Recurso nº 19957.011671/2017-81

RECURSO CONTRA DECISÃO DA SIN EM PROCESSO DE MULTA COMINATÓRIA – MSW CAPITAL GESTÃO DE RECURSOS LTDA. – PROC. SEI 19957.011671/2017-81

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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 MSW Capital Gestão de Recursos LTDA. contra decisão da Superintendência de Relações com Investidores Institucionais – SIN de aplicação de multa cominatória, no valor de R$ 400,00 (quatrocentos 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 17/2019-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 17/2019-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° 19957.011671/2017-81

Senhor Superintendente Geral,

1. Trata-se de recurso interposto pela MSW Capital Gestão de Recursos

LTDA. contra decisão da Superintendência de Relações com Investidores

Institucionais – SIN de aplicação da multa cominatória prevista no artigo 5º, I, 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$ 400,00 refere-se à aplicação de multa

diária de R$ 200,00, calculada sobre 2 dias de atraso, nos termos dos artigos 12 e

14 da Instrução CVM nº 452/07.

2. Em seu recurso (Doc. 410.349), o interessado argumenta que "solicita por

gentileza o cancelamento da Multa Cominatória, uma vez que por motivo de saúde

o responsável por fazer o cadastro estava ausente de suas atividades profissionais

e só pode faze-lo no seu retorno.".

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 "MOISES@MSW.COM.BR"

(fl. 3 do Doc. 410.352), constante à época no cadastro do participante, 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

Memorando 17 (0686434) SEI 19957.011671/2017-81 / pg. 1

diária.

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

prosperar, pois as responsabilidades atribuídas às pessoas jurídicas reguladas pela

CVM não podem ser eximidas pelo simples fato do responsável estar afastado de

suas atribuições no momento do cumprimento da obrigação, pelo motivo que for,

cabendo à instituição planejar e adequar sua estrutura e recursos humanos de

forma a estar apto permanentemente ao cumprimento dessas obrigações.

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.410.352), o envio da declaração prevista na

norma somente foi realizado na data de 10/06/2017.

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 18:55, 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 0686434 e o código CRC 1BE048D1.

This document's authenticity can be verified by accessing

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

0686434 and the "Código CRC" 1BE048D1.

Referência: Processo nº 19957.011671/2017-81 Documento SEI nº 0686434

Memorando 17 (0686434) SEI 19957.011671/2017-81 / pg. 2