Papel, natureza e delimitação de responsabilidade do agente fiduciário: um debate sobre seu envolvimento no amadurecimento do mercado de valores mobiliários brasileiro
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TCC
Date
2021-06
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Authors
Nascimento, Artur Rudá Gomes Fonseca do
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Barbosa Filho, Marcelo Fortes
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Abstract
Foca-se na importância do papel desenvolvido pelo agente fiduciário no tocante a seus deveres e responsabilidades. Salienta-se uma falta de discussões a esse respeito tanto por parte da doutrina quanto em manifestações do Colegiado da Comissão de Valores Mobiliários (CVM), órgão que regula tal papel. O objetivo do estudo é compreender melhor os deveres e a responsabilização do agente fiduciário enquanto protetor dos interesses dos investidores no mercado de valores mobiliários. Enseja-se uma pesquisa, de uma maneira geral, de caráter exploratório e, mais especificamente, uma investigação jurídico-exploratória. Conclui-se que atividades da CVM demonstram um andamento em direção contrária ao entendimento da Securities and Exchange Commission (SEC), a despeito de sua clara origem e inspiração no direito anglo-saxão. Tais argumentos encontram sustentação na Exposição de Motivos à Lei das Sociedades Anônimas.
This study focuses on the importance of the role played by the fiduciary agent (trustee) with respect to his duties and responsibilities. It is noted that there is a lack of discussion in this regard, both on the part of the doctrine and in statements by the Collegiate Body of the Securities Commission (CVM), body which regulates this role. The objective of the study is to better understand the duties and accountability of the fiduciary agent as a protector of the interests of investors in the securities market. The research is of an exploratory nature, in general, and legal- exploratory, in specific. It is concluded that the CVM's activities show activity in a direction contrary to the understanding of the Securities and Exchange Commission, despite its clear origin and inspiration in Anglo-Saxon law. Such arguments are supported by the Explanatory Memorandum to the Corporation Law.
This study focuses on the importance of the role played by the fiduciary agent (trustee) with respect to his duties and responsibilities. It is noted that there is a lack of discussion in this regard, both on the part of the doctrine and in statements by the Collegiate Body of the Securities Commission (CVM), body which regulates this role. The objective of the study is to better understand the duties and accountability of the fiduciary agent as a protector of the interests of investors in the securities market. The research is of an exploratory nature, in general, and legal- exploratory, in specific. It is concluded that the CVM's activities show activity in a direction contrary to the understanding of the Securities and Exchange Commission, despite its clear origin and inspiration in Anglo-Saxon law. Such arguments are supported by the Explanatory Memorandum to the Corporation Law.
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Keywords
agente fiduciário , mercado de valores mobiliários , comissão de valores mobiliários , direito empresarial , fiduciary agent , securities market , securities commission , business law