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Participant Audit
The BSM audit aims to assist market participants
Our audit activity seeks to evaluate the compliance of market participants' processes and controls with current regulations. The audit is one of the mechanisms to execute our duty of supervision and oversight of Participants with access to the organized markets of B3.
AUDIT
We conducted the following audits:
Pre-Operational Audit
To become a Participant in one of the access categories to the markets managed by B3 and operate in these markets, an institution must meet a set of operational, technological, and financial admission requirements.
Regular Audit
Periodically, our auditors conduct audits on market Participants to assess the institution's physical and technological infrastructure, procedures, processes, and controls.
Continuous Joint Monitoring of Data
In addition to operational audits, we also conduct remote audits to evaluate specific aspects of Participants based on information available to BSM or information provided by the Participants.
Specific Audits
Besides pre-operational, regular, and remote audits, we also perform additional audit activities, commonly to meet the demands of regulators, market management entities, market infrastructures, or internal areas of BSM Market Supervision that identify the need for audits on topics undergoing transformation or adjustment in the market.