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Trial session 27/10

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Proceedings will be judged from 15h

The Securities and Exchange Commission (CVM) will hold tomorrow, Tuesday (10/27) at 3pm, judgment session of the following sanctioning processes:

  • PAS CVM SEI 19957.003406 / 2019-91 (RJ2019 / 2333): ICONIC Intermediação de Negócios e Serviços Ltda. and Jonathan Doering Darcie

Established to determine the responsibility of ICONIC Intermediação de Negócios e Serviços Ltda. and Jonathan Doering Darcie, company administrator, for carrying out a public offering of securities without obtaining registration with the CVM or without waiver (violation of article 19 of Law 6,385 / 76 and article 2 of CVM Instruction 400, with co 19, paragraph 5, I, of Law 6,385 / 76 and article 4 of CVM Instruction 400).

Access the report Director Gustavo Gonzalez.

  • PAS CVM SEI 19957.004600 / 2018-11 (RJ2018 / 3031): Mário Machado Pires

Established to ascertain the responsibility of Mário Machado Pires for the manipulation of prices of stock deposit certificates (BDRs) issued by Dufry AG (trading code DAGB33) from 2/1/2015 to 11/24/2016 (breach of item II, “b”, with item I, of CVM Instruction 08).

Access the report Director Gustavo Gonzalez.

  • PAS CVM SEI 19957.004091 / 2019-08 (RJ2019 / 2631): Eduardo Nassutti Andriott

Established to ascertain the responsibility of Eduardo Nassutti Andriotti for the practical manipulation of prices of various assets in the securities market through the placing of artificial offers in the trading book (layering), between 1/8/2013 and 3/22/2018 (violation of item II, “b”, with item I, of CVM Instruction 08)

Access the report Director Gustavo Gonzalez.

More information

The session is open to the public and will take place by videoconference. To follow, just access the link: https://cloud.netglobe.com.br/webcast/sessao (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).

Attention

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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