Recurso nº 19957.000059/2018-64

RECURSO CONTRA DECISÃO DA SIN EM PROCESSO DE MULTA COMINATÓRIA – MARIO MAIA NEVARES – PROC. SEI 19957.000059/2018-64

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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:8.0pt; mso-para-margin-left:0cm; line-height:107%; 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 Mario Maia Nevares 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 56/2019-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 56/2019-CVM/SIN/GAIN

Rio de Janeiro, 22 de maio 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

nº 19957.000059/2018-64

Senhor Superintendente Geral,

1. Trata-se de recurso interposto pelo Sr. MARIO MAIA NEVARES 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. 416.193), o interessado argumenta que "procura manter

sempre seus dados e informações atualizados na CVM", e que deva ter "havido

uma falha de comunicação", talvez porque mesmo após atualizar seu endereço na

CVM "seu endereço antigo ficou também mantido em seu cadastro". Afirma ainda

que enviou a declaração após receber a notificação de multa mas não vem tendo

sucesso na retirada desse endereço antigo do cadastro da CVM. Sopesa, por fim,

que recebe regularmente o aviso sobre a Taxa de Fiscalização da CVM e a

mantém em dia.

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

administradores de carteira 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

"marionevares@hotmail.com" (fl. 4 do Doc. 416.069), constante à época nos

Memorando 56 (0762690) SEI 19957.000059/2018-64 / pg. 1

cadastros do participante (fl. 5 do Doc. 416.069), 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, conforme visto, a notificação foi efetivamente enviada a endereço

eletrônico válido do recorrente na época, no caso, em 7/6/2017. Inclusive, a

própria forma com que se estabelece tal notificação (e-mail) torna irrelevante ao

mérito a discussão trazida pelo recorrente em relação à atualização de seu

endereço físico. De toda forma e apenas a título informativo, o endereço físico

alegado como antigo já foi excluído dos cadastros da CVM.

6. Por fim, relembramos que as taxas de fiscalização pagas pelo participante ou a

pessoa jurídica pela qual responde possuem natureza diversa da multa

cominatória aplicada, e com ela não se confundem, tampouco seu pagamento

tempestivo teria, em função disso, o condão de eximi-lo do pagamento da multa.

7. 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. 5 do Doc. 416.069), o envio da declaração prevista na norma não

foi realizado até o presente desta data.

8. 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 07/06/2019, às 10:21, 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 0762690 e o código CRC 1D0EA4C3.

This document's authenticity can be verified by accessing

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

0762690 and the "Código CRC" 1D0EA4C3.

Referência: Processo nº 19957.000059/2018-64 Documento SEI nº 0762690

Memorando 56 (0762690) SEI 19957.000059/2018-64 / pg. 2