B3 S A Brasil Bolsa Balcão : Purchashing of Goods and Services Policy

PURCHASING OF GOODS AND SERVICES POLICY

16/01/2023

PUBLIC INFORMATION

PURCHASING OF GOODS AND SERVICES POLICY

TABLE OF CONTENTS
1	PURPOSE	3
2	SCOPE	3
3	REFERENCES	3
4	PRINCIPLES	4
5	GUIDELINES	5
6	RESPONSIBILITIES	6
7	FINAL PROVISIONS	8
8	CONTROL INFORMATION	8

2	INFORMAÇÃO CONFIDENCIAL - CONFIDENTIAL INFORMATION

PURCHASING OF GOODS AND SERVICES POLICY

1 PURPOSE

The purpose of this Policy is to set out principles, guidelines and responsibilities to be followed in the purchasing of goods and contracting of services, and in the payment of the corresponding goods and services, establishing rules for their execution processes at B3 S.A. - Brasil, Bolsa, Balcão and simultaneously assuring requisites of competitiveness, quality, safety, socio-environmental responsibility of acquired goods, and continuous improvement of supplier relationship.

2 SCOPE

This Policy applies to all administrators, employees, interns, suppliers, service providers and partners of B3 S.A. - Brasil, Bolsa, Balcão, its subsidiaries and affiliates abroad, B3 Bank, BSM Market Supervision, Cetip Info Tecnologia S.A., B3 Social, and other associations (Company).

Without prejudice to the operational support provided by the Company and in view of the operational, administrative and financial autonomy of BSM Market Supervision and B3 Bank, as determined by the regulations in force, they may set up their own decision-making bodies for the planning of contracts, selection of suppliers, request for proposals, negotiation, monitoring and evaluation of purchased products and contracted services.

3 REFERENCES

• The Company's Bylaws;
• The Company's Code of Conduct and Ethics;
• The Company's Compliance and Internal Controls Policy;
• The Company's Anti-Corruption and Fraud Prevention Policy;
• The Company's Policy on Related Party Transactions and other Potential Conflict of Interest Situations; and

3	INFORMAÇÃO CONFIDENCIAL - CONFIDENTIAL INFORMATION

PURCHASING OF GOODS AND SERVICES POLICY

• The Company's Information Security Policy.

4 PRINCIPLES

4.1 Transparency of rules and decision-making

In the acquisition of goods and services a competitive bidding process shall be ensured under conditions of equal opportunity for suppliers offering compatible products and services, according to the criteria established by the concerned Company's entity. Competitors will participate in a price bidding process whereby the technical and commercial requirements, as described by the concerned Company's entity, communicated to potential suppliers and essential to the relevant goods and services to be delivered, will be reviewed.

In addition to the technical and commercial requirement analysis, in order to be qualified for providing goods or services the selected supplier shall be submitted to an approval process, conducted by the Suppliers and Services Department.

4.2 Integrity

The Company seeks competitive advantages from suppliers based on proper behavior, and also determines that the relationship between staff members and suppliers be disciplined by objective criteria, in an effort to promote principles of competitiveness, legality, transparency and integrity.

The Company's staff members shall keep their personal interests separate from those of the Company's entities and, in particular, refrain from performing the following acts, among others:

• Solicit, accept, offer or guarantee, directly or indirectly, any personal advantage in a contract negotiation and execution (supply, service provision, among others);
• Violate the confidentiality of information obtained from suppliers, using the corresponding information for purposes unrelated to the exercise of their functions;

4	INFORMAÇÃO CONFIDENCIAL - CONFIDENTIAL INFORMATION

PURCHASING OF GOODS AND SERVICES POLICY

• Use supplier confidential information to seek competitive advantages and, in an opportunistic manner, maximize the success of negotiations for personal benefit or to benefit third parties; and
• Relay information, at their sole discretion, to other suppliers about a particular supplier or the content of a supplier's offer.

4.3 Control system

It involves a set of actions, procedures or systems which managers use to safeguard the Company's assets and promote efficiency in the acquisition of goods and services, ensuring that risks are properly recognized and managed. The effectiveness of such measures shall provide reasonable comfort for the organization in the reliable achievement of its objectives.

5 GUIDELINES

This Policy is based on the following guidelines:

• Guarantee of support to the integrity of the Company's operations by the established process for goods and services acquisition;
• Promotion of a competitive bidding process in conditions of equal opportunity for suppliers of goods and services by means of a qualification, technical, organizational and, where applicable, socio-environmental procedure;
• Continuous market analysis in search of new suppliers;
• Search for competitive advantages from suppliers through objective, complete and transparent criteria;
• Segregation of duties and traceability of the various operational and decision-making phases of each acquisition process, ensuring their transparency;

5	INFORMAÇÃO CONFIDENCIAL - CONFIDENTIAL INFORMATION