B3 S A Brasil Bolsa Balcão : 136-2020-VOP-External Communication

October 22, 2020 136/2020-VOP

E X T E R N A L C O M M U N I C A T I O N

To: B3's Market Participants - Segment BM&FBOVESPA

Re: Test of Business Continuity Plan for PUMA Trading System

B3 informs that the rescheduling for Thursday, October 29, 2020, of the validation the test of the Business Continuity Plan for the PUMA Trading System (BCP PUMA), in addition with External Communication 118/2020-VOP, dated September 23, 2020.

We emphasize the maintenance of the other test dates disclosed in External Communication 085/2020-VOP, dated July 21, 2020.

BCP PUMA was developed to make possible a reduction in positions and the risks associated with them using alternative mechanisms for closing and sending trades to post-trading when the PUMA Trading System becomes unavailable in the primary and secondary data processing centers during the trading session and cannot be restored on the same day.

Participation by the brokerage houses that trade in the BM&FBOVESPA Segment will be mandatory.

Participants will access BCP PUMA through their internet link, using the address https://pcopuma.b3.com.br:8197/#/login,entering the login and password the same used by supervising traders to access to ePUMA and as described in the document PCO PUMA - Participant Guide, available on the B3 Extranet.

1. Timetables for mock trading session

Starts	Ends	Phase
6:30 p.m.	7:00 p.m.	Login to application and sending of cross orders, matched trades,
bids and asks.
7:00 p.m.	7:30 p.m.	B3 processes data.

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136/2020-VOP

2. Scope of mock trading session

The mock trading session will cover the following:

• Access tohttps://pcopuma.b3.com.br:8197/#/login;
• Inclusion of cross orders, as described in validation script;
• Inclusion of matched trades, as described in validation script;
• Inclusion of bids and asks, as described in validation script;
• Receipt of alert messages;
• Interaction with B3 as counterparty or to facilitate execution of specific mock trading scenario desired by participant; and
• Regular interaction with Trading Platform team by telephone on [phone]/5023/5024 and by email [e-mail].

The mock trading contingency session will notcover:

• Use of post-trade, settlement and risk systems or clearinghouse margin and collateral management systems;
• Production and delivery of BCP PUMA validation test reports and files; and
• Orders entered via PUMA Trading System.

3. Other information

The activities to be performed during the test can be found in the mandatory script.

Participation in the mock trading session must be confirmed no later than 12 noon on Wednesday, October 28, 2020, by sending an email to [e-mail] "BCP PUMA test" in the subject line, and a message identifying the institution, naming the individuals who will participate and supplying their contact details (telephone numbers and email addresses).

Further information can be obtained from Electronic Trading by telephones on +55

11 2565-5022,2565-5023 or 2565-5024 or by [e-mail] from Trading Support by telephone on [phone] or by [e-mail].

Cícero Augusto Vieira Neto

Chief Operating Officer

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Annex to External Communication 136/2020-VOP

BCP PUMA validation script

Scenarios to be executed during the BCP PUMA validation test. Choose "OK" in the table for successfully executed scenarios and "N/E" (not executed) if an error occurs during validation.

1. Access to site

Activity	Expected result		Status
Go to page:	Access to application's	OK		N/E
https://pcopuma.b3.com.br:8197/#/login	login page
Log in to application using ePUMA supervising	Access to application's	OK		N/E
trader's code	home page

2. Authorized securities for BCP-PUMA validation test

		BM&F Segment
INDZ20		DOLZ20		BGIZ20		DOLF21C003250
		Bovespa Segment
PETR4		BOVA11		VALEL700		IBOVL103
3. Entry of cross orders
Activity			Expected result	Status
Go to Negociação menu, select Negócios	Access to cross order entry	OK		N/E
Diretos		screen
Enter cross order for each security listed in
item 2, BM&F Segment, with these parameters:	Order entry successful	OK		N/E
• Quantity - 10 lots		message
• Price - within daily fluctuation limit for
contract month

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Activity	Expected result	Status
Enter cross order for each security listed in
item 2, Bovespa Segment, with these
parameters:
• Quantity - 100 lots	Order entry successful	OK	N/E
• Price - limited to 10% above or below	message
price of last trade in regular session or, if
this is unavailable, 10% above or below
closing price.

4. Entry of matched trades

Activity		Expected result	Status
Go to Negociação menu, select Negócios		Access to matched trade	OK	N/E
Casados		entry screen
Enter matched trade for each security listed in
item 2, BM&F Segment, with parameters shown
below and freely designating brokerage house	Order entry successful
as sell-side counterparty:		OK	N/E
		message
• Quantity - 10 lots
• Price - within daily fluctuation limit	for
contract month
Enter matched trade for each security listed in
item 2, Bovespa Segment, with parameters
shown below and freely designating brokerage
house as sell-side counterparty:		Order entry successful
• Quantity - 100 lots		OK	N/E
	message
• Price - limited to 10% above or below
price of last trade in regular session or, if
this is unavailable, 10% above or below
closing price.

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