B3 S A Brasil Bolsa Balcão : POLÍTICA CORPORATIVA DE PREVENÇÃO E COMBATE AO FINANCIAMENTO...

ANTI-MONEY LAUNDERING AND COUNTER TERRORISM FINANCING POLICY

24/09/2020

PUBLIC INFORMATION

ANTI-MONEY LAUNDERING AND COUNTER TERRORISM FINANCING POLICY

CONTENTS
1	PURPOSE ....................................................................................................	3
2	SCOPE .........................................................................................................	4
3	RELATED DOCUMENTS .............................................................................	4
4	CONCEPTS ..................................................................................................	5
5	GUIDELINES ................................................................................................	7
6	RESPONSIBILITIES.....................................................................................	8
7	PENALTIES................................................................................................	15
8	FINAL PROVISIONS ..................................................................................	16
9	CONTROL INFORMATION ........................................................................	16

2	INFORMAÇÃOPUBLICINTERNAINFORMATION- INTERNAL INFORMATION

ANTI-MONEY LAUNDERING AND COUNTER TERRORISM FINANCING POLICY

1 PURPOSE

B3 is duty-bound with government authorities to prevent and combat terrorism financing and the crimes of money laundering and the concealment of assets, rights and property, in compliance with Law 9.613/98, article 9, sole paragraph, item (I), as amended by Law 12.683/12, and with CVM Instruction 617/2019, articles 3 and 4.

In accordance with best practice in anti-money laundering, counter terrorism and combatting the concealment of assets, rights and property, through an internal committee created for this purpose, B3 has drafted this Corporate Policy, which establishes the Anti-Money Laundering and Counter Terrorism Financing Program.

To prevent and combat use of the financial system, and especially the markets operated by B3, for terrorism financing, money laundering and/or concealment of assets, rights and property, the Company is disseminating this document to all executive officers, employees, interns and apprentices, who undertake to comply with its guidelines and determinations.

Through this Policy, which has been approved by its Board of Directors, B3 undertakes to develop and maintain processes and effective controls to prevent and combat terrorism financing, money laundering and property concealment that reflect local and global best practices for service providers with its characteristics.

Pursuant to paragraph 3 of article 22 of CVM Instruction 617/2019, B3 reports the detected transactions and situations that could constitute serious evidence of money laundering and the financing of terrorism, within a deadline of 24 hours as of conclusion of the analysis that characterized the unusual transaction, or even of the unusual situation detected or deliberated on by the Anti-Money Laundering and Counter Terrorism Financing Committee, with recusation to be reported to the Council for Financial Activities Control (COAF).

3	INFORMAÇÃOPUBLICINTERNAINFORMATION- INTERNAL INFORMATION

ANTI-MONEY LAUNDERING AND COUNTER TERRORISM FINANCING POLICY

Through a risk- and surveillance-based approach, B3 selects the suspected transactions and situations and executes all the procedures pertinent to the flow for reporting these situations, within a deadline of 30 days as of the date of the occurrence or of the situation.

This Policy establishes controls, principles and guidelines of B3's Anti-Money Laundering and Counter Terrorism Financing Program, based on the legal and regulatory requirements applicable to the Company, and on international best practice. The aim of the Program is to prevent use the services offered by the Company and the markets it operates from being used for unlawful purposes related to money laundering, financing of terrorism and similar crimes.

2 SCOPE

This Policy applies to the executive officers, employees, interns and apprentices of B3 S.A. - Brasil, Bolsa, Balcão, its foreign subsidiaries, as well as BSM, Cetip Info Tecnologia S.A, B3 Social and other associations (Company), with the exception of Banco B3 S.A., which has its own separate Policy.

3 RELATED DOCUMENTS

This Policy should be read and construed in conjunction with the following documents:

• Law 9.613 (March 3, 1998) and its subsequent updates
• Law 13.810 (March 8, 2019)
• Decree 5.640 (December 26, 2005)
• Decree 9.825 (June 5, 2019)
• COAF Resolution 007 (September 15, 1999)
• CVM Instruction 617 (December 5, 2019)

4	INFORMAÇÃOPUBLICINTERNAINFORMATION- INTERNAL INFORMATION