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

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/v2/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 and adhesion_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 (investor_sub_type: fund_class)

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

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

Authentication, permission and host errors: see API Errors.