Recurso nº 19957.001059/2018-81

RECURSO CONTRA DECISÃO DA SIN EM PROCESSO DE MULTA COMINATÓRIA – DOMO INVEST GESTORA DE ATIVOS FINANCEIROS E VALORES MOBILIÁRIOS LTDA. – PROC. SEI 19957.001059/2018-81

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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 Domo Invest Gestora de Ativos Financeiros e Valores Mobiliários Ltda. contra decisão da Superintendência de Relações com Investidores Institucionais – SIN 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 2017. O Colegiado, com base na manifestação da área técnica, consubstanciada no Memorando nº 82/2019-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 82/2019-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 19957.001059/2018-81

Senhor Superintendente Geral,

1. Trata-se de recurso interposto pela DOMO INVEST GESTORA DE ATIVOS

FINANCEIROS E VALORES MOBILIÁRIOS LTDA. 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$

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 nº 452/07.

2. Em seu recurso (Doc. 435.318), o recorrente argumenta que "os sócios e

diretores conseguiram entregar em dia os documentos solicitados", mas que, "em

30.05.2017, por ser uma empresa pequena e em fase de estruturação,

perderam o prazo de confirmação cadastral". Reconhecem que foram alertados

em 07.06.2017, mas quando "entraram nos sistemas web da CVM", não obtiveram

sucesso o envio. Assim, em 08.06.2017 teriam se comunicado "por e-mail com o

GIR, apontando os motivos pelos quais não conseguíamos confirmar" os dados

cadastrais.

3. Finaliza alegando que "Em 28.06.2017, receberam e-mail do GIR... informando

que mudanças haviam sido processadas", e que poderiam acessar o sistema, o

que, entretanto, ainda não teria sido possível fazer, após o que teriam recebido,

"com surpresa" e em 20.12.2017, correspondência com a aplicação da multa. Por

fim, alegam que "as informações cadastrais solicitadas estão com a CVM"; que a

multa seria excessiva, e assim, pedem que seja cancelada, e se comprometem "a

Memorando 82 (0763010) SEI 19957.001059/2018-81 / pg. 1

sanar qualquer demanda desta CVM prontamente."

4. 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.

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

7/6/2017 notificação específica ao endereço eletrônico "fnpa@me.com" (fl. 4

do Doc. 435.319), constante à época nos cadastros do participante (fl. 5 do Doc.

435.319), 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.

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

acatado, pois segundo informações extraídas do Sistema de Controle e

Recebimento de Documentos, um total de 3.916 informes dessa natureza foram

entregues pelos mais diversos participantes de mercado ao longo do mês de maio

de 2017, o período no qual o recorrente alega não ter logrado acessar os sistemas

da CVM.

7. De igual forma, também não identificamos, em nossos registros internos, o

recebimento de nenhuma demanda do recorrente com a apresentação de

tamanho problema, tampouco, qualquer demonstração ou evidência, que tenha

sido apresentada no recurso, que confirmasse a ocorrência dos problemas

alegados ou os contatos com a CVM. Além disso, é inverossímil que um problema

de sistemas possa ter perdurado por período tão longo sem que o participante

conseguisse enviar o informe, em um cenário que perdura até hoje e no qual

milhares de outros participantes cumpriram com a mesma obrigação.

8. 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. 435.319), o envio da declaração prevista na norma não

foi realizada até a presente data.

9. 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 18:24, 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 0763010 e o código CRC 06388D48.

This document's authenticity can be verified by accessing

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

0763010 and the "Código CRC" 06388D48.

Memorando 82 (0763010) SEI 19957.001059/2018-81 / pg. 2

Referência: Processo nº 19957.001059/2018-81 Documento SEI nº 0763010

Memorando 82 (0763010) SEI 19957.001059/2018-81 / pg. 3