Send Investor Document

Introduction

This resource uploads a document that is part of the investor's registration analysis. The required documents vary according to the investor's person_type and investor_sub_type, as well as their category (retail, qualified, professional).

Attention

This endpoint must be called once for each required document
The registration analysis must be in the pending_registry_data status. In any other status, the call is rejected with IVR000026
The same type only accepts one successful upload: see Retry and duplicate document

Fund class (fund_class) — step skipped

Fund classes do not send investor documents. There is no required documents matrix for this sub-type, and their absence never blocks the submit. Skip this step — see Legal Entity — Investment Fund below.

Input / Output

As input, send the file content in base64, the document type and the extension.

As output, the representation of the created document is returned, identified by investor_analysis_document_key, along with the full representation of the registration analysis it belongs to.

Request

ENDPOINT

/investor_registry/investor/{investor_key}/investor_analysis/{investor_analysis_key}/document

METHOD

POST

STATUS

201

Query params

Field	Type	Description	Required
`force`	boolean	If `true`, forces the upload even when a prior validation has failed. The document necessarily goes to manual analysis.	No

Request body

Example: CNH (Natural Person)

Request Body
{
    "type": "cnh",
    "document_b64": "base64_encoded_document_content",
    "file_extension": "pdf",
    "document_data": {
        "document_type": "CNH",
        "issuer_entity": "DETRAN"
    }
}

Example: RG (front and back)

Request Body — Front
{
    "type": "rg_front",
    "document_b64": "base64_encoded_document_content",
    "file_extension": "jpeg",
    "document_data": {
        "document_type": "RG",
        "issuer_entity": "SSP",
        "document_number": "20.932.206-8"
    }
}

Request Body — Back
{
    "type": "rg_back",
    "document_b64": "base64_encoded_document_content",
    "file_extension": "jpeg"
}

Example: CNPJ Card (Legal Entity)

Request Body
{
    "type": "cnpj_card",
    "document_b64": "base64_encoded_document_content",
    "file_extension": "pdf"
}

Body params

Field	Type	Description	Characters	Required
`type`	string	Document Type enumerator	-	Yes
`document_b64`	string	File content encoded in base64	-	Yes
`file_extension`	string	File extension. Accepted values: `pdf`, `jpeg`	-	Yes
`document_data`	object	Free-form document metadata (e.g. number, issuing body)	-	No
`observation`	string	Free-form note about the document	up to 500	No

Document Type

Natural person identification and proofs

Enumerator	Description	Extensions
`cnh`	CNH (driver's license)	`pdf`, `jpeg`
`rg_front`	RG — front	`pdf`, `jpeg`
`rg_back`	RG — back	`pdf`, `jpeg`
`passport`	Passport (foreigner identification)	`pdf`, `jpeg`
`foreign_id`	Foreign identity document (e.g. RNE)	`pdf`, `jpeg`
`proof_of_residence`	Proof of residence	`pdf`, `jpeg`
`billing_statement`	Invoice / statement	`pdf`, `jpeg`

Legal entity corporate documents

Enumerator	Description	Extensions
`cnpj_card`	CNPJ card	`pdf`, `jpeg`
`social_contract`	Articles of association	`pdf`, `jpeg`
`company_statute`	Bylaws	`pdf`, `jpeg`
`board_election_record`	Statutory election minutes	`pdf`, `jpeg`
`financial_statements`	Financial statements	`pdf`, `jpeg`
`organizational_chart`	Corporate organizational chart	`pdf`, `jpeg`

Representation, qualification and contracts

Enumerator	Description	Extensions
`power_of_attorney`	Power of attorney	`pdf`, `jpeg`
`investor_qualification_proof`	Proof of qualification / classification	`pdf`, `jpeg`
`wallet_manager_contract`	Managed portfolio / intermediation contract	`pdf`, `jpeg`
`extra_document`	Standalone document, with no specific type	`pdf`, `jpeg`

Non-resident investor

Enumerator	Description	Extensions
`custody_contract`	Custody contract	`pdf`, `jpeg`
`representation_contract`	Representation contract	`pdf`, `jpeg`
`simplified_declaration`	Simplified declaration	`pdf`, `jpeg`
`final_departure_tax_return`	Final tax return for permanent departure from the country	`pdf`, `jpeg`

Types generated by QI Tech

The qualified_investor_term, professional_investor_term, natural_person_registry_form, legal_person_registry_form, investor_suitability_form, adhesion_term and nonconformity_term types appear in the investor query, but they are generated by QI Tech for signature — they must not be sent through this endpoint.

