• JoomlaWorks Simple Image Rotator
  • JoomlaWorks Simple Image Rotator
  • JoomlaWorks Simple Image Rotator
  • JoomlaWorks Simple Image Rotator
  • JoomlaWorks Simple Image Rotator
  • JoomlaWorks Simple Image Rotator
  • JoomlaWorks Simple Image Rotator
  • JoomlaWorks Simple Image Rotator
  • JoomlaWorks Simple Image Rotator
  • JoomlaWorks Simple Image Rotator
 
  Bookmark and Share
 
 
Master's Dissertation
DOI
https://doi.org/10.11606/D.2.2017.tde-18122020-030852
Document
Author
Full name
Muriel Waksman
Institute/School/College
Knowledge Area
Date of Defense
Published
São Paulo, 2017
Supervisor
Committee
Vercosa, Haroldo Malheiros Duclerc (President)
Prado, Viviane Muller
Sztajn, Rachel
Yazbek, Otavio
Title in Portuguese
Os limites ao poder intervencionista da CVM
Keywords in Portuguese
CVM
Intervencionismo
Mercado de Valores Mobiliários
Regulação
SEC
Transplante Legal
Abstract in Portuguese
O desenvolvimento do mercado de valores mobiliários brasileiro teve por consequência a ampliação do campo de atuação da CVM. O presente trabalho tem o intuito de analisar as diferentes formas de atuação desta autarquia, na qualidade de principal órgão de intervenção no mercado de capitais nacional, com base em seu histórico e suas influências. Neste sentido, de forma a melhor compreender o papel desempenhado pela CVM, é necessária a análise da regulação econômica e dos instrumentos de intervenção do Estado na economia, assim como das influências diretamente recebidas da agência reguladora norte-americana, a SEC. A fim de avaliar as principais diferenças entre os sistemas jurídicos norte-americano e o brasileiro, pretende-se fazer uma comparação de sua origem histórica (Common Law e Civil Law). Por fim, para o melhor entendimento dos limites existentes ao intervencionismo estatal na economia de ambos os países, assim como dos resultados da influência dos EUA no mercado de capitais brasileiro, almeja-se analisar os efeitos de referido transplante legal.
Title in English
The Limits to the Interventionist Power of the Brazilian Securities' Commission (CVM)
Keywords in English
Capital Market
CVM
Intervention
Legal Transplant
Regulation
SEC
Abstract in English
The development of the Brazilian capital market resulted in an expansion of the scope of the Brazilian Securities' Exchange Commission (CVM). This paper aims to analyze how different ways of such agency's acting, in the capacity of the main intervention agency in the national capital market, based on its history and influences. In this sense, to better understand the role played by the CVM, it is necessary to analyze the economic regulation and the instruments of State's intervention in the economy, as well as the direct influences received from the American agency, the SEC. For the evaluation of the main differences between the American and Brazilian legal systems, we aim to compare its historic origins (Common Law and Civil Law). Finally, to better understand the limits to the state interference in both countries' economy, as well as the results of the US influence in the Brazilian capital market, we aim to analyze the effects of such legal transplant.
 
WARNING - Viewing this document is conditioned on your acceptance of the following terms of use:
This document is only for private use for research and teaching activities. Reproduction for commercial use is forbidden. This rights cover the whole data about this document as well as its contents. Any uses or copies of this document in whole or in part must include the author's name.
There are withheld file due to requirements (data publishing, patents or rights).
Release Date
2022-12-18
Publishing Date
2021-04-13
 
WARNING: Learn what derived works are clicking here.
All rights of the thesis/dissertation are from the authors
CeTI-SC/STI
Digital Library of Theses and Dissertations of USP. Copyright © 2001-2022. All rights reserved.