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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
provisoria
Details
Adesão provisória (com base na regra criada em 02/01/2019)
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
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
provisoria
Details
Adesão provisória (com base na regra criada em 02/01/2019)
Activities performed in the market
- Controladoria
- Escrituração
- Custódia
- Investidor Não Residente
Certifications
This institution has professionals with 27 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
1 Related professionals
CPA-20
19 Related professionals
CEA
4 Related professionals
CFG
1 Related professionals
CGA
1 Related professionals
CGE
1 Related professionals
Guidelines and penalties
25/05/2024
Term of Commitment (TC N001/2024)
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 Negociação de Instrumentos Financeiros
The guidelines and penalties sent as of April 2016 are disclosed.
22/10/2024
Process (N001/2024)
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 Negociação de Instrumentos Financeiros
