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PortuguêsFollowed codes
This institution follows 14 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
provisoria
Details
Adesão provisória (com base na regra criada em 02/01/2019)
Activities performed in the market
- Administração
- Base de Dados – FIP
Membership Status
provisoria
Details
Adesão provisória (com base na regra criada em 02/01/2019)
Activities performed in the market
- Administração
- Base de Dados – FIP
Membership Status
definitiva
Activities performed in the market
- Distribuição para público em geral, exceto private, middle e corporate
Membership Status
definitiva
Activities performed in the market
- Distribuição para público em geral, exceto private, middle e corporate
Membership Status
definitiva
Membership Status
definitiva
Membership Status
definitiva
Activities performed in the market
- Negociação de CCB
- Negociação de COE
- Negociação de Debêntures, CRI e CRA
- Negociação de Derivativos de Balcão
Membership Status
definitiva
Activities performed in the market
- Negociação de CCB
- Negociação de COE
- Negociação de Debêntures, CRI e CRA
- Negociação de Derivativos de Balcão
Membership Status
definitiva
Activities performed in the market
- Coordenação e Estruturação
Membership Status
definitiva
Activities performed in the market
- Coordenação e Estruturação
Membership Status
definitiva
Membership Status
definitiva
Membership Status
provisoria
Details
Adesão provisória (com base na regra criada em 02/01/2019)
Activities performed in the market
- Investidor Não Residente
- Controladoria
- Custódia
- Escrituração
Membership Status
provisoria
Details
Adesão provisória (com base na regra criada em 02/01/2019)
Activities performed in the market
- Controladoria
- Custódia
- Escrituração
- Investidor Não Residente
Certifications
This institution does not have certified professionals linked.
Guidelines and penalties
25/05/2024
Term of Commitment (TC N001/2024)
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 Negociação de Instrumentos Financeiros
25/05/2024
Term of Commitment (TC N001/2024)
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 Negociação de Instrumentos Financeiros
The guidelines and penalties sent as of April 2016 are disclosed.
07/02/2025
Process (OP001/2024)
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 Ofertas Públicas
22/10/2024
Process (N001/2024)
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 Negociação de Instrumentos Financeiros
07/02/2025
Process (OP001/2024)
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 Ofertas Públicas
22/10/2024
Process (N001/2024)
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 Negociação de Instrumentos Financeiros
