Recurso nº 19957.000298/2018-14

RECURSO CONTRA DECISÃO DA SIN EM PROCESSO DE MULTA COMINATÓRIA – RICARDO GARCIA MATTEI – PROC. SEI 19957.000298/2018-14

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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 Ricardo Garcia Mattei contra decisão da Superintendência de Relações com Investidores Institucionais – SIN de aplicação de multa cominatória, no valor de R$ 4.200,00 (quatro mil e duzentos 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 50/2019-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 50/2019-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 19957.000298/2018-14

Senhor Superintendente Geral,

1. Trata-se de recurso interposto pelo Sr. RICARDO GARCIA MATTEI 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$ 4.200,00, refere-se à aplicação de multa diária de R$

100,00, calculada sobre 42 dias de atraso, nos termos dos artigos 12 e 14 da

Instrução CVM nº 452/07.

2. Em seu recurso (Doc.419.641), o interessado argumenta que "à época em que

fez a declaração (julho de 2017) encontrava-se desempregado, e não exercia

atividade de gestão de carteiras". Por tal motivo "não tinha o controle do

calendário para a efetuação da declaração", que "lhe era enviado pelas

instituições para as quais trabalhava", reconhecendo que "a CVM não emite um email de alerta para os Regulados". Defendeu, ainda, que "o atraso de 42 dias... não

causou prejuízo à esta instituição ou aos demais praticantes do mercado", razão

pela qual solicita o cancelamento da multa.

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

Memorando 50 (0762644) SEI 19957.000298/2018-14 / pg. 1

"rmattei@brookfieldbr.com" (fl. 4 do Doc. 419.642), constante à época nos

cadastros do participante (fl. 5 do Doc. 419.642), 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 administradores de carteira de valores

mobiliários com registro ativo na CVM, estejam ou não exercendo a função, e cuja

incumbência é do próprio recorrente, e não terceiros a quem pretenda transferir

tal responsabilidade. Ademais, a aplicação da multa não depende da

caracterização de má-fé pelo participante ou da existência de prejuízos financeiros

a investidores, a CVM ou ao mercado.

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

realizado na presente data de 20/07/2017.

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 10:50, 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 0762644 e o código CRC 8A3E289B.

This document's authenticity can be verified by accessing

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

0762644 and the "Código CRC" 8A3E289B.

Referência: Processo nº 19957.000298/2018-14 Documento SEI nº 0762644

Memorando 50 (0762644) SEI 19957.000298/2018-14 / pg. 2