Information regime applicable to Clearing and Settlement Agents (ALyCs) and Trading Agents (AN) re investments by clients with CDI ID or CIE Foreign Investors Codes.
Highlights
Clients are required to review, update and keep data updated on an ongoing basis.
Agents must exercise due diligence, before processing orders, recording transactions.
As of Jan. 2, 2025, Central Depositary Agent for Negotiable Securities (ADCVN) must block any client sub-account for inconsistencies, errors and/or deficiencies detected.
Including CUIT/CUIL, CDI or CIE, allowing credits in unaffected client sub-accounts.
Adapted regime for non-resident clients applicable to Collective Investment Product Administration Agents (AAPIC) and Integral Placement and Distribution Agents (ACDI).
Per provisions in force in the Permanent Information Regime for regulated subjects.
Companies with the highest capitalization must send a non/resident shareholders list.
Effectiveness
General resolution 1033/2024 shall come into force on Jan. 2, 2025.
