Aggregated News From Investment Management Regulators

Brazil

CVM and B3 sign an agreement

This post was translated by Regulatory.News for informational purposes only; the content below is not an official translation from the regulator. See the content in its original language here. Agreement establishes procedures for supervising offers with restricted efforts (ICVM 476) The Securities and Exchange Commission (CVM) and B3 signed Cooperation agreement. The agreement establishes procedures for the supervision of public offers of securities distributed with restricted efforts, which are carried out according to the rules of CVM Instruction 476. The agreement stipulates that joint activities for monitoring and inspecting compliance with certain regulatory requirements - provided for in the event of a...

CVMWeb System: Federal Government single login can be used for access

This post was translated by Regulatory.News for informational purposes only; the content below is not an official translation from the regulator. See the content in its original language here. Users can use registration data on Gov.br The CVMWeb System has a new access update. Users can now access the page also with the Federal Government's unique login (Gov.br). This facility allows the population to access various digital services with just a login and password, in an integrated and fast way. In addition, if you prefer, the user can also continue using the CVMWeb login. The novelty is another one of the deliveries...

CVM provides 2021 calendar with deadlines for the delivery of information by regulators

This post was translated by Regulatory.News for informational purposes only; the content below is not an official translation from the regulator. See the content in its original language here. Page on the website facilitates access to information and compliance with deadlines The CVM Calendar update is now available on the Securities Commission (CVM) website, with deadlines for the delivery of information by market participants regulated by the Autarchy for 2021. The channel, which was launched in February 2020, aims to facilitate access to information and assist regulators to act correctly and transparently with the market. According to the CVM's technical areas, the due...

CVM fines total more than R $ 2.2 million for those accused of carrying out a public offering of shares in the market without...

This post was translated by Regulatory.News for informational purposes only; the content below is not an official translation from the regulator. See the content in its original language here. They were also punished accused of fraudulent operation in the capital market, negotiations without the proper order of customers and lack of diligence The Securities and Exchange Commission (CVM) judged, on 12/15/2020, the following administrative sanctioning processes: 1. PAS CVM SEI 19957.001493 / 2016-087 (04/2016): José Henrique D´Elia, Ricardo Binelli and Ricardo de Paula Nicoluci 2. PAS CVM SEI 19957.011633 / 2017-29 (RJ2018 / 325): Edivan da Silva Trevizan, RMX Participações SA, Rodrigo Miranda...

CVM warns: irregular performance of portfolio management

This post was translated by Regulatory.News for informational purposes only; the content below is not an official translation from the regulator. See the content in its original language here. Helbert Pimenta do Nascimento and HS Capital Intermediation Services Eireli do not have authorization to exercise the activity The Superintendence of Institutional Investor Relations (SIN) of the Brazilian Securities Commission (CVM) warns the market about the irregular performance of securities portfolio management by Helbert Pimenta do Nascimento and HS Capital Serviços de Intermediação Eireli. According to the CVM's technical area, there are strong indications that they are offering the service in the market,...

CVM clarifies improvements in processes to prevent money laundering and terrorist financing (PLDFT) brought by CVM Instruction 617

This post was translated by Regulatory.News for informational purposes only; the content below is not an official translation from the regulator. See the content in its original language here. Identifying, analyzing and understanding the risks in this sphere are essential in the conduct of the participants CVM Instruction 617 came into force on 10/1/2020 and brought about significant improvements in the processes of preventing money laundering and terrorist financing (PLDFT). In order to clarify the main points to be fulfilled by market participants and provide guidance on best practices, the Market and Intermediate Relations (SMI) and Institutional Investor Relations (SIN) Superintendencies of...

CVM judgment session on 12/15

This post was translated by Regulatory.News for informational purposes only; the content below is not an official translation from the regulator. See the content in its original language here. Proceedings will be judged from 15h The Securities and Exchange Commission (CVM) will hold tomorrow, Tuesday (12/15), at 3 pm, a judgment session on the following sanctioning processes: PAS CVM SEI 19957.001493 / 2016-087 (04/2016): José Henrique D´Elia, Ricardo Binelli and Ricardo de Paula Nicoluci Established to investigate: a) Ricardo de Paula Nicoluci's responsibility for allegedly conducting business on behalf of clients without proper order (breach of article 15, II, of CVM Instruction 434...

Post-pandemic economic recovery is the central theme of the 3rd day of the 44-year special of Law 6,385 / 76

This post was translated by Regulatory.News for informational purposes only; the content below is not an official translation from the regulator. See the content in its original language here. CVM launches its Regulatory Agenda for 2021 and participates in panels on strengthening enforcement for minority shareholders and the future of the capital market After two days of debates on the current challenges of the capital market and its possibilities for growth, the event The Resumption of the Economy and the Role of the Capital Market reaches its last day! The president of the National Bank for Economic and Social Development (BNDES), Gustavo...

Last days of registration for an event that discusses investor behavior during the pandemic

This post was translated by Regulatory.News for informational purposes only; the content below is not an official translation from the regulator. See the content in its original language here. Behavioral Sciences and Investor Education Conference will be held on 14 and 15/12 Want to know more about investor behavior during the pandemic? Join the Behavioral Sciences and Investor Education Conference, which will happen in Monday and Tuesday, 14 and 15/12. Free registrations can still be made for the 8th edition of the event. This year, the conference will be online and held by the Brazilian Securities and Exchange Commission (CVM) and the...

Improvements in fund rules, companies and offers are the highlights of CVM Regulatory Agenda 2021

This post was translated by Regulatory.News for informational purposes only; the content below is not an official translation from the regulator. See the content in its original language here. Public hearings for rules of autonomous agents and remote voting will also be a priority in regulation The Securities and Exchange Commission announces today, 10/12/20, its Regulatory Agenda for 2021. Among the priorities, are the conclusion of the public hearings (AP) started in 2019 and 2020, highlighting: (i) AP SDM 09/19: proposed changes to CVM Instruction 461, Instruction 505 and the creation of a single self-regulator, in the context of competition between trading...

CVM holds Public Hearing on Insurance Contracts

This post was translated by Regulatory.News for informational purposes only; the content below is not an official translation from the regulator. See the content in its original language here. On the agenda, the CPC Technical Pronouncement Review Document 50 The Securities and Exchange Commission (CVM), the Accounting Pronouncements Committee (CPC) and the Federal Accounting Council (CFC) start today, 12/9/2020, the Joint Public Hearing for Review of Technical Pronouncement CPC 50 - Insurance Contracts (corresponding to IFRS 17 - Insurance Contracts). This review establishes changes promoted by the IASB (International Accounting Standard Board) in 2020. Get involved Suggestions and comments, in writing, should be sent,...

CVM publishes standard on Integrated Reporting

This post was translated by Regulatory.News for informational purposes only; the content below is not an official translation from the regulator. See the content in its original language here. Source link

Regulator Information

Abbreviation: CVM
Jurisdiction: Brazil

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New appointments to the Executive Team

Published on: 23 July 2021 The Authority is pleased to announce 2 new appointments to the Executive Team.

Appointment of two new Board Members

The FSA is pleased to announce the appointment of two new members to the Board – Lucy McClements and Jo Hill. Lucy and Jo’s bios can be found at: https://www.iomfsa.

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