Insider trading e a importância do compliance para prevenir crimes financeiros
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Tipo
TCC
Data de publicação
2022-06
Periódico
Citações (Scopus)
Autores
Hoshiko, Victor Barbosa
Orientador
Saavedra, Giovani Agostini
Título da Revista
ISSN da Revista
Título de Volume
Membros da banca
Programa
Resumo
O presente artigo teve o objetivo de analisar não somente o crime de Insider trading, que se dá
por uma prática a fim de obter lucros se utilizando de informações privilegiadas dentro do
mercado de capitais, mas também como ele se apresenta na sociedade, seus perigos e o meio
em que este ocorre. Dito isso, este artigo procurou abranger todos os aspectos do Insider trading
no meio empresarial, bem como de uma ferramenta importante para prevenir esse crime, o
Compliance. O Compliance nas empresas foi abordado de forma bem ampla, não se limitando
ao seu conceito, mas também a aplicação prática no mundo real e como pode ser utilizado para
combater o Insider trading. Também será mostrada a relação do Compliance e do Insider
trading com a LGPD – Lei de Proteção de Dados, sua influência e utilização como ferramenta
a fim de minimizar práticas criminosas, tais como o Insider trading. Por fim, foram
demonstrados jurisprudências e casos do crime de Insider trading no Brasil, para servirem como
exemplos práticos deste ato criminoso. Concluindo-se que o Compliance é uma ferramenta
importante para as empresas, agindo de forma a identificar os problemas e agir de acordo,
criando regras para cada empresa dependendo do objeto a que elas devem seguir, além de ser
um custo necessário e que traz resultados benéficos, sendo mais perigoso para as empresas não
terem um departamento de Compliance, pois esse é importantíssimo para ajudar a prevenir
crimes financeiros bem como a aumentar a credibilidade da empresa.
The present article aimed to analyze not only the crime of Insider trading, which is a practice to obtain profits using privileged information within the capital market, but also how it presents itself in society, its dangers, and the environment in which it occurs. That said, it should be noted that this article looked for covering all the aspects of Insider trading in the business environment, as well as the Compliance as an important crime prevention tool. Compliance in companies was also be addressed in an overly broad way, not only limited to its concept, but also its practical application in the real world and how it can be used to combat Insider trading. It will also be shown the relationship between Compliance and Insider trading with the LGPD – Data Protection Law, its influence and use as a tool to minimize criminal practices, such as Insider trading. Finally, jurisprudence and cases of Insider trading crime in Brazil was demonstrated, to serve as practical examples of this criminal act. Concluding that Compliance is an important tool for companies, acting to identify problems and act, accordingly, creating rules for each company depending on the area that they work on, in addition to being a necessary cost and that brings beneficial results, being more dangerous for companies not to have a Compliance department, as this is very important to help prevent financial crimes as well as increase the company's credibility.
The present article aimed to analyze not only the crime of Insider trading, which is a practice to obtain profits using privileged information within the capital market, but also how it presents itself in society, its dangers, and the environment in which it occurs. That said, it should be noted that this article looked for covering all the aspects of Insider trading in the business environment, as well as the Compliance as an important crime prevention tool. Compliance in companies was also be addressed in an overly broad way, not only limited to its concept, but also its practical application in the real world and how it can be used to combat Insider trading. It will also be shown the relationship between Compliance and Insider trading with the LGPD – Data Protection Law, its influence and use as a tool to minimize criminal practices, such as Insider trading. Finally, jurisprudence and cases of Insider trading crime in Brazil was demonstrated, to serve as practical examples of this criminal act. Concluding that Compliance is an important tool for companies, acting to identify problems and act, accordingly, creating rules for each company depending on the area that they work on, in addition to being a necessary cost and that brings beneficial results, being more dangerous for companies not to have a Compliance department, as this is very important to help prevent financial crimes as well as increase the company's credibility.
Descrição
Palavras-chave
compliance , insider trading , direito penal econômico , empresa , mercado de capitais