Mercado de capitais: assimetrias informacionais, aspectos regulatórios e práticas fraudulentas de mercado
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Tipo
TCC
Data de publicação
2022-12
Periódico
Citações (Scopus)
Autores
Silva, Rafael dos Santos
Orientador
Saavedra, Giovani Agostini
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ISSN da Revista
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Resumo
Com este trabalho busco destacar a relevância de um arcabouço jurídico robusto dentro do mercado de capitais, presentes no ecossistema do mercado financeiro, tendo como finalidade reduzir as falhas de mercado (com foco nas assimetrias informacionais) inerentes a presente atividade. Esses mecanismos são essenciais ao objetivo de redução das assimetrias informacionais e combate as práticas fraudulentas do mercado.
O legislador ao estabelecer as normas referentes ao mercado financeiro e ao mercado de capitais levou em consideração dois principais pontos, a proteção do investidor e contribuição para a existência de um mercado estável. Nesse sentido, nosso trabalho busca entender como a assimetria informacional pode ser vista como uma patologia do mercado, mas que pode ser mitigada através da regulação e da autorregulação, mitigando a ocorrência de danos à reputação da própria instituição, bem como protege o investidor e contribui para a preservação de um mercado estável, fomentando um mercado de capitais forte e competitivo, em termos econômicos.
E ainda, analisar a importância do compliance no intuito de se fazer as normas que os reguladores e autorreguladores impõe e observar os principais ilícitos da bolsa de valores.
With this work, I seek to highlight the relevance of a robust legal framework within the capital market, present in the financial market ecosystem, with the purpose of reducing market failures (focusing on informational asymmetries) inherent to this activity. These mechanisms are essential to the objective of reducing information asymmetries and combating fraudulent market practices. The legislator, when establishing the rules referring to the financial market and the capital market, took into account two main points, investor protection and contribution to the existence of a stable market. In this sense, our work seeks to understand how information asymmetry can be seen as a market pathology, but which can be mitigated through regulation and self-regulation, mitigating the occurrence of damage to the reputation of the institution itself, as well as protecting the investor and contributing for the preservation of a stable market, fostering a strong and competitive capital market, in economic terms. And yet, analyze the importance of compliance in order to make the rules that regulators and self-regulators impose and observe the main illicit of the stock exchange.
With this work, I seek to highlight the relevance of a robust legal framework within the capital market, present in the financial market ecosystem, with the purpose of reducing market failures (focusing on informational asymmetries) inherent to this activity. These mechanisms are essential to the objective of reducing information asymmetries and combating fraudulent market practices. The legislator, when establishing the rules referring to the financial market and the capital market, took into account two main points, investor protection and contribution to the existence of a stable market. In this sense, our work seeks to understand how information asymmetry can be seen as a market pathology, but which can be mitigated through regulation and self-regulation, mitigating the occurrence of damage to the reputation of the institution itself, as well as protecting the investor and contributing for the preservation of a stable market, fostering a strong and competitive capital market, in economic terms. And yet, analyze the importance of compliance in order to make the rules that regulators and self-regulators impose and observe the main illicit of the stock exchange.
Descrição
Palavras-chave
mercado de capitais , assimetria informacional , regulação , capital market , informational asymmetry , regulation