About Liquidez
Compliance
Transparency generating credibility
The Internal Control System is a legal requirement stated in the Monetary Advisory Board # 2.554 of September,24 1.998, which turns mandatory the creation of an internal control system by all financial institutions, with the view of complying with governmental norms and regulations for the financial sector.
Therefore, Liquidez has created its own Compliance Department to make sure that all norms and regulations are strictly followed.
The main activities of the Compliance Department are:
- • Develop and implement internal control manuals for the legal alignment of the operations and regulations of the institution;
• Develop administrative tools to attend the current legislation;
• Monitor the specific rules on certification;
• Map out all processes of the many departments of the institution;
• Monitor the conformity with the PQO (Operational Qualification Program).
Since its implementation, the Compliance Department has put into effect the following documents, forming the basis for Liquidez's conduct:
- • Internal Control Manual;
• Rules and Parameters of Conduct;
• Ethical Code;
• Anti Money Laundering Manual
Apart from the Compliance Department, Liquidez has an Internal Auditing Department, which evaluates the performance of the company as a whole, making sure that the norms and regulations established by Compliance Department are followed on the terms of Resolution 2.554.
Liquidez understands that the compliance with the proceedings established by the Compliance Department will provide us with the correct execution of all business activities, in conformity with the best operational practices, assuring better results and legal protection.
As a result of the important work of the Compliance Department, Liquidez was awarded with the Execution Broker Certification Seal 2007, demonstrating the high degree of excellence of its services.
Should you wish to obtain more information about compliance, norms and regulations, please fill in the form or send us a request via e-mail to: cristhian@liquidez.com.br.
Certified by the PQO Programa de Qualificação Operacional (Operational Qualification Program) of BM&FBOVESPA.
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If you wish to know more about the procedures, rules and other information concerning Liquidez's Compliance Department, click here.