Espanhol
PortuguêsFollowed codes
This institution follows 4 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
- Base de Dados – FIP
Membership Status
definitiva
Membership Status
definitiva
Membership Status
definitiva
Activities performed in the market
- Gestão de recursos de terceiros
- Comercial em gestão de patrimônio
Participation
This institution participates in 3 group. They are forums, commissions, advisory groups and councils formed by representatives of institutions associated with ANBIMA that debate topics that contribute to the strengthening of the market and help in the self-regulation progress.
Check out the groups in which this institution participates and who are their representatives:
Working Groups
Temporary groups that analyze, study, develop or discuss specific issues related to the forums to which they are linked.
Titular
Lívia Martins de Menezes Lunau
Titular
Theodoro Fleury de Almeida Roca
Suplente
Carlos Mauricio Sakata Mirandola
Membro externo
Fernando José São Thiago de Carvalho
Titular
Lívia Martins de Menezes Lunau
Certifications
This institution has professionals with 12 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-20
1 Related professionals
CFG
5 Related professionals
CGA
3 Related professionals
CGE
3 Related professionals
Guidelines and penalties
Institutions participating in self-regulation are supervised by our team to ensure they are following the rules of the codes they follow. When irregularities are found, they can receive guidance, fines or other penalties, depending on the severity of the case.
Check below the guidelines and penalties received by the institution.
Early Term of Commitment
Supervised institutions may submit a proposal for the conclusion of a settlement prior to the filling of a Procedure for Investigation of Irregularities (PII) or a proceeding.
In the Early Term of Commitment, the institution undertakes to cease and correct in advance acts that may have represent non-compliance with the rules provided for in the self-regulation.
Letter of recommendation
The investigation generated a Letter of Recommendation, with guidance for correcting problems, which were easy to adjust or with low damage potential.
We use Procedure for Investigation of Irregularities (PIIs) and Processes to investigate breaches of our self-regulatory and ethical codes. This assessment can generate terms of commitment, letters of recommendation or judgments. In the latter case, the institution is judged by the Regulation and Best Practices Board.
The guidelines and penalties sent as of April 2016 are disclosed.
Details
Institutions must follow the procedures for sending documents and information within the deadlines and formats described in our codes. When these guidelines are not followed, the institution receives a guidance letter. Fines are applied when there is a new infraction in a period of less than 12 months after receiving the letter.
Check below the consolidated fines received by the institution:
