Aggregated News From Investment Management Regulators

CVM judgment session on 11/17


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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 (11/17) at 3pm, judgment session of the following sanctioning processes:

  • PAS CVM SEI 19957.010899 / 2019-16 (RJ2019 / 9263): Ernst & Young Auditores Independentes SS and Vanessa Martins Bernardi

Established to determine the responsibility of Ernst & Young Auditores Independentes SS and Vanessa Martins Bernardi, as partner and technical responsible of EY, for the alleged non-compliance with item 11 (a) of NBC TA 200 and items 10, 11 and 12 of NBC TA 700 (violation of art. 20 of CVM Instruction 308).

Access the report President Marcelo Barbosa.

  • PAS CVM SEI 19957.008751 / 2019-11 (RJ2019 / 6757): Diogo Nunes Zelkcovicz de Carvalho

Established to determine the responsibility of Diogo Nunes Zelkcovicz de Carvalho, as an investor, for alleged price manipulation in the securities market through operations of the same investor – WTO (infringement of item I, with item II, ‘b ‘, of CVM Instruction 8).

Access the report President Marcelo Barbosa.

More information

The session is open to the public and will take place by videoconference. To follow, just access the link: (link to external website). Fill in ‘name’ and ’email’ to access the room (it does not have to be the full name).

If no accused or their respective attorneys-in-fact stated in the file expresses the intention to participate in the session, it will be held in a restricted manner through voting in an electronic system, exempting the videoconference.

Check out the details on conducting judgment sessions exclusively by videoconference while the protection measures to face the public health emergency of international importance resulting from the coronavirus persist (COVID-19).


The reports made available in this news may change after the judgment session.

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Regulator Information

Abbreviation: CVM
Jurisdiction: Brazil

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