Intermediação

RECURSO CONTRA DECISÃO DA SMI EM PROCESSO DE MULTA COMINATÓRIA – COOPERATIVA DE CRÉDITO DOS MÉDICOS E DEMAIS PROFISSIONAIS DA SAÚDE DO SUL DE MINAS LTDA.-UNICRED SUL DE MINAS – PROC. SEI 19957.008084/2019-77

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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:0cm; mso-para-margin-bottom:.0001pt; mso-pagination:widow-orphan; font-size:10.0pt; font-family:"Times New Roman",serif; border:none;} </style> <![endif] Trata-se de recurso interposto pela Cooperativa de Crédito dos Médicos e Demais Profissionais da Saúde do Sul de Minas Ltda. contra decisão da Superintendência de Relações com o Mercado e Intermediários – SMI de aplicação de multa cominatória, no valor de R$ 12.000,00 (doze 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 2019. O Colegiado, com base na manifestação da área técnica, consubstanciada no Memorando nº 86/2019-CVM/SMI/GME, 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 86/2019-CVM/SMI/GME

Rio de Janeiro, 20 de setembro de 2019.

À SMI

Assunto: Recurso contra aplicação de multa cominatória

DEC/2019 Processo 19957.008084/2019-77.

Senhor Superintendente,

1. Trata-se de recurso interposto pela COOPERATIVA DE CRÉDITO DOS

MÉDICOS E DEMAIS PROFISSIONAIS DA SAÚDE DO SUL DE MINAS LTDA – UNICRED

SUL DE MINAS, contra a decisão da Superintendência de Relações com o Mercado

e Intermediários (“SMI”) de aplicação da multa cominatória prevista no artigo 5º

da Instrução CVM n.o 510, de 5 de dezembro de 2011, pela não entrega, até 31 de

março de 2019, da referida DEC.

2. A multa, no valor de R$ 12.000,00, refere-se à aplicação de multa

diária de R$ 200,00, calculada sobre 60 dias de atraso, nos termos dos artigos 12 e

14 da Instrução CVM n.o 452, de 30 de abril de 2007.

3. O envio da DEC é obrigação imposta pelo artigo 1.o, Inciso II, da

Instrução CVM n.o 510, de 5 de dezembro de 2011, a todos os participantes

previstos no Anexo I daquela norma, entre eles as cooperativas de crédito,

estejam ou não atuando no mercado de valores mobiliários, e cujo prazo expirou

em 31 de março de 2019.

4. Em seu recurso (0824836) a recorrente afirmou ter realizado a sua

atualização cadastral em 5 de abril de 2019. Porém, demonstrou dúvida em ter

realizado esse procedimento corretamente.

5. A cooperativa anexou uma tela do Sistema CVMWeb que demonstra

uma atualização cadastral da instituição. Entretanto, essa tela apresentada, sem

registro de data, não configura a entrega da DEC (0824837). Trata-se de tela

produzida toda vez que algum dado cadastral da instituição é alterado, não sendo,

Memorando 86 (0844350) SEI 19957.008084/2019-77 / pg. 1

assim, relacionada ao envio da DEC. Ressalte-se que é responsabilidade do próprio

participante manter tempestivamente atualizado seu cadastro na CVM, por meio

de sistema disponível na rede mundial de computadores.Também vale

lembrar que a obrigação de confirmação da atualização dos dados cadastrais, ou

seja, de envio da DEC, prevista no inciso II do artigo 1º da Instrução 510, não se

confunde com a obrigação de atualizar os dados sempre que eles sofrerem

alguma atualização, exigência essa feita no inciso I do referido dispositivo.

6. No relatório do sistema SCRED, verifica-se que a instituição entregou a

DEC, em 16 de julho de 2019, mesmo dia em que, supõe-se, recebeu o aviso de

multa cominatória (0832479). Assim, apesar da diligência demonstrada pelo

participante no sentido de resolver o problema logo após o recebimento do Ofício

CVM/SMI/MC/COOPCRED/1/19 (0832471), o fato é que ocorreu o atraso no envio da

Declaração, mesmo tendo sido enviado o e-mail de alerta.

7. Salienta-se que a cooperativa recebeu e-mail de alerta (0832477), em

4 de abril de 2019, como dispõe o artigo 3º da Instrução CVM n.o 452, de 30 de

abril de 2007, no endereço alencar@unicredvarginha.com.br, com a advertência

de que, a partir de 8 de abril de 2019, a cooperativa estaria sujeita à incidência da

multa cominatória diária, caso a DEC/2019 ainda não tivesse sido entregue para a

CVM.

8. A justificativa da cooperativa em não entregar tempestivamente a DEC

não é suficiente para isentá-la da sua responsabilidade de manter atualizado seu

cadastro na CVM, por meio de sistema disponível na rede mundial de

computadores. Afinal, o participante ignorou o e-mail de alerta, endereçado para o

diretor da Instrução CVM n.o 505, de 27 de setembro de 2011, que é o mesmo

responsável por essa Instrução (0832481), desde 29 de agosto de 2013, até os

dias atuais.

9. Em razão do exposto, defendemos que seja mantida a decisão

recorrida, razão pela qual propomos a submissão do presente recurso à

apreciação do Colegiado, com proposta de que a relatoria do processo seja

conduzida por esta SMI/GME.

Atenciosamente,

Érico Lopes dos Santos

Gerente de Estrutura de Mercado e Sistemas Eletrônicos - GME

Ao SGE, de acordo com a manifestação da GME.

Francisco José Bastos Santos

Superintendente de Relações com o Mercado e Intermediários - SMI

Ciente.

À EXE, para as providências exigíveis.

Memorando 86 (0844350) SEI 19957.008084/2019-77 / pg. 2

Alexandre Pinheiro dos Santos

Superintendente Geral

Documento assinado eletronicamente por Érico Lopes dos Santos,

Gerente, em 20/09/2019, às 15:04, com fundamento no art. 6º, § 1º, do

Decreto nº 8.539, de 8 de outubro de 2015.

Documento assinado eletronicamente por Francisco José Bastos Santos,

Superintendente, em 20/09/2019, às 17:33, com fundamento no art. 6º, §

1º, do Decreto nº 8.539, de 8 de outubro de 2015.

Documento assinado eletronicamente por Alexandre Pinheiro dos

Santos, Superintendente Geral, em 20/09/2019, às 20:55, 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 0844350 e o código CRC 57886A53.

This document's authenticity can be verified by accessing

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

0844350 and the "Código CRC" 57886A53.

Referência: Processo nº 19957.008084/2019-77 Documento SEI nº 0844350

Memorando 86 (0844350) SEI 19957.008084/2019-77 / pg. 3