Análise do tratamento regulatório brasileiro e norte-americano acerca do mercado de capitais: estudo comparativo entre a comissão de valores mobiliários e a securities and exchange commission
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Tipo
TCC
Data de publicação
2023-06
Periódico
Citações (Scopus)
Autores
Oliveira, Vítor Peres Garcia de Alcaraz
Orientador
Rovai, Armando Luiz
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Resumo
O presente trabalho busca analisar as características da constituição da Comissão de Valores Mobiliários (CVM) brasileira, bem com os seus objetivos e suas principais competências de atuação para proteção e regulação do mercado de capitais brasileiro, responsáveis por propiciar a manutenção e desenvolvimento de investimentos, impactando no crescimento das sociedades empresárias brasileiras como um todo. No mesmo sentido, o exposto também engloba a análise da U.S. Securities and Exchange Commission (SEC), com a finalidade de estudar suas competências e as formas de atuação, pelas quais protegem o mercado de capitais norte-americano. Assim, por meio da pesquisa bibliográfica em literaturas nacionais e internacionais especializadas no assunto, leitura e análise de legislações brasileiras e norte-americanas, e reportes realizados pela CVM e SEC, em seus respectivos portais de informação, se tornou possível observar inúmeras semelhanças entre a autarquia brasileira e agência reguladora norte-americana, cabendo a constatação que a CVM possui fortes raízes de inspiração na SEC. A matéria de discussão aqui trazida é vasta, cabendo diversos pontos de aprofundamentos posteriores.
This work attempts to analyze the characteristics of the constitution of the Brazilian Securities and Exchange Commission (CVM), as well as its objectives and its main competencies of action for the protection and regulation of the Brazilian capital market, responsible for providing the maintenance and development of investments, impacting the growth of Brazilian companies as a whole. In the same sense, the exposure also encompasses the analysis of the U.S. Securities and Exchange Commission (SEC), to study its competencies and the ways of acting, through which they protect the North American capital market. Thus, through bibliographic research in national and international literature specialized in the subject, reading, and analysis of Brazilian and American legislation, and reports made by the CVM and SEC, in their respective information portals, it became possible to observe countless similarities between the Brazilian autarchy and the American regulatory agency, and it is worth noting that the CVM has strong roots of inspiration in the SEC. The matter of discussion brought here is vast, fitting several points for further deepening.
This work attempts to analyze the characteristics of the constitution of the Brazilian Securities and Exchange Commission (CVM), as well as its objectives and its main competencies of action for the protection and regulation of the Brazilian capital market, responsible for providing the maintenance and development of investments, impacting the growth of Brazilian companies as a whole. In the same sense, the exposure also encompasses the analysis of the U.S. Securities and Exchange Commission (SEC), to study its competencies and the ways of acting, through which they protect the North American capital market. Thus, through bibliographic research in national and international literature specialized in the subject, reading, and analysis of Brazilian and American legislation, and reports made by the CVM and SEC, in their respective information portals, it became possible to observe countless similarities between the Brazilian autarchy and the American regulatory agency, and it is worth noting that the CVM has strong roots of inspiration in the SEC. The matter of discussion brought here is vast, fitting several points for further deepening.
Descrição
Palavras-chave
comissão de valores imobiliários , securities and exchange comission , mercado de capitais , regulação do mercado de capitais , brazilian securities and exchange commission , securities and exchange commission , capital market , capital market regulation