Recurso nº 19957.000726/2018-17

RECURSO CONTRA DECISÃO DA SIN EM PROCESSO DE MULTA COMINATÓRIA – SÉRGIO MARTINS GOUVEIA – PROC. SEI 19957.000726/2018-17

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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 70/2019-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 70/2019-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 19957.000726/2018-17

Senhor Superintendente Geral,

1. Trata-se de recurso interposto pelo Sr. SÉRGIO MARTINS GOUVEIA 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$ 6.0000,00, 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. 428.656), o recorrente argumenta que "...a aplicação da

multa é nula de pleno direito, vez que não cumprido pela CVM o quanto previsto no

artigo 3º da Instrução CVM 452, na forma do que determina o artigo 11 da mesma

Instrução". Alega nesse sentido que, por meio de e-mail de 18.12.2017, foi

informado que a GIR na época não pôde apresentar "qualquer comprovante de

recebimento e/ou leitura do alerta que teria sido enviado por e-mail", a

demonstrar a nulidade da multa.

3. Finaliza argumentando que "a notificação da imposição da multa foi enviada por

carta para o endereço da minha residência, o que me permitiu a pronta

atualização do cadastro e o conhecimento e atendimento tempestivo do prazo

recursal, o que também teria sido feito, caso o alerta também tivesse sido

comunicado da mesma forma".

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

administradores de carteira de valores mobiliários registrados na CVM, estejam ou

Memorando 70 (0762879) SEI 19957.000726/2018-17 / pg. 1

não exercendo a atividade no momento da entrega, ou ainda, mesmo que não

tenham atualizações cadastrais a reportar em relação ao período de referência.

5. Assim, nos termos do artigo 3º da Instrução CVM nº 452/07, foi expedida em

7/6/2017 notificação específica ao endereço eletrônico

"SERGIO.GOUVEIA@CBSPREV.COM.BR" (fl. 4 do Doc. 428.660), constante à época

nos cadastros do participante (fl. 5 do Doc. 428.660), com o objetivo de relembrálo do dever de envio do documento, e alertá-lo do descumprimento do prazo e a

incidência, a partir de então, da multa cominatória diária.

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

acatado, pois, como visto, o participante foi sim notificado pela CVM, por meio de

endereço e a-mail válido na época e indicado pelo próprio participante como meio

de contato, e que conta sim com prova documental em registros internos da CVM

a respeito do envio e entrega da mensagem, conforme evidencia o já referido

documento à fl. 4 do Doc. 428.660. Assim, a não disponibilização imediata desse

comprovante ao recorrente pela GIR (atual GAIN) quando de sua solicitação não

significa dizer nem permite assumir, claro, que o documento não exista.

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. 6 do Doc. 428.597), o envio da declaração prevista na norma foi

realizado na presente data de 31/12/2017.

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 - SIN

Documento assinado eletronicamente por Daniel Walter Maeda Bernardo,

Superintendente, em 24/09/2019, às 18:21, 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 0762879 e o código CRC 94A91EA3.

This document's authenticity can be verified by accessing

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

0762879 and the "Código CRC" 94A91EA3.

Referência: Processo nº 19957.000726/2018-17 Documento SEI nº 0762879

Memorando 70 (0762879) SEI 19957.000726/2018-17 / pg. 2