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The Board of the Securities and Exchange Commission (CVM) analyzed, at a meeting of 5/24/2022, proposals for a Term of Commitment for the following Administrative Proceedings (PA) and Sanctioning Administrative Proceedings (PAS):
1. PAS CVM SEI 19957.001231/2021-01 : RJI Corretora de Título e Valores Mobiliários LTDA. and Mauro Cesar Medeiros de Mello
2. PA CVM SEI 19957.006137/2020-59 : Beatriz Machert de Lima
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1. RJI Corretora de Título e Valores Mobiliários LTDA. (in the capacity of Leading Intermediary) and Mauro Cesar Medeiros de Mello (in the capacity of director responsible for RJI CTVM) presented a proposal for a Term of Commitment to terminate PAS CVM SEI 19957.001231/2021-01 .
The Specialized Federal Attorney at the Autarchy (PFE-CVM) concluded that there was no legal impediment to the conclusion of the agreement.
After negotiations with the proponent, the Term of Commitment Committee (CTC) understood that it would not be convenient and timely to accept the proposal, considering that the proposed values would not be the adequate and sufficient counterpart to discourage similar practices.
The CVM Board followed the CTC and rejected the agreement with RJI Corretora de Título e Valores Mobiliários LTDA. and Mauro Cesar Medeiros de Mello.
More information
PAS CVM SEI 19957.001231/2021-01 was established by the Securities Registration Superintendence (SRE) to investigate possible irregularities in the issuance of the 3rd Series of the 1st Issuance of ISSA Real Estate Receivables Certificate (infringement, in theory, of article 7 -A, caput, with article 11; §2 of the same article; article 8; and article 11, I and II, all of CVM Instruction 476).
Access the opinion of the term of commitment .
2. Beatriz Machert de Lima (in her capacity as Director of Investor Relations at LPS Brasil – Consultoria de Imóveis SA) presented a proposal for a Term of Commitment to terminate PA CVM SEI 19957.006137/2020-59.
The Specialized Federal Attorney at the Autarchy (PFE-CVM) concluded that there was no legal impediment to entering into the agreement.
After negotiations with the Term of Commitment Committee (CTC), the bidder committed to pay the CVM R$ 238 thousand.
The CVM Board followed the CTC and accepted the agreement with Beatriz Machert de Lima.
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PA CVM SEI 19957.006137/2020-59 was introduced by the Superintendence of Business Relations (SEP) to determine the disclosure of information, on 9/1/2020, by the Company, on the operational performance of the franchisee network in relation to the month of August 2020 (infringement, in theory, of articles 2 and 3 of the then current CVM Instruction 358).
Access the opinion of the term of commitment .
