Recurso nº 19957.011667/2017-13

RECURSO CONTRA DECISÃO DA SIN EM PROCESSO DE MULTA COMINATÓRIA – LUIS ANTÔNIO ALBUQUERQUE LESSI – PROC. SEI 19957.011667/2017-13

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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 Luis Antônio Albuquerque Lessi 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 16/2019-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 16/2019-CVM/SIN/GAIN

Rio de Janeiro, 13 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 CVM

SEI n° 19957.011667/2017-13

Senhor Superintendente Geral,

1. Trata-se de recurso interposto pelo Sr. Luis Antônio Albuquerque Lessi 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. 410.318), o interessado inicialmente expõe que "a multa

em sentido amplo, é a sanção aplicada a alguém que infringe a lei (legal), o

contrato (convencional) ou decisão judicial (astreintes). Pode ser aplicada,

portanto, pelo Estado (Poder Público), em virtude do descumprimento da lei, como

ser exigida de um contratante, se o outro descumpre o estipulado em contrato".

Após isso, alega que "como este foi meu primeiro ano como consultor de

investimentos e administrador de carteiras e como mudei de emprego e de cidade

e como consequência de mail, solicito o não pagamento da mesma". Além disso,

frisa temer "receber outra pois meu nome aparece duas vezes (como

administrador e como consultor de investimento)", e que "Em termos financeiros,

esta multa pesa muito no meu orçamento."

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

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

Memorando 16 (0686419) SEI 19957.011667/2017-13 / pg. 1

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 "LUISLESSI@GENUSCAPITAL.COM.BR" (fl. 4 do Doc.

401.324), constante à época nos cadastros da participante, com o objetivo de

relembrá-la do dever de envio do documento, e alertá-la do descumprimento do

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

5. Quanto às alegações da recorrente, entende a SIN que o recurso não deve

prosperar, uma vez que o e-mail da participante era o mesmo quando da

notificação prévia em 7/6/2017 e indicado até então pelo próprio como válido para

as intimações da CVM. Ademais, é responsabilidade do próprio participante manter

seus dados cadastrais atualizados na CVM, e assim descabe isentar o participante

da multa por uma eventual negligência do próprio em cumprir com suas

obrigações previstas na regulação.

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. 401.324), o envio da declaração prevista na norma foi

realizado na presente data de 13/12/2017.

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 18:52, 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 0686419 e o código CRC 6C9C09DE.

This document's authenticity can be verified by accessing

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

0686419 and the "Código CRC" 6C9C09DE.

Referência: Processo nº 19957.011667/2017-13 Documento SEI nº 0686419

Memorando 16 (0686419) SEI 19957.011667/2017-13 / pg. 2