Rio Bravo’s Risk, Compliance and Internal Controls structure supports the conduct of business with ethics, integrity, transparency, and adherence to applicable regulations and corporate governance best practices. Its work is guided by internal policies, controls, adherence testing, periodic monitoring, and reporting mechanisms to senior management and the Compliance, Legal and Risk Committee, contributing to the prevention, identification, and treatment of 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 improper conduct safely and ethically.
Your privacy is a priority. Contact our Data Protection Officer with any questions about your personal information.
These documents are available on this page, including: Reference Forms, 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, which play a strategic role with the autonomy to monitor adherence to regulations, policies, and internal processes, assess risks, report relevant matters, and support the definition and follow-up of action plans.
This structure operates with independence and segregation from the business areas and internal audit, contributing to impartiality and effectiveness in risk monitoring and mitigation. The control functions have reporting channels to senior management and the relevant committees, strengthening the internal control environment.
Yes. Rio Bravo has a Compliance, Legal and Risk Committee, composed of members of senior management.
This committee is responsible for:
The Compliance function manages compliance risk, with a focus on adherence to applicable laws and regulations, internal policies, and Rio Bravo’s governance standards.
Its main functions include:
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.