Financial Asset Certification.

Challenge: Need to assess the legal and regulatory compliance of the systems used for financial asset registration, ensuring adherence to the regulations of the Central Bank and the National Monetary Council, as well as validating Information Technology and Information Security processes from an operational, functional, and non-functional perspective.

What was done:

• Conducted a comprehensive assessment of IT and IS processes related to financial asset registration. 

• Analysis of compliance with current resolutions and normative instructions issued by the Central Bank (BCB) and the National Monetary Council (CMN). 

• Collection of technical and operational evidence. 

• Evaluation of architecture, IT governance, and service management. 

• Preparation of a preliminary report and subsequent adjustments according to regulatory updates. 

• Delivery of the final technical report with a conclusive compliance opinion. 

Result obtained: Issuance of a formal technical compliance report, which enabled the authorization of the financial asset registration operation before the regulatory authorities.