Recurso nº 19957.000162/2018-12

RECURSO CONTRA DECISÃO DA SIN EM PROCESSO DE MULTA COMINATÓRIA – DOMINGOS COLI JUNQUEIRA DE MORAIS – PROC. SEI 19957.000162/2018-12

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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 Domingos Coli Junqueira de Morais 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 53/2019-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 53/2019-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 19957.000162/2018-12

Senhor Superintendente Geral,

1. Trata-se de recurso interposto pelo Sr. DOMINGOS COLI JUNQUEIRA DE MORAIS

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. 417.993), o interessado alega dificuldades de ordem

financeira e solicita "tirar seu nome da lista de consultores".

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

7/6/2017 notificação específica ao endereço eletrônico

"domingos.cjm@globo.com" (fl. 4 do Doc. 417.995), constante à época nos

cadastros do participante (fl. 5 do Doc. 417.995), 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 a obrigatoriedade do

envio do DEC é exigível de todos os consultores de valores mobiliários com registro

Memorando 53 (0762656) SEI 19957.000162/2018-12 / pg. 1

ativo na CVM, estejam ou não exercendo a função, e a aplicação da multa é

efetuada diante da circunstância objetiva do não envio do documento exigido,

razão pela qual, não pode depender nem ser eximida em função da situação

financeira do recorrente. Em atenção ao pedido efetuado mais ao fim do recurso,

instauramos processo próprio para prosseguir no cancelamento do registro,

conforme solicitado.

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

realizado na presente data de 15/12/2017.

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 07/06/2019, às 10:41, 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 0762656 e o código CRC D4EE3B3A.

This document's authenticity can be verified by accessing

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

0762656 and the "Código CRC" D4EE3B3A.

Referência: Processo nº 19957.000162/2018-12 Documento SEI nº 0762656

Memorando 53 (0762656) SEI 19957.000162/2018-12 / pg. 2