Recurso nº 19957.010465/2018-35

RECURSO CONTRA DECISÃO DA SEP EM PROCESSO DE MULTA COMINATÓRIA – BRB - BANCO DE BRASÍLIA S.A. – PROC. SEI 19957.010465/2018-35

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mso-tstyle-rowband-size:0; mso-tstyle-colband-size:0; mso-style-noshow:yes; mso-style-priority:99; mso-style-parent:""; mso-padding-alt:0cm 5.4pt 0cm 5.4pt; mso-para-margin-top:0cm; mso-para-margin-right:0cm; mso-para-margin-bottom:10.0pt; mso-para-margin-left:0cm; line-height:115%; mso-pagination:widow-orphan; font-size:11.0pt; font-family:"Calibri",sans-serif; mso-ascii-font-family:Calibri; mso-ascii-theme-font:minor-latin; mso-hansi-font-family:Calibri; mso-hansi-theme-font:minor-latin; mso-fareast-language:EN-US;} </style> <![endif] Trata-se de recurso interposto por BRB – Banco de Brasília S.A., contra decisão da Superintendência de Relações com Empresas – SEP de aplicação de multa cominatória, no valor de R$ 7.500,00 (sete mil e quinhentos reais), em decorrência do não envio, no prazo regulamentar estabelecido no art. 29, inciso II, da Instrução CVM n° 480/09, do Formulário de Informações Trimestrais referente ao 2º trimestre de 2018. O Colegiado, com base na manifestação da área técnica, consubstanciada no Relatório nº 160/2018-CVM/SEP, deliberou, por unanimidade, pelo não provimento do recurso e a consequente manutenção da multa aplicada. Anexos MANIFESTAÇÃO DA ÁREA TÉCNICA

COMISSÃO DE VALORES MOBILIÁRIOS

Relatório nº 160/2018-CVM/SEP

Senhor Superintendente,

Trata-se de recurso interposto, em 23.11.18, pelo BRB – BANCO DE BRASÍLIA

S.A., registrada na categoria A desde 01.01.10, contra a aplicação de multa cominatória no

valor de R$ 7.500,00 (sete mil e quinhentos reais), pelo atraso de 15 (quinze) dias no envio

do documento 2º ITR/2018, comunicada por meio do OFÍCIO/CVM/SEP/MC/Nº270/18, de

09.11.18 (0639185).

2. A Companhia apresentou recurso nos seguintes principais termos (0639180):

a) “em recurso à penalidade imposta ao BRB – Banco de Brasília S.A. por meio do Ofício

CVM/SEP/MC/Nº270/2018, o BRB informa que durante o 1º semestre de 2018 realizou a

modernização de seu parque tecnológico, sendo realizada a troca de seus mainframes e

consequente migração de seus sistemas”;

b) “decorrente desse fato, o Banco passou por alguns problemas técnicos com impactos

sobre a rotina de fechamento contábil da instituição, em especial nos meses que compõem

o 2º trimestre do ano, base para o 2º ITR”;

c) “foram envidados os maiores esforços para acerto e encerramento dos demonstrativos

contábeis dentro do prazo instituído para entrega do referido ITR, porém, o atraso

ocasionado nas rotinas não possibilitou sua conclusão para publicação na data

inicialmente informada de 14/08/2018”;

d) “mantendo a transparência e dedicação para uma comunicação tempestiva e assertiva

com seus acionistas e investidores em geral, o BRB publicou no dia 13/08/2018 um

Comunicado ao Mercado visando informar dos problemas incorridos e da nova data de

publicação de seus demonstrativos”;

e) “a companhia ressalta que o atraso ocorrido, apesar de indesejado, não ocasionou

qualquer prejuízo aos seus acionistas e/ou demais stakeholders, sendo as razões para sua

ocorrência devidamente esclarecidas e os problemas sanados, possibilitando que a

instituição realizasse a publicação do 3º ITR conforme seu cronograma, respeitando o prazo

legal instituído”; e

f) “dessa forma, solicita que seja revista a penalidade aplicada no intuito de sua anistia ou

comutação da sanção por advertência ou notificação”.

