In this regard, the firm's leadership does not tolerate any form of bribery, corruption, discrimination, or harassment in its operations. Compliance with the rules established in our Code of Conduct, associated policies, and applicable laws is mandatory. These form part of the Compliance System overseen by the Compliance Officer, who ensures its proper functioning with authority, independence, and the necessary resources for continuous improvement. This includes applying appropriate penalties for non-compliance through an impartial, confidential, good-faith investigation process without retaliation.

Our mission, vision, and values represent the identity and aspirations of Caputo, Bastos e Serra Advogados.

Mission

To provide relevant legal services by developing ethical and competent professionals, capable of exceeding our client’s expectations.

Vision

To be regarded as a leading full service firm, without compromising the personal approach and technical excellence of our services.

Values

• We love People: We prioritize the satisfaction of our partners, employees, clients and stakeholders.
• The sum of our efforts leads to better results: Teamwork, ethics, transparency, integrity, simplicity and respect to commitments assumed, are non-negotiable.
• Nonconformity: We encourage innovation, disruption and we are constantly learning.
• Meritocracy: We believe that discipline, focus, learning and effort lead to victory and success.

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Core pillars of our practice.

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Ethics

Creating the ideal of mutual respect among individuals in a social relationship, always based on good faith and collectivity.

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Leadership and Commitment of Senior Management:

Demonstrating the true commitment of the strategic core of the firm by dedicating efforts to achieving agreed goals, such as monitoring and publicizing actions, adopting an integrity policy for greater institutional involvement with topics related to ethics, morality, legality, and encouraging capacity building.

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Compliance

Refers to the identification, framing, and maintenance of legal, normative, and regulatory compliance, consolidated through the institution of clear, objective, and honest acts and procedures.

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Integrity

Seeking the consistent alignment of behaviors and actions with ethical, moral, and legal values and principles, creating a culture focused on honesty, impartiality, and trust to combat any possibility of bribery or corruption

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Social Responsibility

Identifying the firm's role as an active participant in society and seeking, through internal and external policies, to promote sustainable development based on diversity, equality, and respect.

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Valuing Diversity and Combating Discrimination

Encouraging diversity and rejecting any form of prejudice, whether based on race, gender, color, religion, or origin.

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Interdependence

Maintaining a healthy relationship with peers in the legal field, rejecting any conduct that may be considered unfair.

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Good Governance

Observing the principles of legality, impartiality, morality, publicity, and efficiency to maintain healthy relationships with all those who interact with the organization. Providing the necessary tools for full development, fundamental to the continuous improvement of services provided by this law firm. Additionally, contributing to increased governability, assisting employees in decision-making through organized information structures, and promoting best practices, whether internal or external, to enhance the quality of services provided.

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Standards of behavior.

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All professionals at Caputo, Bastos e Serra Advogados are obligated to follow the rules outlined in this document. The responsibilities of partners and coordinators include setting an example of ethical behavior, ensuring team members are well-informed and compliant with the Code of Conduct, and fostering a culture of continuous improvement and accountability.

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a. Be an example of conduct for other lawyers, interns, and collaborators.

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b. Take necessary measures to ensure all team members understand and apply the rules established in this Code of Conduct and Ethics, including promoting and encouraging continuous training on integrity-related topics.

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c. Gather information related to the unit, identifying key compliance obligations, and analyze and evaluate events likely to pose risks that reinforce good practices or result in non-compliance with norms, moral principles, and ethics.

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d. Establish and review procedures to detect possible non-compliance.

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e. Encourage the reporting of non-compliance.

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f. Promptly address questions and concerns raised by professionals regarding the correct conduct in ethical dilemmas, and create a consultation mechanism to provide prior and prompt clarification on ethical conduct.

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g. Consider relevant any doubts in interpreting the text of the Code, clarify specific decisions, and, if any of the situations outlined above arise, they should be discussed in monthly Coordinators' meetings.

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h. Preserve the image and reputation of the firm, ensuring that conduct aligns with established ethical standards.

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