Required Documents

The combinations below are alternative sets: it is enough to satisfy one of the options in each list. The validation runs when the registration is sent for analysis (submit) and rejects with IVR000029, returning in the message the exact matrix that was missing.

Natural Person (`natural_person`)

One of the options:

Option	Documents
1	`cnh` + `proof_of_residence`
2	`rg_front` + `rg_back` + `proof_of_residence`

Legal Entity (`legal_person` / `investor_sub_type: default`, `financial_institution`)

One of the options — always at least one corporate document and the financial statements:

Option	Documents
1	`board_election_record` + `financial_statements`
2	`company_statute` + `financial_statements`
3	`social_contract` + `financial_statements`

The required corporate document depends on the company's legal type — hence the three options. It is not possible to send only financial_statements.

Required documents

Although these documents are the minimum for submitting an analysis, if, for example, the company_statute alone is not enough to define the quotaholder's signatories and powers, the analysis may be rejected, also requiring the board_election_record.

Legal Entity — Investment Fund Class (`investor_sub_type: fund_class`)

No document is required — the step is skipped entirely. The class data is obtained through enrichment from the CVM database, and representation is done by the investor owners (administrator and manager).

The only documents that may be required in a fund class registration are those of the related parties, and only when the class is exclusive at CVM — see Send Related Party Document.

Retry and duplicate document

A document type is considered satisfied as soon as there is, for that analysis, a document of that type with the valid or in_manual_analysis status. From then on, new uploads of the same type are rejected:

HTTP 409
{
  "title": "Already exists valid document for investor analysis.",
  "code": "IVR000023"
}

While all documents of a type are invalid, new uploads of that type are still accepted — this is how an illegible file is corrected.

The extra_document type is the only exception: it always accepts multiple uploads.

Automatic validation and document `status`

Documents of the cnh, rg_front, rg_back and proof_of_residence types go through automatic validation (OCR) and come back with one of the statuses below. The other types go directly to in_manual_analysis.

Status	Meaning
`valid`	Automatically validated
`in_manual_analysis`	Referred to human review
`invalid`	Rejected in the automatic validation — resend, or use `force=true`

force=true skips the effect of the automatic rejection: the document is recorded as in_manual_analysis and starts to satisfy the type requirement.

About investor_qualification_proof

This document is not part of the required matrix and its absence never blocks the submit. It comes into play later: if the declared total_financial_applications is below the floor of the informed category — R$ 1,000,000 for qualified, R$ 10,000,000 for professional — it is used for the validation. fund_class investors are exempt from this check.

Response

Response Body
{
    "investor_analysis_document_key": "UUID",
    "type": "cnh",
    "status": "in_manual_analysis",
    "observation": "Documento emitido em 2019, legibilidade reduzida no verso.",
    "data": {
        "type": "cnh",
        "file_extension": "pdf",
        "document_data": {
            "document_type": "CNH",
            "issuer_entity": "DETRAN"
        }
    },
    "investor_analysis": { }
}

Field	Type	Description
`investor_analysis_document_key`	string	Document identifier. It is the key used in the other document routes
`type`	string	Document Type enumerator
`status`	string	`valid`, `invalid` or `in_manual_analysis` — see Automatic validation
`observation`	string	Note sent in the request. `null` when not provided
`data`	object	Echo of the fields sent, without the base64 content
`investor_analysis`	object	Full representation of the registration analysis — same format as Query Information of an Investor Registration Analysis

Errors

Status	Code	When it happens
400	`IVR000024`	The file is not valid base64
400	`IVR000026`	The analysis is no longer in `pending_registry_data`
404	`IVR000144`	Unknown document type
409	`IVR000023`	There is already a valid document of the same type in the analysis
409	`IVR000268`	There is already a document of the same type waiting for analysis
400	`QIT000011`	Through the manager (`manager-api`): the investor is not a fund class linked to it

Authentication, permission and host errors: see API Errors.

Introduction​

Input / Output​

Request​

Query params​

Request body​

Body params​

Document Type​

Natural person identification and proofs​

Legal entity corporate documents​

Representation, qualification and contracts​

Non-resident investor​

Required Documents​

Natural Person (natural_person)​

Legal Entity (legal_person / investor_sub_type: default, financial_institution)​

Legal Entity — Investment Fund Class (investor_sub_type: fund_class)​

Retry and duplicate document​

Automatic validation and document status​

Response​

Errors​