Insider trading e front running: o papel do compliance na prevenção da manipulação do mercado de capitais
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Tipo
TCC
Data de publicação
2024-11
Periódico
Citações (Scopus)
Autores
Rejani, Beatriz Ingrid Piccoli
Orientador
Cárnio, Thaís Cíntia
Título da Revista
ISSN da Revista
Título de Volume
Membros da banca
Programa
Resumo
Este trabalho tem como objetivo analisar as práticas de insider trading e front running,
destacando o papel do compliance na prevenção da manipulação do mercado de capitais. A
pesquisa aborda conceitos fundamentais relacionados a falhas de mercado e a importância da
conformidade regulatória. Através da revisão de literatura e da análise de casos práticos, foram
identificadas as principais características dessas práticas ilícitas e seus impactos na integridade
do mercado financeiro. O estudo conclui que a implementação de programas de compliance
robustos, aliados à educação e conscientização dos profissionais do setor, é essencial para
mitigar os riscos associados a essas práticas. Além disso, enfatiza a necessidade de colaboração
entre instituições financeiras e órgãos reguladores para promover um ambiente de negócios
mais ético e transparente.
This study aims to analyze the practices of insider trading and front running, highlighting the role of compliance in preventing market manipulation. The research addresses fundamental concepts related to market failures and the importance of regulatory compliance. Through literature review and analysis of practical cases, the main characteristics of these illicit practices and their impacts on the integrity of the financial market were identified. The study concludes that the implementation of robust compliance programs, combined with education and awareness of industry professionals, is essential to mitigate the risks associated with these practices. Furthermore, it emphasizes the need for collaboration between financial institutions and regulatory bodies to promote a more ethical and transparent business environment.
This study aims to analyze the practices of insider trading and front running, highlighting the role of compliance in preventing market manipulation. The research addresses fundamental concepts related to market failures and the importance of regulatory compliance. Through literature review and analysis of practical cases, the main characteristics of these illicit practices and their impacts on the integrity of the financial market were identified. The study concludes that the implementation of robust compliance programs, combined with education and awareness of industry professionals, is essential to mitigate the risks associated with these practices. Furthermore, it emphasizes the need for collaboration between financial institutions and regulatory bodies to promote a more ethical and transparent business environment.
Descrição
Palavras-chave
insider trading , front running , compliance , mercado de capitais , insider trading , front running , compliance , capital market