Recurso nº 19957.011570/2017-19

RECURSO CONTRA DECISÃO DA SIN EM PROCESSO DE MULTA COMINATÓRIA – DIOGO LUIZ BOTELHO DE VASCONCELLOS – PROC. SEI 19957.011570/2017-19

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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 Diogo Luiz Botelho de Vasconcellos contra decisão da Superintendência de Relações com Investidores Institucionais – SIN de aplicação de multa cominatória, no valor de R$ 6.000,00 (seis mil reais), em decorrência da não entrega no prazo regulamentar, estabelecido no art. 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 10/2019-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 10/2019-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 nº 19957.011570/2017-19

Senhor Superintendente Geral,

1. Trata-se de recurso interposto pelo Sr. Diogo Luiz Botelho de Vasconcellos

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 (Doc. 407.840), o interessado argumenta que "considerando

que, não administra nenhuma carteira como Administrador de Carteira de Valores

Mobiliários, pede o obséquio do perdão da referida multa cominatória pela não

informação de alterações uma vez que seu status continua o mesmo". Ainda,

alega que, "Nada obstante cabe relatar que a não informação em tempo hábil não

causou qualquer risco ou dano ao mercado ou a investidores, pois não

administra carteira de nenhum cliente".

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

administradores de carteiras 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

7/6/2017 notificação específica ao endereço eletrônico

"diogovasconcellos@yahoo.com.br"(fl. 4 do Doc. 407.841), constante à época nos

Memorando 10 (0679265) SEI 19957.011570/2017-19 / pg. 1

cadastros do participante (fl. 5 do Doc. 407.841), com o objetivo de relembrá-lo 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 o recurso não deve

prosperar, pois, a obrigatoriedade do envio da Declaração Eletrônica é exigível de

todos os administradores de carteiras de valores mobiliários com registro ativo na

CVM, estejam ou não exercendo a função, sem que tal dever possa ser eximido

pelo fato de não depender da efetiva caracterização de prejuízos ao mercado ou

da inexistência de atualizações ou alterações cadastrais a informar.

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 do Doc. 407.841), o envio da declaração prevista na norma não

foi realizado.

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 18:48, 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 0679265 e o código CRC 65BE0FBC.

This document's authenticity can be verified by accessing

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

0679265 and the "Código CRC" 65BE0FBC.

Referência: Processo nº 19957.011570/2017-19 Documento SEI nº 0679265

Memorando 10 (0679265) SEI 19957.011570/2017-19 / pg. 2