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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
- Base de Dados – FIP
- Gestão
- Administração
- Coordenação e estruturação de fundos próprios
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 Debêntures, CRI e CRA
Membership Status
definitiva
Activities performed in the market
- Agentes Fiduciários
Membership Status
definitiva
Membership Status
definitiva
Activities performed in the market
- Custódia
- Investidor Não Residente
- Controladoria
- Escrituração
Certifications
This institution has professionals with 54 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
7 Related professionals
CPA-20
38 Related professionals
CEA
6 Related professionals
CFG
1 Related professionals
CGA
1 Related professionals
CGE
1 Related professionals
Guidelines and penalties
The guidelines and penalties sent as of April 2016 are disclosed.
21/12/2020
Irregularity investigation procedure (DIST002/2019)
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
30/07/2019
Process (Pro_SQ001/2018)
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 para Serviços Qualificados ao Mercado de Capitais
03/06/2019
Process (Pro_FP002/2018)
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 ABVCAP/ANBIMA FIP e FIEE
9 fines were applied to this institution in the last 12 months.
