOLUTIONCVM35__.pdf", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf", "https://www.gov.br/cvm/en/foreign-investors/regulation-of-interest", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf/@@download/file", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/resol160Traduo_v.SDM05042023.pdf/@@download/file" ], "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/RESOLUTIONCVM30_.pdf", "source_date": "May 11th, 2021", "conflict": { "values": [ { "object": { "exception": "the customer already has his/her profile defined by a securities advisor authorized by the CVM", "condition": "and is implementing the recommendation provided by him/her; does not extend to products not directly related to the advisor's recommendations", "provision": "Art. 10, IV and Paragraph 2" }, "source_url": "https://www.gov.br/cvm/en/foreign-investors/regulation-files/RESOLUTIONCVM30_.pdf", "quote": "IV - the customer already has his/her profile defined by a securities advisor authorized by the CVM and is implementing the recommendation provided by him/her.", "source_date": "May 11th, 2021", "reason": "review PARTIAL: **PARTIAL**\n\nThe excerpt supports the core claim (Art. 10, IV) but omits the explicit mention of Paragraph 2’s restriction (\"does not extend to products not directly related to the advisor's recommend" } ], "reason": "objects that did not verify (each with its reason)", "selection_rule": "none — unresolved" } }, { "name": "orderability_profile_ref", "value": "not_found", "read_at": "2026-10-31T02:20:51Z", "pages_checked": [ "https://www.gov.br/cvm/en/foreign-investors/regulation-files/RESOLUTIONCVM30_.pdf", "https://www.gov.br/cvm/en/foreign-investors/regulation-of-interest", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf/@@download/file", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/RESOLUTIONCVM35__.pdf", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM178.pdf/@@download/file", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM31.pdf", "https://br-eco-10060.org/", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/CVMRESOLUTION175OFDECEMBER232022ENGLISH1.pdf", "https://conteudo.cvm.gov.br/cvm_institucional/export/sites/cvm/legislacao/resolucoes/anexos/001/resol030consolid.pdf" ] }, { "name": "sources", "value": [ { "document": "RESOLUÇÃO CVM Nº 30, DE 11 DE MAIO DE 2021 COM AS ALTERAÇÕES INTRODUZIDAS PELAS RESOLUÇÕES CVM NºS 162/22 E 179/23.", "url": "https://conteudo.cvm.gov.br/cvm_institucional/export/sites/cvm/legislacao/resolucoes/anexos/001/resol030consolid.pdf" } ], "read_at": "2026-10-31T01:55:13Z", "pages_checked": [ "https://conteudo.cvm.gov.br/cvm_institucional/export/sites/cvm/legislacao/resolucoes/anexos/001/resol030consolid.pdf", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/RESOLUTIONCVM30_.pdf", "https://www.gov.br/cvm/en/foreign-investors/regulation-of-interest", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf/@@download/file", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/RESOLUTIONCVM35__.pdf", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM178.pdf/@@download/file", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM31.pdf", "https://br-eco-10060.org/", "https://www.gov.br/cvm/en/foreign-investors/regulation-files/CVMRESOLUTION175OFDECEMBER232022ENGLISH1.pdf" ], "source_url": "https://conteudo.cvm.gov.br/cvm_institucional/export/sites/cvm/legislacao/resolucoes/anexos/001/resol030consolid.pdf", "source_date": "11 DE MAIO DE 2021" } ], "reading": { "run": "reads/BOOK08b-20261101", "order": "BOOK-08 (2026-11-01): product scope read against the regime's own definition of the instruments the duty covers (joined), with the ISO 10962 bridge; ch client categories from FinSA Art. 4", "read_at": "2026-10-31T22:33:06Z", "engines": { "search": "perplexity sonar", "reader": "claude-opus-5-5", "review": "mistral-large-latest (review-only)" }, "pages": { "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf": { "status": 200, "sha256": "sha256:953c12feca6ddf17371c448a3ec17484d900bc96d8177baf0174fd2fd6e6cc07", "read_at": "2026-10-31T22:32:30Z", "last_modified": null }, "https://www.gov.br/cvm/en/foreign-investors/regulation-files/resol160Traduo_v.SDM05042023.pdf/@@download/file": { "status": 200, "sha256": "sha256:39de5d967d038b11b379a04b7933ead0ba6e9b08a3c1ba21f8f9d4a4de298467", "read_at": "2026-10-31T22:32:30Z", "last_modified": null }, "https://www.gov.br/cvm/en/foreign-investors/regulation-of-interest": { "status": 200, "sha256": "sha256:227e254ec02d812a72f2429fd789ac6b1951aba2b138218ba2b271b1a4cf939b", "read_at": "2026-10-31T22:32:30Z", "last_modified": null }, "https://www.gov.br/cvm/en/foreign-investors/regulation-files/ResolutionCVM30.pdf/@@download/file": { "status": 200, "sha256": "sha256:953c12feca6ddf17371c448a3ec17484d900bc96d8177baf0174fd2fd6e6cc07", "read_at": "2026-10-31T22:32:30Z", "last_modified": null }, "https://conteudo.cvm.gov.br/export/sites/cvm/legislacao/resolucoes/anexos/100/resol160consolid.pdf": { "status": 200, "sha256": "sha256:b35e12b71ab8482f5f72ff78e6a5dc50518887ec6a978111bbee4e01f8be48f9", "read_at": "2026-10-31T22:32:30Z", "last_modified": "Mon, 10 Mar 2025 15:41:43 GMT" }, "https://conteudo.cvm.gov.br/legislacao/resolucoes/anexos/100/resol160.docx": { "status": 200, "sha256": "sha256:f72c2e7b96148a9c0754fb2b9128f764f3cb3e2712beaec677b9056e73c427d7", "read_at": "2026-10-31T22:32:30Z", "last_modified": "Wed, 30 Nov 2022 17:21:43 GMT" } }, "counts": { "filled": 1, "not_found": 0, "conflict": 0, "inferred": 0, "kept": 0, "unstructured": 0 }, "notes": { "product_scope": "1 object(s) verified, 2 not · joined with 2 held object(s)" } } }, "signature": { "alg": "EdDSA", "kid": "allooloo-eco-2026-10", "protected": "eyJhbGciOiJFZERTQSIsImtpZCI6ImFsbG9vbG9vLWVjby0yMDI2LTEwIn0", "signature": "eHgwi3vTuf0TVXTaOX0_M6jYE7jmb3pJ972v11ZmskRhq66s4ZSlAmeBVYXgR57Ki_qdfIldMrT-uNcZRGNSAQ", "jwks": "https://mcp.br-cm-kg.ai/.well-known/jwks.json", "over": "base64url(protected) + '.' + base64url(canonical JSON of the file without signature: keys sorted, compact)" } }