Manutenções de sistemas como Portal BSM ou eventos de indisponibilidades
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Main Features
- We support Participants in understanding the due diligence they must pursue to operate in compliance with the rules, we prepare guidance and supervision norms, respond to market Participants' inquiries, prepare measures of deterrence and persuasion, and when necessary, initiate (Director of Self-Regulation) and judge (Self-Regulation Council) sanctioning processes that may result in the imposition of penalties.
Examples of our actions include recommendation letters, warning letters, or the initiation of Disciplinary Administrative Proceedings (PAD), applied according to the severity of the irregularity pointed out and not remedied by the practitioner.
Medidas de Enforcement
Disciplinary Administrative Proceedings (PAD)
An administrative procedure initiated by the Director of Self-Regulation, within the scope of BSM, aimed at investigating and punishing violations of the norms it is responsible for supervising.
Letter of Recommendation
An enforcement instrument through which the Director of Self-Regulation recommends the improvement of conduct, rules, procedures, and/or internal controls.
Letter of Alert
An enforcement instrument through which the Director of Self-Regulation determines that the recurrence of an irregular practice should be avoided.