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Send Investor Registration for Analysis

Introduction​

This resource submits the filled-in registration analysis for validation. From this moment on, the data is sent to the compliance services and the documents are generated for signature.

Attention

The registration analysis takes place asynchronously. We recommend integrating with the status change webhooks to follow its progress — see Registration analysis lifecycle.

Prerequisites​

The submit is only accepted when the analysis already gathers all the data below. These are the most common errors at this step, and the validation is done in sequence — each rejection may be hiding the next pending issue, so it is worth checking the whole list before resending.

1. Required data blocks​

If any of them is missing, the rejection is IVR000150, whose message lists exactly the missing keys.

InvestorRequired blocks
natural_personnatural_person, address, net_worth, suitability
legal_person (default, financial_institution)legal_person, address, net_worth
legal_person / fund_classNone — see below
Fund classes have no required blocks

For legal_person / fund_class, the registration data, address and net worth are filled in automatically from the CVM public database during the submit itself. Suitability, signer groups and investor documents are also not required.

The only conditional requirement is the one for related parties, and only when the class is exclusive at CVM — see item 3 below. If the CNPJ is not in the CVM database, the enrichment does not happen and the submit is rejected with IVR000068.

2. Suitability​

  • Natural person: always required. Without it, IVR000150 reports the missing suitability key
  • retail legal entity: required — its absence is rejected with IVR000133
  • qualified or professional legal entity: optional
  • Fund class (fund_class): not applicable — the step is skipped

Minimum quantity, legal representative requirement and summed percentage vary by investor type. The full table is in Create Related Party — Requirements by investor type.

4. Documents​

The required documents matrix is validated here, not at upload — see the Required Documents section on the Send Investor Document page. The rejections are IVR000029 (investor documents) and IVR000030 (related party documents), both returning the matrix of accepted options in the message.

For fund_class there is no investor documents matrix. Only related party documents can be required, and only for an exclusive class.

5. Bank account and signer group​

  • Active bank account: required for every investor, fund classes included. Without it, IVR000178. See Send Investor Bank Account.
  • Active signer group: required for resident natural persons and legal entities without an investor owner. Without it, IVR000180. Fund classes and non-resident investors are exempt.

6. Investor owners (fund_class only)​

A fund class needs an active administrator and an active manager. They are created automatically from the CVM data at submit; the Create Investor Owner endpoint covers additional links. Their absence is rejected with IVR000164 (administrator) or IVR000163 (manager).

7. Class in operation (fund_class only)​

Only classes that are operational at CVM are accepted. Pre-operational, closed, canceled or merged classes are rejected in the analysis.

8. Fund adhesions​

If the investor selected funds during registration (see Select Fund), the submit also validates these adhesions:

SituationRejection
An adhesion is rejectedIVR000233
An adhesion is still selected (eligibility not resolved)IVR000235

Remove the rejected adhesions or wait for/force the eligibility resolution before resending. Analyses with no fund adhesion are not affected by this validation.

Input / Output​

The body is optional — it can be sent empty (null or {}). When sent, it allows you to specify the signature method and the signer group to be used for the generated documents.

As output, only the investor_analysis_key is returned. Track the result through the webhooks or by querying the analysis.

Available on
ProfileHost
Investorinvestor-api

Base URL for each host: Environments (Hosts).

Request​

ENDPOINT
/investor_registry/investor/{investor_key}/investor_analysis/{investor_analysis_key}/submit
METHOD
PUT
STATUS
202

Request body​

The body can be sent empty ({}) — in this case the API uses the analysis's default signature method and signer group. To override these values, send the optional fields below.

Request Body
{
    "signature_method": "certifiqi",
    "external_signer_group_key": "3f8a5a3e-1f0a-4d9b-8a6e-9b4c0e7d8f12"
}

Body params​

FieldTypeDescriptionRequired
signature_methodstringSignature Method enumeratorNo
external_signer_group_keystringExternal key of the signer group to be used for this analysisNo

Signature Method​

The only values an integration can provide are:

EnumeratorDescription
certifiqiElectronic signature via CertifiQI
qi_sign.livenessElectronic signature with liveness proof
opt_in cannot be selected by the integration

opt_in is a distributor configuration, defined by QI Tech on your account, and not a value to be sent in this body. If your account is configured as opt_in, the signature flow is resolved automatically and there is no need to provide signature_method.

Response​

Response Body
{
    "investor_analysis_key": "UUID"
}

Errors​

StatusCodeWhen it happens
400IVR000018The analysis is no longer in pending_registry_data (it has already been sent or closed)
400IVR000029Required analysis documents are missing. The message lists the accepted options
400IVR000030Documents of a related party are missing. The message lists the accepted options
400IVR000148Attorney (attorney) without power_of_attorney
400IVR000178No active bank account
400IVR000180No active signer group
400IVR000134 / IVR000136Legal entity without a related party or without a legal representative
400IVR000169Summed equity interest of the related parties above 100%
400QIT000011Through the manager (manager-api): the investor is not a fund class linked to it

Authentication, permission and host errors: see API Errors.