Recurso nº 19957.011553/2017-73

RECURSO CONTRA DECISÃO DA SIN EM PROCESSO DE MULTA COMINATÓRIA – ROGERIO VERAS CALDEIRAS BASTOS – PROC. SEI 19957.011553/2017-73

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1º, inciso II, da Instrução CVM n° 510/11, da Declaração Eletrônica de Conformidade referente ao ano de 2017. O Colegiado, com base na manifestação da área técnica, consubstanciada no Memorando nº 8/2019-CVM/SIN/GAIN, deliberou, por unanimidade, pelo não provimento do recurso e a consequente manutenção da multa aplicada. Anexos MANIFESTAÇÃO DA ÁREA TÉCNICA

COMISSÃO DE VALORES MOBILIÁRIOS

Memorando nº 8/2019-CVM/SIN/GAIN

Rio de Janeiro, 03 de fevereiro de 2019.

De: SIN

Para: SGE

Assunto: Recurso contra aplicação de multa cominatória por não entrega da

Declaração Eletrônica de Conformidade (DEC/2017) - Processo SEI nº

19957.011553/2017-73

Senhor Superintendente Geral,

1. Trata-se de recurso interposto pelo Sr. Rogerio Veras Caldeiras Bastos contra

decisão da Superintendência de Relações com Investidores Institucionais – SIN de

aplicação da multa cominatória prevista no artigo 5º, II, da Instrução CVM nº

510/11, pela não entrega, até 31/5/2017, da Declaração Eletrônica de

Conformidade (DEC) prevista no caput do artigo 1º, II, da mesma Instrução. A

citada multa, no valor de R$ 6.000,00, refere-se à aplicação de multa diária de R$

100,00, calculada sobre 60 dias de atraso, nos termos dos artigos 12 e 14 da

Instrução CVM nº 452/07.

2. Em seu recurso (0407627), o interessado argumenta que "desde o inicio de

2016 não vem mais praticando a atividade de Consultor de Valores Mobiliários pois

mudou-se para os Estados Unidos da América aonde fixou residência permanente

em 30/07/2016, conforme comprovante anexo (407631)". Ainda, reconhece que

"cometeu, sim, o lapso de não ter pedido a suspensão de seu registro junto a esta

autarquia. Ademais, por não estar mais no Brasil, infelizmente não recebeu as

correspondências desta Comissão e apenas hoje com a chegada de uma carta

registrada fui informado pelo porteiro da minha antiga residência desta

pendência". Dessa forma, "respeitosamente que a multa seja revista e

informa que estará enviando para esta CVM o pedido de suspensão do registro nos

próximos dias".

3. Como sabido, a Declaração de Conformidade é documento devido por todos os

consultores de valores mobiliários registrados na CVM, estejam ou não exercendo

a atividade no momento da entrega, ou ainda, mesmo que não tenham

atualizações cadastrais a reportar em relação ao período de referência.

4. Assim, nos termos do artigo 3º da Instrução CVM nº 452/07, foi expedida em

Memorando 8 (0679261) SEI 19957.011553/2017-73 / pg. 1

7/6/2017 notificação específica

ao endereço eletrônico RBASTOS@HOTMAIL.COM (fl. 3, 0407631), constante à

época nos cadastros do participante (fl. 5, 0407631), com o objetivo de relembrálo do dever de envio do documento, e alertá-lo do descumprimento do prazo e a

incidência, a partir de então, da multa cominatória diária.

5. Quanto às alegações do recorrente, entende a SIN que a obrigatoriedade

do envio da Declaração Eletrônica é exigível de todos os consultores de valores

mobiliários com registro ativo na CVM, estejam ou não exercendo a função, cuja

incumbência é do próprio recorrente, e não terceiros a quem pretenda transferir

tal responsabilidade. De outro lado, o envio do documento deve ser

efetuado diretamente por meio do ambiente restrito da CVMWeb disponível ao

participante no site da CVM, razão pela qual a ausência do país não seria

impeditivo ao envio do documento no prazo.

6. Por conclusão, em que pese os nossos esforços e apesar das notificações

expedidas, o fato é que, como se comprova através da Posição de Entregas de

Documentos (fl. 6, 0407291), o envio da declaração prevista na norma só foi

realizado em 12/12/2017.

7. Em razão do exposto, defendemos que seja mantida a decisão recorrida, razão

pela qual submetemos o presente recurso à apreciação do Colegiado, com

proposta de que a relatoria do processo seja conduzida por esta SIN/GAIN.

Atenciosamente,

DANIEL WALTER MAEDA BERNARDO

SUPERINTENDENTE DE RELAÇÕES COM INVESTIDORES

INSTITUCIONAIS

Documento assinado eletronicamente por Daniel Walter Maeda Bernardo,

Superintendente, em 15/02/2019, às 18:37, 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 0679261 e o código CRC 79A6E6AE.

This document's authenticity can be verified by accessing

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

0679261 and the "Código CRC" 79A6E6AE.

Referência: Processo nº 19957.011553/2017-73 Documento SEI nº 0679261

Memorando 8 (0679261) SEI 19957.011553/2017-73 / pg. 2