Aggregated News From Investment Management Regulators

CVM judgment session on 12/8


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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 tomorrow, Tuesday (8/12), at 3pm, judgment session of the following sanctioning processes:

  • PAS CVM 19957.000238 / 2019-82 (RJ2019 / 3052): Unick Sociedade de Investimentos Ltda., Leidimar Bernardo Lopes, Alberi Pinheiro Lopes and Fernando Marques Lusvarghi

Set up to investigate alleged public issue and distribution of securities without CVM authorization (violation of articles 16, I, and 19, caput, of Law 6,385 / 76).

Access the report President Marcelo Barbosa.

  • PAS CVM 19957.005263 / 2019-52 (RJ2019 / 3348): Dimitri Alves Dutra Bittencourt, Joedir Dilson do Lago, Luiz Marcelo Pimpão Ferraz, Sílvio Omar Leal dos Santos, Fabio de Oliveira Moser, Renê Sanda and Carlos Eduardo Marun Bark (Inncorp administrators SA)

Established to ascertain the responsibility of Inncorp SA administrators for:

  • non-timely preparation and non-delivery of financial statements (violation of article 176, of Law 6,404 / 76, article 21, III, with article 25, paragraph 2, of CVM Instruction 480).
  • failure to call ordinary general meetings (violation of art. 132, with art. 142, IV, of Law 6,404 / 76).
  • non-compliance with the duty to send or send CVM late periodic information (violation of art. 21, V, with art. 29, caput, II, and §1; art. 21, I, with art. 23, sole paragraph; article 21, II, with article 24, paragraph 1, all of CVM Instruction 480).

Access the report technical area.

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).

In the event that no accused or their respective attorneys-in-fact stated in the case file intends to participate in the session, it will be held in a restricted manner by means of 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.

Source link

Regulator Information

Abbreviation: CVM
Jurisdiction: Brazil

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