Espanhol
PortuguêsFollowed codes
This institution follows 4 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
- 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 COE
- Negociação de Derivativos de Balcão
Membership Status
definitiva
Certifications
This institution has professionals with 1,308 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
382 Related professionals
CPA-20
603 Related professionals
CEA
304 Related professionals
CFG
7 Related professionals
CGA
6 Related professionals
CGE
6 Related professionals
Guidelines and penalties
28/06/2023
Letter of recommendation (A050210/2023)
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.
