S3 CACEIS Brasil is legally constituted in the form of a DTVM (Distribuidora de Títulos e Valores Mobiliários), an entity authorized, regulated and supervised by the Central Bank of Brazil (“Bacen”) and CVM (local Securities Exchange Commission). It is also part of Anbima, Brazilian Association of Financial and Capital Markets Entities, an entity responsible for the representation and self-regulation of the segment of institutions that operates in the financial and capital markets. In this regard, as an obligated entity, S3 CACEIS strictly complies with the laws and regulations that deal with Prevention of Money Laundering, Financing of Terrorism and Financing the Proliferation of Weapons of Mass Destruction (PLDFTP), especially in relation to responsibility towards customers, partners, suppliers and employees.

For effective performance, with emphasis on governance, existing internal controls and processes, S3 Caceis has a Risk, Compliance and PLDFTP board which is responsible for applying the best local and international practices dealing with PLDFTP.