Rio Bravo’s Risk, Compliance, and Internal Controls framework promotes ethical, transparent, and responsible business practices, ensuring compliance with applicable regulations and corporate governance best practices. Through robust policies, controls, monitoring activities, and governance oversight, it helps identify, mitigate, and manage compliance, operational, regulatory, legal, reputational, and other relevant risks.
Rio Bravo compiles and makes available its key governance documents, policies, and regulatory information, in line with its commitment to transparency, ethics, and compliance in its activities. This body of material reflects our institutional culture and helps guide our employees, partners, and third parties, while strengthening a consistent control environment and a responsible relationship with our clients.
A commitment to integrity: report misconduct safely and ethically.
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These documents are available on this page, including: Reference Forms (Formulário de Referência), internal policies, compliance, risk, ESG, and data protection (LGPD) documents, as well as financial statements, reports, and other applicable regulatory information.
The control structure comprises the Compliance, Internal Controls, and Risk Management functions.
Operating independently from the business units and internal audit, these teams oversee compliance with regulations, policies, and internal processes, assess and monitor risks, and support the implementation of mitigation measures. Through direct reporting to senior management and governance committees, they help strengthen the internal control environment and promote effective risk oversight across the organization.
Yes. Rio Bravo maintains a Compliance, Legal, and Risk Committee composed of senior management representatives.
The Committee oversees the Company’s Compliance, Legal, and Risk Management framework, including its policies, strategies, processes, systems, and risk limits. It is also responsible for monitoring Rio Bravo’s risk exposure, periodically assessing the effectiveness of risk management and internal controls, and deliberating on matters relevant to corporate governance.
Compliance function oversees compliance risk management, ensuring adherence to applicable laws and regulations, internal policies, and Rio Bravo’s governance standards. Through regulatory assessments, employee training, technical guidance, monitoring activities, and reporting processes, the team supports a strong culture of ethics, integrity, and compliance across the organization. It also plays a key role in identifying, preventing, and addressing compliance-related issues, while keeping senior management informed of relevant matters and developments.
Risk management is carried out on a continuous and integrated basis, grounded in specific policies and structured processes for risk identification, assessment, control, monitoring, documentation, and reporting.
Various types of risk are monitored, including:
Rio Bravo uses tools and methodologies such as:
On this page, organized by year since 2016. For statements of specific funds, please visit the respective fund’s page.
Yes. The ESG Policy is available on this page and sets out guidelines on the consideration of environmental, social, and governance factors for integrating sustainability criteria into the investment process.
Yes. Rio Bravo Investimentos Ltda. is authorized and regulated by the CVM (Brazilian Securities and Exchange Commission). Rio Bravo Investimentos DTVM Ltda. is also regulated by the Central Bank of Brazil.
Rio Bravo Investimentos DTVM Ltda. is classified as a Type 3 institution and falls under segment S4 of the Central Bank of Brazil, in accordance with the prudential regulations applicable to the financial system.
This classification reflects the size and complexity of this institution’s operations and entails compliance with specific governance, capital, internal control, and risk management requirements.