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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
Membership Status
definitiva
Activities performed in the market
- Distribuição para público em geral, exceto private, middle e corporate
- Distribuição para público Private
Membership Status
definitiva
Membership Status
definitiva
Activities performed in the market
- Negociação de Debêntures, CRI e CRA
- Negociação de COE
- 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
- Custódia
Certifications
This institution has professionals with 4,787 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
791 Related professionals
CPA-20
2940 Related professionals
CEA
798 Related professionals
CFG
117 Related professionals
CGA
90 Related professionals
CGE
51 Related professionals
Guidelines and penalties
23/11/2020
Term of Commitment (A012862/2020)
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 Ofertas Públicas , Código de Ofertas Públicas
14/12/2020
Term of Commitment (A000687/2021)
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 Ofertas Públicas , Código de Ofertas Públicas
15/03/2022
Letter of recommendation (A004080/2022)
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.
30/12/2024
Process (DIST001/2024)
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, Código de Distribuição de Produtos de Investimento
18/12/2020
Process (DIST02/2020)
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, Código de Distribuição de Produtos de Investimento
12 fines were applied to this institution in the last 12 months.
