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Master's Dissertation
DOI
Document
Author
Full name
Vinícius Krüger Chalub Fadanelli
Institute/School/College
Knowledge Area
Date of Defense
Published
São Paulo, 2013
Supervisor
Committee
Guerreiro, Jose Alexandre Tavares (President)
Souza Junior, Francisco Satiro de
Yazbek, Otavio
Title in Portuguese
Termos de compromisso em processo administrativo sancionador da Comissão de Valores Mobiliários
Keywords in Portuguese
Comissão de Valores Mobiliários CVM
Mercado de capitais
Abstract in Portuguese
O estudo trata dos termos de compromisso, mecanismo de solução consensual aos processos administrativos sancionadores cuja utilização foi facultada à Comissão de Valores Mobiliários por inserção de norma legal específica na Lei 6.385/76, em 1997. A parte inicial trata da natureza dessa ferramenta, relata os argumentos favoráveis e contrários à sua utilização no âmbito do mercado de valores mobiliários brasileiro; analisa a disciplina e as balizas legais aplicáveis, com referência ao processo legislativo e ao contexto regulatório em que foi criado; bem como examina as vantagens proporcionadas à administração pública e aos agentes do mercado pela celebração de tais acordos. Segue-se uma segunda parte, na qual são apresentados os procedimentos pertinentes à adoção dos termos de compromisso, a interação entre a CVM e o Ministério Público Federal, a influência dos acordos sobre as entidades de autorregulação e a discussão a respeito da destinação dos valores arrecadados com os acordos substitutivos. Casos práticos (apreciados pela autarquia) e experiências estrangeiras (regras e impressões doutrinárias) são apresentados no decorrer do trabalho, quando pertinentes.
Title in English
Settlement agreements in administrative proceedings before the Brazilian securities and Exchange commission
Keywords in English
Administrative settlement
Conset decree
Punitive administrative proceedings
Securities market regulation
Abstract in English
This study addresses the settlement agreements (termos de compromisso), a consensual solution to administrative proceedings that may be used by the Brazilian Securities and Exchange Commission (Comissão de Valores Mobiliários) since the inclusion, in 1997, of a specific legal provision in Law 6,385/76. The first part of this work deals with the nature of the aforementioned tool, reports the arguments for and against its use in the Brazilian securities market; analyzes the discipline and limitations set forth by applicable law, considering the legislative and regulatory context in which it was created; as well as examines the advantages provided by such agreements to the government and market agents. A second part, which presents relevant procedures for the adoption of the settlement agreements, explains the interaction between the CVM and the Federal Prosecutors Office (Ministério Público Federal), the influence of such agreements on self-regulatory organizations and discusses the allocation of amounts collected with the agreements. Case studies (analyzed by CVM) and foreign experiences (rules and impressions of scholars) are presented throughout the text, when relevant.
 
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Release Date
2019-08-01
Publishing Date
2017-09-12
 
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