Os aspectos penais e econômicos do insider trading no Brasil
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TCC
Date
2023-12
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Authors
Meyer, Maurício Freire de Carvalho
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Zanella, Everton Luiz
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Abstract
O presente Trabalho de Conclusão de Curso visa explorar os aspectos penais e econômicos do crime de insider trading no Brasil, abordando desde seu conceito e histórico legal até as consequências e impactos no Mercado de Valores Mobiliários. Com o objetivo de descobrir o motivo dessa prática ainda vigorar no mercado sem muitas incidências na esfera penal, possuindo apenas uma condenação penal transitada em julgado desde a sua criminalização em 2001. O presente trabalho será predominantemente baseado revisão da literatura sobre o tema em questão, com análise doutrinária, jurisprudencial e outras publicações relevantes. Além desses, também será analisada a legislação e da regulamentação vigente no Brasil que abrange o uso indevido de informação privilegiada. A pesquisa utilizará um método hipotético-dedutivo, com análise de conceitos amplos e os principais aspectos controversos acerca das implicações penais e econômicas do delito de insider trading no ordenamento jurídico brasileiro, como é efetuada as sanções desse delito nas vias administrativas e na esfera criminal, assim como o estudo de seus aspectos práticos, mediante estudo de caso e identificação das principais problemáticas, visando alcançar uma conclusão acerca dos ajustes necessários a norma penal para melhorar sua eficácia.
The present Final Course Paper aims to explore the legal and economic aspects of insider trading in Brazil, addressing from it´s concept and legal history to the consequences and impacts on the Stock Market. The objective is to discover why this practice persists in the market with few instances in the penal sphere, having had only one final criminal conviction since its criminalization in 2001. This paper will be predominantly based on a review of literature on the subject, with doctrinal, jurisprudential analysis, and other relevant publications. In addition, the legislation and current regulations in Brazil covering the misuse of privileged information will be analyzed. The research will use a hypothetical-deductive method, with an analysis of broad concepts and the main controversial aspects concerning the penal and economic implications of the crime of insider trading in the Brazilian legal system, how the sanctions of this offense are carried out in administrative paths and in the criminal sphere, as well as the study of its practical aspects, through a case study and identification of the main problematic issues, aiming to reach a conclusion regarding the necessary adjustments to the penal norm to enhance its effectiveness.
The present Final Course Paper aims to explore the legal and economic aspects of insider trading in Brazil, addressing from it´s concept and legal history to the consequences and impacts on the Stock Market. The objective is to discover why this practice persists in the market with few instances in the penal sphere, having had only one final criminal conviction since its criminalization in 2001. This paper will be predominantly based on a review of literature on the subject, with doctrinal, jurisprudential analysis, and other relevant publications. In addition, the legislation and current regulations in Brazil covering the misuse of privileged information will be analyzed. The research will use a hypothetical-deductive method, with an analysis of broad concepts and the main controversial aspects concerning the penal and economic implications of the crime of insider trading in the Brazilian legal system, how the sanctions of this offense are carried out in administrative paths and in the criminal sphere, as well as the study of its practical aspects, through a case study and identification of the main problematic issues, aiming to reach a conclusion regarding the necessary adjustments to the penal norm to enhance its effectiveness.
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Keywords
informação privilegiada , comissão de valores mobiliários , mercado de capitais , insider trading , privileged information , capital market