Investor Form - Brazil


Information about completion of the Investor Form

As a basis for, and prior to, the opening of each Passenger Account, the customer must provide CBL with the following documents with respect to the relevant non-resident investor:

  • Investor Form: duly completed, it is not necessary to be notarised and apostilled when the agent signs it together with the investor.
  • Annexed documents: All documents need to be notarised and apostilled. In addition, Annex III - Corporate documents (items 1 and 3) must have a sworn translation in Portuguese.

The documentation should only be updated if there are changes.

Important note:

In order to enable customers to ensure that they will provide CBL with accurate documents, CBL will offer the option - and recommend customers to use it - to send first to CBL versions of these documents as PDF files. CBL will then conduct a pre-analysis of the files with Itaú DTVM SA. Upon confirmation, the customer will have the documents notarised and consularised.

The Investor Form, made in three (3) copies, must be notarised, consularised and sent via registered mail to:

Clearstream Banking S.A.
Attn: Account Administration
42 Avenue John F. Kennedy
L-1855 Luxembourg
SWIFT address: CEDELULLxxx/FAO Boladministration

Annual report or balance sheet

Customers shall also provide CBL with a copy of the non-resident investor’s Annual Report (an electronic version is sufficient).

Definition of property

Property, as referred to in the Investor Form, shall consist of investments made by the Investors in Brazil through CBL in compliance with the applicable laws and regulations with respect to the following held on a Passenger Account:

  1. All shares, bonds, bills, stocks, debentures and other instruments that qualify as securities under Brazilian law, issued by corporations or other entities (all of the foregoing, whether substantiated by a certificate or not, being the “Securities”);
  2. All money market instruments (including, without limitation, fixed income instruments) not directly related to Securities, issued or offered by or through financial institutions operating in Brazil (the “Money Market Instruments”); and
  3. Cash or cash equivalents for the purchase of Securities and Money Market Instruments by the Investors or payable to the Investors in respect thereto (the “Cash”).