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Master's Dissertation
DOI
https://doi.org/10.11606/D.2.2018.tde-22102020-172219
Document
Author
Full name
Daphne Noronha Hachul
Institute/School/College
Knowledge Area
Date of Defense
Published
São Paulo, 2018
Supervisor
Committee
Lima, Cíntia Rosa Pereira de (President)
Ferreira, Gustavo Assed
Simão Filho, Adalberto
Viana, Rui Geraldo Camargo
Title in Portuguese
Proteção jurídica do investidor-consumidor
Keywords in Portuguese
Código de Defesa do Consumidor
Consumidor
Fundo de investimento
Investidor
Mercado de capitais
Abstract in Portuguese
O presente estudo tem como objeto a proteção jurídica do investidor no mercado de capitais. Para tanto, é analisada qual a tutela mais adequada para a defesa de seus direitos, conforme as correntes doutrinárias e a evolução do entendimento jurisprudencial. Foi abordado o arcabouço jurídico do mercado financeiro, em especial do mercado de capitais, bem como a esfera jurídico-contratual do investidor como consumidor, para identificar como a extensão dos direitos e garantias fundamentais nas relações privadas atingem as relações contratuais do mercado de capitais, em especial nas relações que envolvem os fundos de investimento. Um aspecto importante do estudo é o desenvolvimento do conceito de investidor-consumidor e a aplicabilidade do Código de Defesa do Consumidor para as relações entre investidores e as instituições financeiras do mercado de capitais. Ainda, para compreender de que forma o investidor encontra-se protegido no mercado, foram abordados os direitos da informação adequada, transparência, liberdade de escolha, noção de risco do investimento realizado, proibição publicidade enganosa e abusiva e a de garantia de rendimento, bem como direito à efetiva prevenção e reparação de danos patrimoniais e morais, individual e coletivamente. Por fim, foram analisados os julgamentos de casos concretos pelo Superior Tribunal de Justiça, a fim de verificar o entendimento emanado pela Corte Superior sobre a aplicabilidade do Código de Defesa do Consumidor às relações contratuais no mercado de capitais, identificando a tutela reparatória que vem sendo aplicada, e demonstradas as dificuldades e os desafios em se garantir uma efetiva proteção do investidor-consumidor no atual cenário do arcabouço jurídico do mercado de capitais.
Title in English
The legal protection of the investor-consumer
Keywords in English
Capital market
Consumer Protection Code
Consumer
Investment fund
Investor
Abstract in English
This paper will study the legal protection of the investor in the capital market. To do so, will be analyzed what is the most appropriate tutelage for a defense of their rights, according to doctrinal currents and jurisprudential understanding. It will analyses the capital market framework, as well as the legal-contractual sphere of investors as a consumer, to identify how the extension of the fundamental rights and guarantees in private relations acts in the contractual relations of the capital market, especially in relations involving the investment funds. An important aspect of the study is the development of the concept of investor and the application of the Consumer Defense Code for relations between investors and the financial institutions of the capital market. Also, to understand how the investor are proteceted, will addressed the legal rights of appropriate information, transparency, free choice, notion of risk with work, prohibition of misleading and abusive advertising, prohibition of results guarantee, and the right to effective prevention and redress of pecuniary and moral damages, individually and collectively. Finally, will be analysed the judgments of specific cases by the High Court of Justice, an end to verify the understanding issued by the High Court on an application of the Consumer Defense Code in contractual relations in the capital market, identifying the difficulties and challenges in guaranteeing an effective protection of the investor-consumer in the current scenario of the legal framework of the capital market.
 
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Publishing Date
2021-09-01
 
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