Recurso nº 19957.000274/2020-80

RECURSO CONTRA DECISÃO DA SEP EM PROCESSO DE MULTA COMINATÓRIA – TERMINAIS PORT. DA PONTA DO FÉLIX S.A. – PROC. SEI 19957.000274/2020-80

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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 por Terminais Port. da Ponta do Félix S.A. contra decisão da Superintendência de Relações com Empresas – SEP de aplicação de multa cominatória, no valor de R$ 30.000,00 (trinta mil reais), em decorrência do não envio no prazo regulamentar, estabelecido no art. 23, parágrafo único, da Instrução CVM n° 480/09, do Formulário Cadastral relativo ao exercício de 2019. O Colegiado, com base na manifestação da área técnica, consubstanciada no Relatório nº 09/2020-CVM/SEP, deliberou, por unanimidade, pelo não provimento do recurso e a consequente manutenção da multa aplicada. Anexos MANIFESTAÇÃO DA ÁREA TÉCNICA

COMISSÃO DE VALORES MOBILIÁRIOS

Relatório nº 9/2020-CVM/SEP

Senhor Superintendente,

Trata-se de recurso interposto, em 16.01.20, pela TERMINAIS PORT.

DA PONTA DO FÉLIX S.A., registrada na categoria A desde 01.01.10, contra a

aplicação de multa cominatória no valor de R$ 30.000,00 (trinta mil reais), pelo

atraso de 74 (setenta e quatro) dias, limitado a 60 (sessenta) dias, nos termos do

art. 14 da Instrução CVM nº 452/07, no envio documento

FORM.CADASTRAL/2019, comunicada por meio do

OFÍCIO/CVM/SEP/MC/Nº333/19, de 30.12.19 (0918686).

2. A Companhia apresentou recurso nos seguintes principais termos

(0918602):

a) “conforme se verifica dos documentos anexos, o Formulário Cadastral de 2019,

previsto no art. 21, I da Instrução CVM n. 480/2009 foi entregue em 13/08/2019, às

09h38min”;

b) “entregue, portanto, o documento, ainda que com atraso, mas antes de

qualquer notificação pela CVM pelo descumprimento dessa obrigação, o que se

molda perfeitamente ao art. 6º, I da Instrução CVM n. 452/2007”;

c) “dispõe o referido artigo legal quais as hipóteses de vedação a aplicação de

multas ordinárias. Dentre elas, está previsto que quando a prestação de

informação for cumprida com atraso, mas antes do que a informação de aplicação

da multa prevista no art. 3º da mesma norma, é vedada a aplicação da multa:

Art. 6º É vedada a aplicação da multa ordinária: I - caso a obrigação de

prestação de informação seja cumprida com atraso, mas antes da

comunicação de que tratam os arts. 3º e 4º”;

d) “ou seja, há previsão expressa na normativa da CVM vedando a aplicação da

multa ordinária neste caso, afinal, ainda que em atraso, a Recorrente

efetivamente cumprir sua obrigação antes de qualquer notificação da falta de

entrega do documento ter sido enviada a ela”;

e) “ressalte-se que este ofício de imposição de multa é a primeira vez que se

noticia à Recorrente o suposto descumprimento da obrigação”;

f) “desse modo, uma vez vedada expressamente a aplicação da multa, impositivo

seu cancelamento, o que se requer”;

g) “nos termos do art. 13, §1º da Instrução CVM 452/2007, requer a Recorrente

seja concedido efeito suspensivo ao presente recurso voluntário, uma vez que

comprovado, sem qualquer sombra de dúvidas, o envio da documentação, antes

do recebimento de notificação sobre a sua falta, o que torna evidente a aplicação

do art. 6º, I da Instrução CVM 452/2007, com vedação à aplicação da multa.

Manter a necessidade de quitar a multa quando seu direito está cristalino imporá

prejuízos à Recorrente de incerta reparação neste momento frágil da economia,

que ainda se encontra em recuperação”;

h) “pelo exposto, pede-se a Vossas Senhorias que, reconhecendo desde logo o

Relatório 9 (0923455) SEI 19957.000274/2020-80 / pg. 1

cumprimento da obrigação de envio do documento ‘Formulário Cadastral de

2019’, seja dado provimento ao recurso voluntário, aplicando ao caso o art. 6º, I

da Instrução CVM 452/2007, cancelando a multa ordinária aplicada mediante o

Ofício CVM/SEP/MC/Nº 333/19”; e

i) “outrossim, requer seja concedido efeito suspensivo ao recurso voluntário, nos

termos do at. 13, §1º da mesma Instrução, uma vez que presente seus requisitos,

conforme fundamentação acima”.

Entendimento

3. Nos termos do § único do art. 23 da Instrução CVM nº480/09, o

emissor deve anualmente confirmar que as informações contidas no

FORMULÁRIO CADASTRAL continuam válidas, até 31 de maio de cada ano, sem

prejuízo da atualização em até 7 (sete) dias úteis contados do fato que deu causa

à alteração.

4. Cabe destacar que não há, na Instrução CVM nº 480/09, qualquer

dispositivo que permita, à Companhia, entregar em atraso o Formulário Cadastral.

5. Assim sendo, a meu ver, restou comprovado que a multa foi

aplicada corretamente, tendo em vista que: (i) ao contrário do alegado pela

Recorrente, o e-mail de alerta foi enviado, em 31.05.19 (0918693), para o

endereço eletrônico do DRI constante do Formulário Cadastral ativo à época do

envio (FC/2018 – versão 2 – encaminhado em 29.05.18 - 0923447); e (ii) a

TERMINAIS PORT. DA PONTA DO FÉLIX S.A. encaminhou o Formulário Cadastral de

2019 apenas em 13.08.19 (0923442).

Isto posto, sou pelo indeferimento do recurso apresentado pela

TERMINAIS PORT. DA PONTA DO FÉLIX S.A., pelo que sugiro encaminhar o

presente processo à Superintendência Geral, para posterior envio ao Colegiado

para deliberação, nos termos do art. 13 da Instrução CVM nº 452/07.

Atenciosamente,

KELLY LEITÃO SANGUINETTI

Chefe de Seção

Ao SGE, de acordo com a manifestação da chefe de seção,

Atenciosamente,

FERNANDO SOARES VIEIRA

Superintendente de Relações com Empresas

Ciente.

À EXE, para as providências exigíveis.

Relatório 9 (0923455) SEI 19957.000274/2020-80 / pg. 2

ALEXANDRE PINHEIRO DOS SANTOS

Superintendente Geral

Documento assinado eletronicamente por Kelly Leitão Sanguinetti, Chefe

de Divisão em Exercício, em 24/01/2020, às 18:15, com fundamento no

art. 6º, § 1º, do Decreto nº 8.539, de 8 de outubro de 2015.

Documento assinado eletronicamente por Fernando Soares Vieira,

Superintendente, em 24/01/2020, às 18:17, 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 0923455 e o código CRC E02E8502.

This document's authenticity can be verified by accessing

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

0923455 and the "Código CRC" E02E8502.

Relatório 9 (0923455) SEI 19957.000274/2020-80 / pg. 3