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 – FIP
- Gestão
- Administração
- Base de Dados
- Carteira Administrada
Membership Status
definitiva
Activities performed in the market
- Distribuição para público Private
- Distribuição para público em geral, exceto private, middle e corporate
Membership Status
definitiva
Membership Status
definitiva
Activities performed in the market
- Negociação de COE
- Negociação de Derivativos de Balcão
- Negociação de CCB
- Negociação de Debêntures, CRI e CRA
Membership Status
definitiva
Activities performed in the market
- Coordenação e Estruturação
Membership Status
definitiva
Membership Status
definitiva
Activities performed in the market
- Custódia
- Escrituração
- Controladoria
- Investidor Não Residente
Certifications
This institution has professionals with 65,530 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
34388 Related professionals
CPA-20
20638 Related professionals
CEA
10049 Related professionals
CFG
209 Related professionals
CGA
156 Related professionals
CGE
90 Related professionals
Guidelines and penalties
10/02/2022
Term of Commitment (A000611/2022)
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 Distribuição de Produtos de Investimento
27/10/2022
Letter of recommendation (038888/2022)
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 Distribuição de Produtos de Investimento
The guidelines and penalties sent as of April 2016 are disclosed.
10 fines were applied to this institution in the last 12 months.
