Ombudsman

The Ombudsman of Haitong in Brazil is a direct communication channel of the Haitong financial conglomerate in Brazil ('HAITONG BRASIL'), which is formed by the following institutions:

Haitong Banco de Investimento do Brasil S.A. (lead institution),

Haitong Securities do Brasil CCVM S.A.,

Haitong do Brasil Distribuidora de Títulos e Valores Mobiliários

S.A., and

Haitong Banco de Investimento do Brasil S.A. – Cayman

Branch,

it receives doubts, suggestions, criticism, complaints and reports of violation from clients or the general public, which had not been properly addressed by those concerned or if they were not satisfied with the response from the primary service channels of the Institution, including the Contacts or any other service channel.

Resolution 4.860 dated October 23, 2020 of Brazil’s National Monetary Council, published by the Central Bank of Brazil, governs the creation and functioning of a Corporate Ombudsman Office, which in the case of HAITONG BRASIL' is directly linked to the Legal Department, which in turn reports to the CEO of the lead institution of the conglomerate.

Set up in 2008, the core objective of the Ombudsman is to serve as an independent and impartial communication channel including, but not being limited to, mediating conflicts and ensuring compliance with legal and regulatory requirements by receiving, recording and internally forwarding all messages and complaints, monitoring their status and informing the client / complainant within ten business days.

The Ombudsman can be contacted through the following channels:

From Monday to Friday, from 9 a.m. to 6 p.m., except on holidays, at: 0800-7700668

Email: ouvidoria@haitongib.com.br

Register with the Citizen Requirements Registration System (RDR) of the Central Bank: http://www.bcb.gov.br/?red-rdr  

Citizen Service System (SAC) of the Securities and Exchange Commission of Brazil: http://sistemas.cvm.gov.br/?SAC