Documents - Regulatory documents
Everything you need to knowWe have made our regulatory documents available below so you can access them when it is most convenient for you. (all documents are in Portuguese)
Esh Capital
Code of ethics and standards of professional conduct
- Code of ethics
- Standards of professional conduct
- Professionalism
- Integrity of capital markets
- Duty to clients
- Duty to employers
- Investment Analysis, recommendations, and decisions
- Conflicts of interest
- Insider information
Esh Capital
Internal risk control system
Introduction
Governance, committee and organization chart
Definitions
Definition and review of limits / responsible area
Risk reports
Esh Capital risk system structure
Risk calculation methodologies
Final considerations
Appendices
Esh Capital
Policy for exercising voting rights
- Objective and introduction
- General Principles for the exercise of the Voting Policy
- Conflicts of Interest
- Mandatory Voting
- Optional Voting
- Decision-making
- General Provisions and Communication of Votes to Quotaholders
- and Communication of Votes to Quotaholders
- Revisions and Updates
Esh Capital
Social and Environmental Responsibility Policy
Scope
Regulatory aspects
Concept
Principles and management
Rules
Risk identification
Risk assessment and probability
Responsibility
Structure
Validating areas
Esh Capital
Mark to market manual
- Introduction
- Process Overview
- Methodology
- Special situation cases
- Organizational structure
- Compliance
Esh Capital
Policy for the purchase and sale of securities by managers, employees and collaborators
Objectives and goals
Organizational chart
Organizational structure
Information technology
Contingency website
Hiring and customer service
Risk identification and management
Money laundering and know-your-customer policy
Suitability
Esh Capital's intellectual property
Communications with the media (press)
Confidentiality and secrecy of information
Voting policy at general meetings
Esh Capital
Reference form
Identification of the persons responsible for the contents of the form
- Company history
- Human resources
- Auditors
- Financial resilience
- Scope of activities
- Economic group
- Operational and administrative structure
- Company remuneration
- Internal rules, procedures and controls
- Contingencies
- Additional statements of the director responsible for management
Esh Capital
Lot division policy manual
Lot Division Policy Manual
Esh Capital
Liquidity Risk Management and Monitoring
- Objective and Scope
- General Rules
- Process Methodology
- General Provisions