Bem Vindo

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Compliance

CHAPTER I - DEFINITION Art. 1 The administration of securities portfolios is the professional exercise of activities related, directly or indirectly, to the functioning, maintenance, and management of a securities portfolio, including the application of financial resources in the securities market on behalf of the investor.

Art. 14. The manager of the securities portfolio manager, being a legal entity, must maintain a page on the world wide web with the following updated information:

I - reference form, the content of which must reflect Appendix 15-II;

II - code of ethics, in order to fulfill the duties of the administrator provided for in Art. 16 of this Instruction;


III - rules, procedures, and description of internal controls, designed to comply with this Instruction;

IV - risk management policy;

V - policy for the purchase and sale of securities by managers, employees, and the company itself;

VI - asset pricing manual for the securities portfolios it manages, even where this manual has been developed by third parties; and

VII - policy of distribution and separation of orders between securities portfolios.