Annual Report
ANBIMA
2011
|
31
With the objective of spreading the concepts,
requirements and procedures related to
self-regulation and the supervision processes,
several events were held throughout the
year, with the participation of institutions
adhering to ANBIMA’s Codes. There were two
workshops on the Funds Code and two on the
Certification Code. In the area of Certification,
the workshops were reinforced by conducting
educational in loco visits, whose objective was
to present the adherent institutions with the
rules and deadlines established in the Code.
Market Supervision in 2011
Codes
Adherent
Institutions
Investigations and Applied Penalties
Clarification
Requests
PAI (Process of
Investigating
Irregularities)
Initiated
Processes
Letters of
Guidance
Letters of
Recommenda-
tion
Warning
Letters Objective Fines
Commitment
Agreement
Certification
1,187
344
7
1
152
6
0
42
0
Investment Funds
641
434
3
9
82
0
1
472
18
FIP/FIEE
108
0
0
0
0
0
0
0
0
Asset Management
27
0
0
0
0
0
0
0
0
Open Market
149
56
0
0
102
0
0
0
0
Public Offerings
340
4
8
2
5
0
0
12
1
Private Banking
21
10
1
0
22
2
0
10
0
Qualified Services
41
17
1
0
38
0
0
29
1