Entendimento

3. O Formulário de Informações Trimestrais - ITR, nos termos do inciso II do

art. 29 da Instrução CVM nº 480/09, deve ser entregue pelo emissor no prazo de 45 (quarenta

e cinco) dias contados da data de encerramento de cada trimestre.

4. Cabe destacar que:

a) não há, na Instrução CVM nº 480/09, qualquer dispositivo que permita, à Companhia,

entregar em atraso o Formulário de Informações Trimestrais, ainda que, segundo a

Recorrente: (i) a Companhia tenha passado por “alguns problemas técnicos com impactos

sobre a rotina de fechamento contábil da instituição, em especial nos meses que compõem

o 2º trimestre do ano”; (ii) tenha sido publicado um Comunicado ao Mercado “visando

Relatório 160 (0640784) SEI 19957.010465/2018-35 / pg. 1

informar dos problemas incorridos e da nova data de publicação de seus demonstrativos”; e

(iii) o atraso não tenha ocasionado “qualquer prejuízo aos seus acionistas e/ou demais

stakeholders”; e

b) não se deve confundir multa cominatória (prevista no art. 9º, inciso II da Lei nº 6.385/76)

com penalidade (prevista no art. 11 da Lei nº 6.385/76), pelo que não é possível a

substituição da multa por advertência.

5. Assim sendo, a meu ver, restou comprovado que a multa foi aplicada

corretamente, nos termos da Instrução CVM n° 452/07, tendo em vista que: (i) o e-mail de

alerta foi enviado, em 14.08.18 (0639136), para o endereço eletrônico do DRI constante

do Formulário Cadastral ativo à época do envio (FC/2018 – versão 1 – encaminhado em

06.02.18); e (ii) o BRB – BANCO DE BRASÍLIA S.A., encaminhou o Formulário ITR referente

ao 2º trimestre de 2018 apenas em 30.08.18 (0640469).

6. Isto posto, sou pelo indeferimento do recurso apresentado pelo BRB –

BANCO DE BRASÍLIA S.A., pelo que sugiro encaminhar o presente processo à

Superintendência Geral, para posterior envio ao Colegiado para deliberação, nos termos do

art. 13 da Instrução CVM nº 452/07.

Atenciosamente,

KELLY LEITÃO SANGUINETTI

Chefe de Seção

Ao SGE, de acordo com a manifestação da chefe de seção,

Atenciosamente,

FERNANDO SOARES VIEIRA

Superintendente de Relações com Empresas

Ciente.

À EXE, para as providências exigíveis.

ALEXANDRE PINHEIRO DOS SANTOS

Superintendente Geral

Documento assinado eletronicamente por Kelly Leitão Sanguinetti, Chefe de Seção,

em 26/11/2018, às 17:25, com fundamento no art. 6º, § 1º, do Decreto nº 8.539, de 8 de

outubro de 2015.

Documento assinado eletronicamente por Fernando Soares Vieira,

Relatório 160 (0640784) SEI 19957.010465/2018-35 / pg. 2

Superintendente, em 26/11/2018, às 18:28, com fundamento no art. 6º, § 1º, do

Decreto nº 8.539, de 8 de outubro de 2015.

Documento assinado eletronicamente por Alexandre Pinheiro dos Santos,

Superintendente Geral, em 27/11/2018, às 19:34, com fundamento no art. 6º, § 1º, do

Decreto nº 8.539, de 8 de outubro de 2015.

A autenticidade do documento pode ser conferida no site

https://sei.cvm.gov.br/conferir_autenticidade, informando o código verificador

0640784 e o código CRC 73F2DDA5.

This document's authenticity can be verified by accessing

https://sei.cvm.gov.br/conferir_autenticidade, and typing the "Código Verificador" 0640784 and the

"Código CRC" 73F2DDA5.

Relatório 160 (0640784) SEI 19957.010465/2018-35 / pg. 3