S3 Caceis adopts internal control mechanisms in line with the regulations defined by CVM, Central Bank of Brazil, ANBIMA and best international practices.

Internal Controls has as principles the guidelines on corporate risk management issued by COSO – Committee of Sponsoring Organizations of the Treadway Commission, which is the international model of internal controls.

S3 Caceis’ processes are formalized via process documents and the associated controls make up a matrix of risks and controls periodically tested by an independent team.

There is monthly monitoring via risk and performance indicators, in order to observe adherence to acceptability levels and alignment with corporate strategy.

These mechanisms aim to identify and evaluate internal and external factors that may adversely affect the achievement of the company’s objectives. In addition, ensuring the continuous assessment of the various risks associated with the organization’s activities.