Espanhol
PortuguêsFollowed codes
This institution follows 5 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
- Distribuição para público Private
Membership Status
definitiva
Membership Status
definitiva
Activities performed in the market
- Negociação de Debêntures, CRI e CRA
- Negociação de Derivativos de Balcão
Membership Status
definitiva
Membership Status
definitiva
Activities performed in the market
- Custódia
Certifications
This institution has professionals with 3 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
1 Related professionals
CPA-20
1 Related professionals
CEA
1 Related professionals
Guidelines and penalties
The guidelines and penalties sent as of April 2016 are disclosed.
11/07/2016
Irregularity investigation procedure (N 002/2016)
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 Negociação de Instrumentos Financeiros
