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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
- Administração
- Base de Dados – FIP
- Gestão
Membership Status
definitiva
Activities performed in the market
- 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 Debêntures, CRI e CRA
- Negociação de Derivativos de Balcão
Membership Status
definitiva
Activities performed in the market
- Coordenação e Estruturação
Membership Status
definitiva
Membership Status
definitiva
Activities performed in the market
- Controladoria
Certifications
This institution has professionals with 108 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
13 Related professionals
CPA-20
75 Related professionals
CEA
15 Related professionals
CFG
3 Related professionals
CGA
1 Related professionals
CGE
1 Related professionals
Guidelines and penalties
18/10/2024
Term of Commitment (TC D002/2024)
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 Distribuição de Produtos de Investimento
The guidelines and penalties sent as of April 2016 are disclosed.
19/08/2021
Irregularity investigation procedure (DIST 01/2020)
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 Distribuição de Produtos de Investimento
07/08/2023
Process (DIST001/2022)
The investigation generated a decision and the institution was judged by the Regulation and Best Practices Board, which decided on its penalty.
Please check the case details: see judgment
Code(s) breached: Código de Distribuição de Produtos de Investimento
