Espanhol
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
- Base de Dados
- Carteira Administrada
- Gestão de Patrimônio
- Administração
- Base de Dados – FIP
- Gestão
Membership Status
definitiva
Activities performed in the market
- Distribuição para público em geral, exceto private, middle e corporate
Membership Status
definitiva
Membership Status
definitiva
Activities performed in the market
- Negociação de CCB
- Negociação de Debêntures, CRI e CRA
- Negociação de Derivativos de Balcão
Membership Status
definitiva
Activities performed in the market
- Agente de Notas
- Agentes Fiduciários
- Coordenação e Estruturação
Membership Status
definitiva
Membership Status
definitiva
Activities performed in the market
- Controladoria
- Custódia
- Escrituração
- Investidor Não Residente
Certifications
This institution has professionals with 45 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
13 Related professionals
CPA-20
20 Related professionals
CEA
6 Related professionals
CFG
2 Related professionals
CGA
2 Related professionals
CGE
2 Related professionals
Guidelines and penalties
17/01/2022
Letter of recommendation (A016473/2021)
The investigation generated a Letter of Recommendation, with guidance for correcting problems, which were easy to adjust or with low damage potential.
Please check the case details: see early letter of recommendation
Code(s) breached: Código de Ofertas Públicas
The guidelines and penalties sent as of April 2016 are disclosed.
20/07/2020
Irregularity investigation procedure (ART008/2019)
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 Administração e Gestão de Recursos de Terceiros
11/05/2021
Process (ART002/2019)
The investigation generated a term of commitment, in which the institution undertook to access and correct acts in non-compliance with the self-regulation codes.
Please check the case details: see the term of commitment
Code(s) breached: Código de Administração e Gestão de Recursos de Terceiros
10 fines were applied to this institution in the last 12 months.
