Fernanda Soares Email & Phone Number

Responsible for ANBIMA’s Self-Regulatory area and for all Self-Regulatory Codes, which are (i) Third Party Asset Management and Fiduciary Administration, (ii) Distribution, (iii) Public Offerings, (iv) Negotiation and (v) Qualified Services. Main activities:• Coodinating the changes in self-regulatory codes in order to adapt them to the new fund rule (Resolution 175)• Participating in discussions with the market and with different players ( third party asset managers, treasurers, fiduciary administrators, bankers, etc.) and regulatory bodies (SEC and Central Bank). • Legally assessing proposals in order to guarantee the legality of the suggestions and the hegemony among the codes.• Elaborating the rules to compose the codes and presenting the proposals to the commissions and market forums, being responsible for defending the legal position of the Association. • Elaborating proposals of rules not settled in the market aiming at facilitating processes for the market.• Analyzing comments from public hearings, identifying what could or could not be accepted.• Elaborating legal advice for the institutions understanding the rules of Self-Regulatory Codes;• Proposing and drafting the Basic Duties Rules and Procedures, a document that brings together the rules that are common to all of ANBIMA's Self-Regulatory Codes, in order to avoid compliance costs and legal uncertainty for the market.

Responsible at the Association for matters regarding AML/CFT. Lecturer and spokesperson with regulatory bodies and the market on the subject. Main activities: • Coordinating the plea that involved 4 associations and managed to change Central Bank's AML/CFT rule, benefiting the market and the funds industry (Resolution 3978).• Creating, structuring and coordinating AML/CFT Commission, body consisting of members from the participating institutions of the Association. This commission was created from the gathering of a group that met to discuss the public hearing on the AML/CFT rules and which, after hard work, gained recognition and representation.. • Elaborating ANBIMA’S AML/CFT Guide, document widely used in the market and mentioned by regulatory and self-regulatory bodies as well as delivered for analysis to the Financial Action Task Force (FATF) on its visit to Brazil in 2023. • Creating and coordinating ANBIMA's AML/CFT Week, event that enables debates among regulatory and self-regulatory bodies and market participants (lives available on ANBIMA's YouTube and Spotify channels).

• Legal Advisor of the counselors in the administrative sanctioning processes of ANBIMA's member institutions. These counselors are members of the Ethics Council, independent statutory body which is responsible for the entry of new institutions to the Association and for the administrative ethics processes of companies.• Responding and validating letters in public hearings (SEC/Central Bank) and amendments to bills (Chamber of Deputies and Federal Senate). • Responsible for ANBIMA's corporate share regarding the preparation of meetings, election of directors, monitoring of votes, registration in public bodies and representation of the Association in other market bodies (Planejar/CFP/Galgo). • Analyzing contracts for products and activities in the financial and capital markets.

Responsible for Legal and Compliance at Porto Seguro Investimentos (currently Porto Asset) and Portopar DTVM. Reporting directly to the CEO of the Porto Seguro group. Main activities: • Proposing the opening of an asset management company separate from Bonds and Securities Distributor. This proposal was accepted by the Porto Seguro group's top management and, at the time, there were annual tax savings of around R$3.5 million. • I participated in the Executive Committee, which discussed the institution's strategic issues. • Drafting a request and obtaining authorization from the SEC for the directors to carry out asset management activities.• Elaborating the diagnosis of compliance programs' maturity, internal controls, governance, AML/CFT, KYC, KYP, KYE, risks, anti-corruption and anti-fraud of asset management and of Bonds and Securities Distributor.• Presenting a risk matrix for senior management, taking into account the diagnosis in the topic above.• Preparing policies, manuals, codes of ethics and conduct as well as other documents demanded by regulatory and self-regulatory bodies.• Creating processes of due diligence of new service providers.• Monitoring, analyzing and implementing the rules of regulatory and self-regulatory bodies, including those aiming open and closed supplementary pension funds companies and insurance companies, the asset management's main clients.• Coordinating the Risk and Compliance Committee, which was attended by senior management, as well as the New Products and Services Committee.• Invited by Portoseg ( financial institution from Porto Group)’s CEO to provide consulting services and carry out a maturity diagnosis for the internal control, governance, AML/CFT and compliance programmes.

• Structuring investment funds, preparing and analyzing regulations and other funds documentation.• Drawing up and analyzing the contracts of investment fund service providers and those of managed portfolios;• Reviewed the institution's suitability process.

• Drawing up and analyzing contracts of (i) intermediation with approved brokerage houses, (ii) custody and investment funds and managed portfolios controllership and (iii) distribution of investment funds.• Registering new investors, individuals, companies, analyzing corporate documents in order to start and build the relationship (KYC). • Carrying out monthly meetings with the Compliance and Investments Board in order to report clients' pending registration documents and define action plans. • Carrying out registration of new funds at SEC and opening accounts for these vehicles in banks and at B3 (Stock Exchange).

São Paulo, Brasil

Advising clients in order to find financial solutions that best suited their objectives and risk profile.

Applied Digital Law

Ll.M - Master Of Laws - Capital And Financial Markets Law

Bachelor'S Degree In Law