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Master's Dissertation
DOI
10.11606/D.2.2009.tde-03052010-095553
Document
Author
Full name
Márcia Tanji
E-mail
Institute/School/College
Knowledge Area
Date of Defense
Published
São Paulo, 2009
Supervisor
Committee
Frontini, Paulo Salvador (President)
Almeida, Marcus Elidius Michelli de
Souza Junior, Francisco Satiro de
Title in Portuguese
Mercado de capitais brasileiro e tutela coletiva dos interesses
Keywords in Portuguese
Crime econômico
Mercado de capitais
Processo administrativo
Processo disciplinar
Sistema financeiro
Abstract in Portuguese
O presente trabalho tem por objetivo analisar em que medida os instrumentos para a tutela coletiva de interesses transindividuais previstos no ordenamento jurídico brasileiro, em especial a ação coletiva, podem contribuir para o fortalecimento do mercado de capitais. Apresenta-se inicialmente a evolução histórica do mercado de capitais brasileiro. É apresentado o debate doutrinário a respeito das principais justificativas para a regulação e auto-regulação do mercado de capitais, seguido do panorama dos instrumentos atribuídos pelo legislador brasileiro à Comissão de Valores Mobiliários, às entidades autoreguladoras e aos investidores. O trabalho também trata da experiência norte-americana acerca das securities class actions, da atuação da Securities and Exchange Commission, e da possibilidade de aplicação das soluções desenvolvidas naquele país ao mercado de capitais brasileiro. Apresentam-se a evolução legislativa sobre os instrumentos de tutela coletiva e a análise sobre a utilização destes instrumentos atualmente, suas virtudes e limitações, com o objetivo de identificar os elementos para a sua adequada aplicação.
Title in English
Brazilian capital market and collective litigation.
Keywords in English
Brazilian securities and exchange commission
Capital market
Class action
Collective litigation
Regulation
Abstract in English
The purpose of this study is to analyze how the collective litigation tools available in the Brazilian legal system, particularly the class actions, may contribute to the strengthening of the Brazilian capital market. This study first discusses the historical evolution of the Brazilian capital market and the doctrinaire debate about the main rehaznos for regulation and self-regulation of capital market, followed by a brief description of the tools provided by Brazilians lawmarkers to the Brazilian Securities and Exchange Commission (Comissão de Valores Mobiliários), as well as to the self-regulatory entibies and investors. This study also explores the United States experience of securities class actions, the role of Securities and Exchange Commission and the possibility of application of the solutions designed in the United States of America to the Brazilian capital market. This study presents the legislative evolution of collective litigation tools and the analysis of their current uses, advantages and limitations in order to identify the elements for its suitable application.
 
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Publishing Date
2010-05-07
 
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