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PortuguêsFollowed codes
This institution follows 7 of our codes. They establish rules of conduct that guarantee market sustainability and investor safety. Our team oversees compliance with these rules, applying sanctions as necessary.
Check below the codes followed by this company:
Membership Status
definitiva
Activities performed in the market
- Gestão
- Administração
- Base de Dados – FIP
Membership Status
definitiva
Activities performed in the market
- Distribuição para público Private
- Distribuição para público em geral, exceto private, middle e corporate
Membership Status
definitiva
Membership Status
definitiva
Activities performed in the market
- Negociação de COE
- Negociação de Derivativos de Balcão
- Negociação de CCB
- Negociação de Debêntures, CRI e CRA
Membership Status
definitiva
Activities performed in the market
- Coordenação e Estruturação
Membership Status
definitiva
Membership Status
definitiva
Activities performed in the market
- Investidor Não Residente
- Custódia
Certifications
This institution has professionals with 1,406 ANBIMA certifications. They have passed our certification exams and have the required technical knowledge to work in the distribution of investments and/or management of third-party assets in the institution.
Check out the distribution of certified professionals in this company below:
CPA-10
195 Related professionals
CPA-20
685 Related professionals
CEA
353 Related professionals
CFG
68 Related professionals
CGA
61 Related professionals
CGE
44 Related professionals
Guidelines and penalties
14/12/2020
Term of Commitment (A000687/2021)
The investigation generated a Term of Commitment, with guidance for correcting the problems, which were easy to adjust or with low damage potential.
Please check the case details: see the term of commitment
Code(s) breached: Código de Ofertas Públicas
The guidelines and penalties sent as of April 2016 are disclosed.
15/04/2016
Irregularity investigation procedure (OP 005/2015)
The investigation generated a letter of recommendation, with guidance for correcting issues, which were easy to adjust or had low potential for damage.
Please check the case details: see the recommendation letter
Code(s) breached: Código de Ofertas Públicas
